<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Department of Homeland Security</name>
<abbrev>
DHS

</abbrev>




<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-09-04/pdf/2012-21691.pdf </url>
<title> DHS/ICE-005, Trade
Transparency Analysis and Research (TTAR) System </title>
<date year="2012" month="9" day="4"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19337.pdf </url>
<title> DHS/USCIS-006, Fraud
Detection and National Security Records </title>
<date year="2012" month="8" day="8"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19207.pdf </url>
<title> DHS/USCIS-004,
Systematic Alien Verification for Entitlements (SAVE)</title>
<date year="2012" month="8" day="8"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-08-08/pdf/2012-19204.pdf </url>
<title> DHS/USCIS-011, E-Verify
Program </title>
<date year="2012" month="8" day="8"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-05-22/pdf/2012-12396.pdf </url>
<title> DHS/CBP-006, U.S.
Customs and Border Protection Automated Targeting System </title>
<date year="2012" month="5" day="22"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-06-07/pdf/2012-13813.pdf </url>
<title> DHS/CBP-017, Analytical
Framework for Intelligence (AFI)</title>
<date year="2012" month="6" day="7"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-07-30/pdf/2012-18552.pdf </url>
<title> DHS/CBP-009, Electronic
System for Travel Authorization (ESTA)</title>
<date year="2012" month="7" day="30"/>
</previouslyPublished>


<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00603.pdf</url>
<title> DHS/CBP-004, U.S. Customs and Border Protection, Intellectual Property Rights e-Recordation and Search Systems (IPRRSS)</title>
	<date year="2013" month="1" day="13"/>

	</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-01-15/pdf/2013-00602.pdf</url>
<title> DHS/S&amp;T-001, Research, Development, Test, and Evaluation Records </title>
<date year="2013" month="1" day="15"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-01-16/pdf/2013-00602.pdf</url>
<title> DHS/CBP 002, Global Enrollment System (GES)</title>
<date year="2013" month="1" day="16"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-02-04/pdf/2013-02343.pdf</url>
<title> DHS/ICE-010, Confidential and Other Sources of Information (COSI)</title>
<date year="2013" month="2" day="4"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-02-14/pdf/2013-03377.pdf</url>
<title> DHS/ICE--007, Alien Criminal Response Information Management (ACRIMe)</title>
<date year="2013" month="2" day="14"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-04-13/pdf/2013-07725.pdf</url>
<title> DHS/USCIS-015, Electronic Immigration System-2 Account and Case Management System of Records </title>
<date year="2013" month="4" day="13"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-04-05/pdf/2013-07770.pdf</url>
<title> DHS/USCIS 014, Electronic Immigration System-1 Temporary Accounts and Draft Benefit Requests </title>
<date year="2013" month="4" day="5"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-04-30/pdf/2013-10173.pdf</url>
<title> DHS/FEMA-008, Disaster Recovery Assistance Files System of Records </title>
<date year="2013" month="4" day="30"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-03-13/pdf/2013-05674.pdf</url>
<title> DHS/CBP-018, Customs--Trade Partnership Against Terrorism (C-TPAT)</title>
<date year="2013" month="3" day="13"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-05-16/pdf/2013-11722.pdf</url>
<title> DHS/ICE-014, Homeland Security Investigations Forensic Laboratory (HSI-FL)</title>
<date year="2013" month="5" day="16"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12390.pdf</url>
<title> DHS/NPPD-001, Arrival and Departure Information System (ADIS)</title>
<date year="2013" month="5" day="28"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-05-28/pdf/2013-12388.pdf</url>
<title> DHS/CBP-007, Border Crossing Information (BCI)</title>
<date year="2013" month="5" day="28"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17456.pdf</url>
<title> DHS/FEMA 006, Citizen Corps Program </title>
<date year="2013" month="7" day="22"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-07-22/pdf/2013-17451.pdf</url>
<title> DHS/USCIS 011, E-Verify Program </title>
<date year="2013" month="7" day="22"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-08-23/pdf/2013-20635.pdf</url>
<title> DHS/ALL-035, Common Entity Index Prototype (CEI Prototype)</title>
<date year="2013" month="8" day="23"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21980.pdf</url>
<title> DHS/TSA-019, Secure Flight Records </title>
<date year="2013" month="09" day="13"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-09-10/pdf/2013-21979.pdf</url>
<title> DHS/TSA-021 TSA Pre &#10003; &#174; Application Program </title>
<date year="2013" month="9" day="10"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-09-18/pdf/2013-22690.pdf</url>
<title> DHS/CBP 019, Air and Marine Operations Surveillance System (AMOSS)</title>
<date year="2013" month="9" day="18"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-10-02/pdf/2013-23391.pdf</url>
<title> DHS/ALL 036, Board for Correction of Military Records System of Records </title>
<date year="2013" month="10" day="2"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27897.pdf</url>
<title> DHS/FEMA 001, National Emergency Family Registry and Locator System (NEFRLS) System of Records </title>
<date year="2013" month="11" day="21"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27894.pdf</url>
<title> DHS/FEMA/GOVT 001, National Defense Executive Reserve System </title>
<date year="2013" month="11" day="21"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-11-21/pdf/2013-27895.pdf</url>
<title>DHS/USCIS-ICE-CBP-001, Department of Homeland Security U.S. Citizenship and Immigration Services, U.S. Immigration and Customs Enforcement, U.S. Customs and Border Protection--001 Alien File, Index, and National File Tracking System of Records</title>
<date year="2013" month="11" day="21"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-11-25/pdf/2013-28247.pdf</url>
<title> DHS/USCIS 008, Refugee Access Verification Unit </title>
<date year="2013" month="11" day="25"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29353.pdf</url>
<title> DHS/TSA-001, Transportation Security Enforcement Record System (TSERS)</title>
<date year="2013" month="12" day="9"/>
</previouslyPublished>
<routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>Editorial Note:</b> The Department of Homeland Security came into existence on January 24, 2003. Many of its
organizational elements were transferred in whole or in part from other agencies. As of December 31, 2013, the Department
had not yet issued a complete publication of all of its systems of records. The systems of records shown below reflect
only those Privacy Act documents published in the <i>Federal Register</i> under the name of the Department of Homeland
Security between January 24, 2003 and December 31, 2013.</p>
	<p><b>Routine Uses: Federal Energy Management Agency</b></p>
<p><i>Introduction to Routine Uses:</i> We have identified certain routine uses that apply to many of the FEMA systems of notice records. We will list the specific routine uses applicable to an individual system of record under the "Routine Use" section of the notice itself and they will correspond to the numbering of the routine uses published below. These uses are published only once in the interest of simplicity, economy and to avoid redundancy, rather than repeating them in every individual system notice. 
</p><p>(1) <i>Routine Use--Law Enforcement:</i> A record from any FEMA system of records, which indicates either by itself or in combination with other information within FEMA’s possession, a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute, or by regulation, rule or order issued pursuant thereto, and which we may disclose, as a routine use, to the appropriate agency whether Federal, State, territorial, local or foreign, or foreign agency or professional organization, charged with the responsibility of enforcing, implementing, investigating or prosecuting such violation or charged with implementing the statute, rule, regulation or order issued under it. 
</p><p>(2) <i>Routine Use--Disclosure When Requesting Information:</i> We may disclose as a routine use a record from a FEMA system of records to a Federal, State or local agency, maintaining civil, criminal, regulatory, licensing or other enforcement information or other pertinent information, such as current licenses, 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 letting of a contract, or the issuance of a license, grant or other benefit. 
</p><p>(3) <i>Routine Use--Disclosure of Requested Information:</i> We may disclose as a routine use a record from a FEMA system of records to a Federal agency, in response to a written request in connection with the hiring or retention of an employee, the issuance of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter. 
</p><p>(4) <i>Routine Use--Grievance, Complaint, Appeal:</i> We may disclose as a routine use a record from a FEMA system of records to an authorized appeal or grievance examiner, formal complaints examiner, equal opportunity investigator, arbitrator, mediator, or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal by an employee. We may disclose a record from this system of records to the Office of Personnel Management as government-wide records; we will consider those records as part of the government-wide system. We may transfer as a routine use other official personnel records covered by notices published by FEMA and considered to be separate systems of records to the Office of Personnel management in accordance with official personnel programs and activities. 
</p><p>(5) <i>Routine Use--Congressional Inquiries:</i> We may disclose as a routine use a record from a FEMA system of records to a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the request of the individual about whom the record is maintained. 
</p><p>(6) <i>Routine Use--Private Relief Legislation:</i> We may disclose as a routine use the information contained in a FEMA system of records 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 at any stage of the legislative coordination and clearance process as set forth in that circular. 
</p><p>(7) <i>Routine Use--Disclosure to the Office of Personnel Management:</i> We may disclose as a routine use a record from a FEMA system of records to the Office of Personnel Management concerning information on pay and leave benefits, retirement deductions, and any other information concerning personnel actions. 
</p><p>(8) <i>Routine Use--Disclosure to National Archives and Records Administration:</i> We may disclose as a routine use a record from a FEMA system of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. 
</p><p>(9) <i>Routine Use--Grand Jury:</i> We may disclose as a routine use a record from any system of records to a grand jury agent pursuant to a federal or State grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.  

</p></xhtmlContent></routineUses>


<section id="oig2" toc="yes">
<systemNumber>/OIG-002</systemNumber>
<subsection type="systemName">Department of Homeland Security Office of Inspector General Investigative Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the OIG Headquarters in Washington, DC, and in OIG field offices nationwide.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals filing complaints of criminal, civil, or administrative violations, including, but not limited to,
fraud, waste, or mismanagement; individuals alleged to have been involved in such violations; individuals identified as
having been adversely affected by matters investigated by the OIG; individuals who have been identified as possibly
relevant to, or who are contacted as part of, an OIG investigation, including: (A) Current and former employees of the
DHS, other Federal agencies, and DHS contractors, grantees, and persons whose association with current and former
employees relate to alleged violations under investigation; and, (B) witnesses, complainants, confidential informants,
suspects, defendants, or parties who have been identified by the DHS OIG, other DHS components, other agencies, or
members of the general public in connection with authorized OIG functions; and DHS OIG employees performing investigative
functions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name and aliases;
</p><p>&#149; Date of birth;
</p><p>&#149; Social Security Number;
</p><p>&#149; Telephone and cell phone numbers;
</p><p>&#149; Physical and mailing addresses;
</p><p>&#149; Electronic mail addresses;
</p><p>&#149; Physical description;
</p><p>&#149; Citizenship;
</p><p>&#149; Fingerprints, voiceprints, and other biometric data;
</p><p>&#149; Photographs;
</p><p>&#149; Education;
</p><p>&#149; Medical history;
</p><p>&#149; Travel history including passport information;
</p><p>&#149; Financial data;
</p><p>&#149; Criminal history;
</p><p>&#149; Work experience;
</p><p>&#149; Relatives and associates;
</p><p>&#149; Any other personal information relevant to the subject matter of an OIG investigation;
</p><p>&#149; Investigative files containing complaints and allegations, witness statements; transcripts of electronic
monitoring; subpoenas and legal opinions and advice; reports of investigation; reports of criminal, civil, and
administrative actions taken as a result of the investigation; and other relevant evidence;
</p><p>&#149; Training and firearms qualification records of employees performing investigative functions; and
</p><p>&#149; Accountable property records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 6 U.S.C. 113(b); the Inspector General Act of 1978, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records and information collected and maintained in this system are used to receive and process allegations
of violations of criminal, civil, and administrative laws and regulations relating to DHS programs, operations, and
employees, as well as contractors and other individuals and entities associated with DHS; monitor case assignments,
status, disposition, and results; manage investigations and information provided during the course of such
investigations; track actions taken by management regarding misconduct and other allegations; track legal actions taken
following referrals to the Department of Justice for prosecution or litigation; provide information relating to any
adverse action or other proceeding that may occur as a result of the findings of an investigation; provide a system for
creating and reporting statistical information; and to provide a system to track firearms qualification and training
records of OIG employees performing investigative functions and accountable property records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as
follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or,
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal agencies pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and &#167; 2906.
</p><p>D. To an agency, organization, or individual for the purpose of performing audit or oversight operations as authorized
by law, including peer reviews, but only such information as is necessary and relevant to such audit or oversight
function.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity), or harm to the individuals that rely on the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>I. To international and foreign governmental authorities in accordance with law and formal or informal international
agreements.
</p><p>J. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>K. To third parties during the course of a law enforcement 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><p>L. To the Council of the Inspectors General on Integrity and Efficiency (CIGIE) and other Federal agencies, as
necessary, if the records respond to an audit, investigation or review conducted pursuant to an authorizing law, rule or
regulation, and in particular those conducted at the request of the CIGIE’s Integrity Committee pursuant to statute.
</p><p>M. 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 arising from the matters of which they complained and/or of
which they were a victim.
</p><p>N. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Paper media are retrieved alphabetically by name of subject or complainant, by case number, and/or by special
agent name and/or employee identifying number. Electronic media are retrieved by the name or identifying number for a
complainant, subject, victim, or witness; by case number; by special agent name or other personal identifier; or by field
office designation.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies, including all
applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Investigative case files that involve substantive information relating to national security or allegations
against senior DHS officials, that attract national media or congressional attention, or that result in substantive
changes in DHS policies or procedures are permanent and are transferred to the National Archives and Records
Administration 20 years after completion of the investigation and all actions based thereon. All other investigative case
files are destroyed 20 years after completion of the investigation and all actions based thereon. Accountable property
records, training and firearms qualification records, and management reports are destroyed when no longer needed for
business purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The System Manager is the Assistant Inspector General for Investigations, DHS OIG, Mail Stop 2600, 245 Murray
Drive, SW., Building 410, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, the Office of Inspector General will
consider individual requests to determine whether or not information may be released. Thus, individuals seeking
notification of and access to any record contained in this system of records, or seeking to contest its content may
submit a request in writing to the Headquarters or Office of Inspector General’s FOIA Officer, whose contact information
can be found at <i>http://www.dhs.gov/foia</i> under "Contacts." If an individual believes more than one
component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy
Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building
410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address, and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the Component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from sources including, but not limited to, the individual record subjects; DHS officials
and employees; employees of Federal, State, local, and foreign agencies; and other persons and entities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has
exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C.
&#167; 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5).</p></xhtmlContent></subsection></section>


<section id="all1" toc="yes">
	<systemNumber>/ALL-001</systemNumber>

<subsection type="systemName">Department of Homeland Security Freedom of Information Act and Privacy Act Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive, and unclassified. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at Department and Component Headquarters in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: Individuals who submit FOIA and/or PA requests to DHS;
individuals who appeal DHS denial of their FOIA and/or PA requests; individuals whose requests, appeals, and/or records
have been referred to DHS by other agencies; and, in some instances, attorneys or other persons representing individuals
submitting such requests and appeals, individuals who are the subjects of such requests, Department of Justice and other
government litigators and/or DHS personnel assigned to handle such requests or appeals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Records received, created, or compiled in processing FOIA and PA requests or appeals, including:
</p><p>&#9675; Original requests and administrative appeals;
</p><p>&#9675; Intra or interagency memoranda, correspondence, notes and other documentation related to the processing
of the FOIA and PA request;
</p><p>&#9675; Correspondence with the individuals or entities that submitted the requested records and copies of the
requested records, including when those records might contain confidential business information or personal information.
</p><p>&#149; Types of information in the records may include:
</p><p>&#9675; Requesters’ and their attorneys’ or representatives’ names, addresses, e-mail, telephone numbers, and
FOIA and PA case numbers; office telephone numbers, and office routing symbols of DHS employees and contractors;
</p><p>&#9675; Names, telephone numbers, and addresses of the submitter of the information requested;
</p><p>&#9675; Unique case identifier;
</p><p>&#9675; Social security number;
</p><p>&#9675; Alien identification number of the requester/appellant or the attorney or other individual representing
the requester, or other identifier assigned to the request or appeal.
</p><p>&#149; The system also contains copies of all documents relevant to appeals and lawsuits under the FOIA and PA
including from Department of Justice and other government litigators.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552 (Freedom of Information Act), 552a (Privacy Act); 44 U.S.C. 3101 (Records Management by Federal
Agencies); E.O. 12958 (Classified National Security Information, as amended).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to process record requests and administrative appeals under the FOIA and PA as well
as access, notification, and amendment requests and appeals under the PA. Also, for participating in litigation arising
from such requests and appeals; and in assisting DHS in carrying out any other responsibilities under the FOIA or PA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign agency, including law enforcement, or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To a Federal, State, territorial, tribal, local, international, or foreign agency or entity for the purpose of
consulting with that agency or entity:
</p><p>1.To assist in making a determination regarding access to or amendment of information, or
</p><p>2. For the purpose of verifying the identity of an individual or the accuracy of information submitted by an
individual who has requested access to or amendment of information.
</p><p>I. To a Federal agency or other Federal entity that furnished the record or information for the purpose of permitting
that agency or entity to make a decision regarding access to or correction of the record or information, or to a federal
agency or entity for purposes of providing guidance or advice regarding the handling of particular requests.
</p><p>J. To the Department of Justice, including the United States Attorney’s Offices, or a consumer reporting agency for
collection action on any delinquent debt when circumstances warrant.
</p><p>K. To the Office of Management and Budget or the Department of Justice to obtain advice regarding statutory and other
requirements under the Freedom of Information Act or the Privacy Act of 1974.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the name, unique case identifier, social security number, or alien identification
number of the requester/appellant or the attorney or other individual representing the requester, or other identifier
assigned to the request or appeal.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FOIA and PA records are retained in accordance with National Archives and Records Administration’s General
Records Schedule 14.
</p><p>FOIA and PA records in litigation are retained for ten years after the end of the fiscal year in which judgment was
made or when all appeals have been exhausted, whichever is later. This disposition is temporary and is under review and
approval by the National Archives and Records Administration through pending schedule N1-563-08-33,
Item 11.
</p><p>If the FOIA or PA record deals with significant policy-making issues, it is a permanent record.
</p><p>A FOIA or PA record may qualify as a permanent Federal Record. A permanent record is one that has been determined by
NARA to have sufficient value to warrant its preservation in the National Archives of the United States. Permanent
records include all records accessioned by NARA into the National Archives of the United States and later increments of
the same records, and those for which the disposition is permanent on SF 115s, Request for Records Disposition Authority,
approved by NARA on or after May 14, 1973.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mary Ellen Callahan (703-235-0780), Chief Privacy Officer and Chief Freedom of Information Act
Officer, Privacy Office, Department of Homeland Security, Washington, DC 20528.
</p><p>For components of DHS, the System Manager can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the
Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive,
SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained by those individuals who submit requests and administrative appeals pursuant to the FOIA and
the PA; the agency records searched and identified as responsive in the process of responding to such requests and
appeals; Departmental personnel assigned to handle such requests and appeals; other agencies or entities that have
referred to DHS requests concerning DHS records, or that have consulted with DHS regarding handling of particular
requests; and submitters or subjects of records or information that have provided assistance to DHS in making access or
amendment determinations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in (c)(3) and (4): (d); (e)(1), (2), (3), (5), and (8); and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2). Additionally, The Secretary of Homeland Security has exempted this system from the
following provisions of the Privacy Act, subject to the limitations set forth in (c)(3): (d), (e)(1), (e)(4)(G), (H),
(I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), (k)(5) and (k)(6). When DHS is
processing Privacy Act and/or FOIA requests, responding to appeals, or participating in FOIA or Privacy Act litigation,
exempt materials from other systems of records may become part of the records in this system. To the extent that copies
of exempt records from other systems of records are entered into this system, DHS hereby claims the same exemptions for
those records that are claimed for the original primary systems of records from which they originated.
</p></xhtmlContent></subsection></section>
<section id="all2" toc="yes">
	<systemNumber>/ALL-002</systemNumber>
<subsection type="systemName">Department of Homeland Security Mailing and Other Lists System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of records is located in the Department of Homeland Security, Washington, DC 20528, as well as in the
component DHS offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All persons appearing on mailing lists maintained throughout DHS to facilitate mailings to multiple addressees
and other activities in furtherance of DHS duties. These lists include persons who have requested DHS material; members
of the news media who have provided contact information; persons who serve on DHS boards and committees other than those
covered by the Federal Advisory Committee Act which are covered under DHS/ALL 009 Advisory Committees (73 FR 57639), and
other individuals having business with DHS who have provided contact information; individuals who enter contests
sponsored by DHS; contractors or other individuals who work or attend meetings at DHS; and other persons who attend or
have an interest in DHS programs, contests, exhibits, conferences, training courses, and similar events.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Age;
</p><p>&#149; School grade; (where appropriate)
</p><p>&#149; School name; (where appropriate)
</p><p>&#149; Telephone numbers;
</p><p>&#149; E-mail address;
</p><p>&#149; Mailing address;
</p><p>&#149; Position/title;
</p><p>&#149; Business affiliation (where appropriate);
</p><p>&#149; Other contact information provided to DHS by individuals covered by this system of records; and
</p><p>&#149; Computer-generated identifier or case number where created in order to retrieve information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is maintained for the purpose of mailing informational literature or responses to those who request
it; maintaining lists of individuals who attend meetings; maintaining information regarding individuals who enter
contests sponsored by DHS; and for other purposes for which mailing or contact lists may be created.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside Department of Homeland Security (DHS) as
a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information typically will be retrieved by an identification number assigned by computer or case number where
created for tracking purposes, by e-mail address, or by name of an individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Some records are retained and disposed of in accordance with the National Archives and Records Administration’s
General Records Schedule 12 (Communications Records). Other records are retained and disposed of in accordance with
General Records Schedule 1. Files may be retained for up to three years or less depending on the record. For records that
may be used in litigation, the files related to that litigation will be retained for three years after final court
adjudication.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of the Department of Homeland Security, the System Manager is the Director of
Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of the Department of
Homeland Security, the System Manager can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be
found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from affected individuals/organizations, public source data,
other government agencies and/or information already in other DHS records systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all3" toc="yes">
<systemNumber>/ALL-003</systemNumber>

<subsection type="systemName">Department of Homeland Security General Training Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of the Department of Homeland
Security, in both Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Pub. L. 107-296, 6 U.S.C. 121; Federal Records Act, 44 U.S.C. 3101; 6
CFR Part 5; 5 U.S.C. app. 3; 5 U.S.C. 301 and Ch. 41; Executive Order 11348, as amended by Executive Order 12107; and
Executive Order 9397 (SSN).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of DHS, volunteers and contractors; any individual who is or has been an employee of
DHS and who has applied for, participated in or assisted with a training program; any other Federal employee or private
individual, including contractors and others, who has participated in or assisted with training programs recommended,
sponsored or operated by the Department of Homeland Security; and other participants in training programs, including
instructors, course developers, observers, and interpreters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system includes all records pertaining to training, including:
</p><p>&#149; Individual’s name;
</p><p>&#149; Date of birth;
</p><p>&#149; Social security number;
</p><p>&#149; Address;
</p><p>&#149; Phone numbers;
</p><p>&#149; Email addresses;
</p><p>&#149; Occupation;
</p><p>&#149; Nomination forms;
</p><p>&#149; Registration forms;
</p><p>&#149; Course rosters and sign-in sheets;
</p><p>&#149; Instructor lists;
</p><p>&#149; Schedules;
</p><p>&#149; Payment records, including financial, travel and related expenditures;
</p><p>&#149; Examination and testing materials;
</p><p>&#149; Grades and student evaluations;
</p><p>&#149; Course and instructor critiques;
</p><p>&#149; Equipment issued to trainees and other training participants; and other reports pertaining to training;
and
</p><p>&#149; Individuals who apply for but are not accepted for training.
</p><p>Purpose:</p>
<p>This record system will collect and document training given to DHS employees, contractors, and others who are
provided DHS training. This system will provide DHS with a means to track the particular training that is provided,
identify training trends and needs, monitor and track the expenditure of training and related travel funds, schedule
training classes and programs, schedule instructors, track training items issued to students, assess the effectiveness of
training, identify patterns, respond to requests for information related to the training of DHS personnel and other
individuals, and facilitate the compilation of statistical information about training.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside Department of Homeland Security (DHS) as
a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a Federal, State, tribal, local or foreign government agency or professional licensing authority in response to
its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance or status of a license, grant,
or other benefit by the requesting entity, to the extent that the information is relevant and necessary to the requesting
entity’s decision on the matter.
</p><p>I. To educational institutions or training facilities for purposes of enrollment and verification of employee
attendance and performance.
</p><p>J. To the Equal Employment Opportunity Commission, Merit Systems Protection Board, Office of the Special Counsel,
Federal Labor Relations Authority, or Office of Personnel Management or to arbitrators and other parties responsible for
processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties.
</p><p>K. To the Department of Justice or a consumer reporting agency for further action on a delinquent debt when
circumstances warrant.
</p><p>L. To employers to the extent necessary to obtain information pertinent to the individual’s fitness and qualifications
for training and to provide training status.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Yes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by the individual’s name, social security number, or other personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed in accordance with National Archives and Records Administration General
Records Schedule, No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of the Department of Homeland Security, the System Manager is the Director of
Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of the Department of
Homeland Security, the System Manager can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be
found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates within DHS and from the individual to whom the record pertains.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted certain records in this system on the basis of 5 U.S.C. 552a(k)
(6) in order to preserve the objectivity and fairness of testing and examination material.
</p></xhtmlContent></subsection></section>
<section id="all4" toc="yes">
<systemNumber>/ALL-004</systemNumber>
<subsection type="systemName">Department of Homeland Security General Information Technology Access Account Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of the Department of Homeland
Security, in both Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>&#149; All persons who are authorized to access DHS information technology resources, including employees,
contractors, grantees, private enterprises, and any lawfully designated representative of the above and including
representatives of federal, state, territorial, tribal, local, international, or foreign government agencies or entities,
in furtherance of the DHS mission.
</p><p>&#149; Individuals who serve on DHS boards and committees;
</p><p>&#149; Individuals who have business with DHS and who have provided personal information in order to facilitate
access to DHS information technology resources;
</p><p>&#149; Individuals who are points of contact provided for government business, operations, or programs, and the
individual(s) they list as emergency contacts;
</p><p>&#149; Individuals who voluntarily join a DHS-owned and operated web portal for collaboration purposes; and
</p><p>&#149; Individuals who request access but are denied, or who have had access revoked.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Name;
</p><p>&#149; Social Security Number;
</p><p>&#149; Business and affiliations;
</p><p>&#149; Facility positions held;
</p><p>&#149; Business telephone numbers;
</p><p>&#149; Cellular phone numbers;
</p><p>&#149; Pager numbers;
</p><p>&#149; Numbers where individuals can be reached while on travel or otherwise away from the office;
</p><p>&#149; Citizenship;
</p><p>&#149; Level of access;
</p><p>&#149; Home addresses;
</p><p>&#149; Business addresses;
</p><p>&#149; Electronic mail addresses of senders and recipients;
</p><p>&#149; Justification for access to DHS computers, networks, or systems;
</p><p>&#149; Verification of training requirements or other prerequisite requirements for access to DHS computers,
networks, or systems;
</p><p>&#149; Records on access to DHS computers and networks including user ID and passwords;
</p><p>&#149; Registration numbers or IDs associated with DHS Information Technology resources;
</p><p>&#149; Date and time of access;
</p><p>&#149; Logs of activity of DHS IT resources;
</p><p>&#149; IP address of access;
</p><p>&#149; Logs of Internet activity; and
</p><p>&#149; Records on the authentication of the access request, names, phone numbers of other contacts, and positions
or business/organizational affiliations and titles of individuals who can verify that the individual seeking access has a
need to access as well as other contact information provided to the Department that is derived from other sources to
facilitate authorized access to DHS Information Technology resources.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101; EO 9397 (SSN), as amended by EO 13487; and 44 U.S.C. 3534.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system will collect a discreet set of personally identifiable information in order to provide authorized
individuals access to, or interact with DHS information technology resources, and allow DHS to track use of DHS IT
resources. Directly resulting from the use of DHS information technology resources is the collection, review, and
maintenance of any logs, audits, or other such security data regarding the use of such information technology resources.
</p><p>The system enables DHS to maintain: Account information required for approved access to information technology; lists
of individuals who are appropriate organizational points of contact; and lists of individuals who are emergency points of
contact. The system will also enable DHS to provide individuals access to certain programs and meeting attendance and
where appropriate, allow for sharing of information between individuals in the same operational program to facilitate
collaboration.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3), as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to
the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To sponsors, employers, contractors, facility operators, grantees, experts, and consultants in connection with
establishing an access account for an individual or maintaining appropriate points of contact and when necessary to
accomplish a DHS mission function or objective related to this system of records.
</p><p>I. To other individuals in the same operational program supported by an information technology system, where
appropriate notice to the individual has been made that his or her contact information will be shared with other members
of the same operational program in order to facilitate collaboration.
</p><p>J. To federal agencies such as Office of Personnel Management, the Merit Systems Protection Board, the Office of
Management and Budget, Federal Labor Relations Authority, Government Accountability Office, and the Equal Employment
Opportunity Commission in the fulfillment of these agencies’ official duties.
</p><p>K. To international, federal, state and local, tribal, private and/or corporate entities for the purpose of the
regular exchange of business contact information in order to facilitate collaboration for official business.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are on paper and/or in digital or other electronic form. Digital and other electronic
images are stored on a storage area network in a secured environment. Records, whether paper or electronic, may be stored
at the DHS Headquarters or at the component level.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information may be retrieved, sorted, and/or searched by an identification number assigned by computer, social
security number, by facility, by business affiliation, email address, or by the name of the individual, or other employee
data fields previously identified in this SORN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies, including the
DHS Information Technology Security Program Handbook and DHS Information Security Program Policy and Handbook. Further,
DHS/ALL-004 General Information Technology Access Account Records system of records security protocols will
meet multiple National Institute of Standards and Technology (NIST) Security Standards from Authentication to
Certification and Accreditation. Records in the DHS/ALL-004 General Information Technology Access Account
Records system of records will be maintained in a secure, password-protected electronic system that will utilize security
hardware and software to include: Multiple firewalls, active intruder detection, and role-based access controls.
Additional safeguards will vary by component and program. All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. These safeguards include: Restricting access to
authorized personnel who have a "need to know;" using locks; and password protection identification features.
Classified information is appropriately stored in accordance with applicable requirements. DHS file areas are locked
after normal duty hours and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are securely retained and disposed of in accordance with the National Archives and Records
Administration’s General Records Schedule 24, section 6, "User Identification, Profiles, Authorizations, and
Password Files." Inactive records will be destroyed or deleted 6 years after the user account is terminated or
password is altered, or when no longer needed for investigative or security purposes, whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The System Manager is the Chief Information Officer (CIO), Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the
Chief Privacy Officer and Chief Freedom of Information Act Officer, Privacy Office, Department of Homeland Security, 245
Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information the component(s) may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from affected individuals/organizations/facilities, public
source data, other government agencies and/or information already in other DHS records systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all5" toc="yes">
<systemNumber>/ALL-005</systemNumber>
<subsection type="systemName">DHS Redress and Response Records System.</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained by the Department of Homeland Security at the DHS Data Center in Washington, DC and at a
limited number of remote locations where DHS components or programs maintain secure facilities and conduct DHS’s mission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist of:
</p><p>A. All individuals who submit information through the DHS Traveler Redress Inquiry Program (TRIP).
</p><p>B. All individuals whose records have been referred to a DHS component or program redress process by other components,
programs, or agencies in connection with DHS TRIP.
</p><p>C. Attorneys or other persons representing individuals submitting such requests and appeals and individuals who are
the subjects of such requests.
</p><p>D. DHS personnel or contractors assigned to handle such requests or appeals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>DHS Redress and Response Records System may contain:
</p><p>A. Individual’s name; date of birth; contact information; phone number; e-mail address; address; flight or travel
information; application information, including the date of request and a description of the circumstances that led to
the request of the redress form; passport number; appropriate immigration documents; documents used to support
application for entry; correspondence from individuals regarding their redress requests; records of contacts made by or
on behalf of individuals; documents submitted to verify identity or otherwise support the request for redress; and any
other document relevant and appropriate to the particular redress program.
</p><p>B. For those requesting redress as representatives of affected individuals, representative name, contact information,
phone number, e-mail address, relationship to the affected individuals, and power of attorney.
</p><p>C. The name of the DHS component, DHS program, or other Federal agency, which will be responsible for addressing the
incoming redress request as well as supporting components or agencies.
</p><p>D. Administrative and contact information concerning DHS employees, contractors, or other agency representatives
associated with the processing and/or adjudication of requests submitted to the redress process.
</p><p>E. Appropriate information to reflect the resolution of a particular redress request, information determined during
adjudication of the case, and sensitive information relevant to the redress process for the individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Privacy Act of 1974, 5 U.S.C. 552a, as amended; Intelligence Reform and Terrorism Prevention Act of 2004, section
4012, 49 U.S.C. 114(f); 19 U.S.C. 482, 1461, 1496, and 1581-1582; 8 U.S.C. 1357; Title VII of Public Law 104-
208; 49 U.S.C. 44909; and others.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system maintains records in support of DHS TRIP that: (1) Coordinates DHS traveler redress programs to
create a more efficient, effective, and easier process for individuals who believe they have been denied entry, refused
boarding for transportation, or identified for additional screening at DHS component or program operational locations,
including airports, seaports, train stations and land borders that may result in the individual being delayed or
inconvenienced; and (2) stores information submitted by and collected from the individual or an individual’s
representative and information recompiled from or created from information from other DHS components and program and
other government agencies, in order to address the individual’s redress request.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3):
</p><p>A. To a Federal, State, territorial, tribal, local, international, or foreign government agency or entity for the
purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an
individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity
of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose
of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>B. To a Federal agency or entity that furnished a record or information for the purpose of permitting that agency or
entity to make a decision regarding access to or correction of the record or information or to a Federal agency or entity
that has information relevant to the redress request for purposes of obtaining guidance, additional information, or
advice from such Federal agency or entity regarding the handling of this particular redress request.
</p><p>C. To third parties lawfully authorized in connection with a Federal Government program, which is authorized by law,
regulation, or rule, but only the information necessary and relevant to effectuate or to carry out a particular redress
result for an individual and disclosure is appropriate to enable these third parties to carry out their responsibilities
related to the Federal Government program, such as when the name and appropriate associated information about an
individual who has been cleared and distinguished from a known or suspected threat to aviation security, is shared with
the airlines to prevent future delays and disruptions for that individual while traveling.
</p><p>D. To contractors, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or otherwise have an agency relationship with DHS, when the disclosure is necessary and relevant
to the operation of the DHS TRIP program or the redress process of a DHS component or program in compliance with the
Privacy Act, 5 U.S.C. 552a, as amended, including 5 U.S.C. 552a(m), in the case of the operation of all or a portion of
this system of records on behalf of DHS.
</p><p>E. To an appropriate Federal, State, territorial, tribal, local, international, or foreign law enforcement agency or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
where a record, either on its face or in conjunction with other information, indicates a violation or potential violation
of law, which includes criminal, civil, or regulatory violations and disclosure is appropriate to the proper performance
of the official duties of the person receiving the disclosure.
</p><p>F. To an appropriate Federal, State, territorial, tribal, local, international, or foreign government intelligence
entity, counterterrorism agency, or other appropriate authority charged with investigating threats or potential threats
to national or international security or assisting in counterterrorism efforts, where a record, either on its face or in
conjunction with other information, identifies a threat or potential threat to national or international security, which
includes terrorist activities, and disclosure is appropriate to the proper performance of the official duties of the
person receiving the disclosure.
</p><p>G. To a Congressional office, for 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.
</p><p>H. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>I. To the United States Department of Justice (DOJ) (including United States Attorney offices) or another Federal
agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when it is
necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
(1) The United States, or any department or agency thereof; (2) any employee of DHS in his or her official capacity; or
(3) any employee of DHS in his or her individual capacity where DOJ has agreed to represent said employee.
</p><p>J. To appropriate agencies, entities, and persons when: (1) It is suspected or confirmed that the security or
confidentiality of information in the System of Records has been compromised; (2) DHS has determined that, as a result of
the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or
another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies,
entities, and persons who are reasonably necessary to assist in connection with the DHS’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically at the DHS Data Center in a secure facility. In addition, the records may be
stored on a local system, magnetic disc, tape, CD-ROM, and other digital media, and may also be retained in hard
copy format in secure file folders at the location of the DHS component or program for which the redress process exists.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data are retrievable by the individual’s name or other identifier, such as case number, as well as non-
identifying information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules, and policies, including the
DHS Information Technology Security Program Handbook. The Redress and Response Records System security protocols will
meet applicable NIST Security Standards, from Authentication to Certification and Accreditation. Records in the system
will be maintained in a secure, password-protected electronic system that will utilize security hardware and software to
include multiple firewalls, active intruder detection, and role-based access controls. Additional safeguards will vary by
component and program. All records are protected from unauthorized access through appropriate administrative, physical,
and technical safeguards. These safeguards include restricting access to authorized personnel who have a need-to-know,
using locks, and password protection identification features. DHS file areas are locked after normal duty hours and the
facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>DHS TRIP handles both information collected directly from the individual and information collected from DHS
components and other agencies. DHS is working on a retention schedule with its Senior Records Officer for information
collected directly from the individual. It is anticipated that the retention period for these records will be up to seven
years. To the extent information is collected from other systems, data is retained in accordance with the record
retention requirements of those systems.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The System Manager is the Program Manager, DHS TRIP, U.S. Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Any individual who wants to know whether this system of records contains a record about him or her may contact
the System Manager, noted above. An e-mail address and fax number will be provided to the individual after the submission
of the redress request that may also be used.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for access should be submitted to the System Manager when an individual seeks to access his or her
information. Requesters will be required to provide adequate identification, such as a driver’s license, employee
identification card, or other identifying document. Additional identification procedures may be required in some
instances in accordance with various adjudication procedures related to the redress processing by DHS components or other
agencies.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Requests for correction or amendment must identify the information to be changed and the corrective action
sought. Requests must be submitted to the System Manager as provided above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Any person, including citizens and representatives of Federal, State or local governments; businesses; and
industries. Any Federal system with records appropriate and relevant to the redress process.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to information submitted by and collected from the individual or the
individual’s representative in the course of any redress process associated with this System of Records.
</p><p>This system, however, may contain records or information recompiled from or created from information contained in
other systems of records, which are exempt from certain provisions of the Privacy Act. For these records or information
only, in accordance with 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5), DHS will also claim the original exemption for
these records or information from subsections (c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through
(I), (5), and (8); (f); and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such
information. Such exempt records or information may be law enforcement or national security investigation records, law
enforcement activity and encounter records, or terrorist screening records.
</p><p>These records could come from various DHS systems, such as the Treasury Enforcement Communications System (TECS) and
the Transportation Security Information System (TSIS), or from third agency systems. DHS, after conferring with the
appropriate component or agency, may waive applicable exemptions in appropriate circumstances and where it would not
appear to interfere with or adversely affect the law enforcement or national security purposes of the systems from which
the information is recompiled or in which it is contained. As required under the Privacy Act, DHS will issue a rule to
describe more fully the needs and requirements for taking such exemptions on such information.
</p></xhtmlContent></subsection></section>
<section id="all6" toc="yes">
<systemNumber>/ALL-006</systemNumber>
<subsection type="systemName">Department of Homeland Security Accident Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC,
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include DHS employees or contractors and non-employees who have
been injured on DHS property, or while performing their official duties. DHS employees or other individuals who file
claims seeking benefits under the Federal Employee Compensation Act File (FECA) are covered by DOL/GOVT-1 Workers’
Compensation Programs, Federal Employee Compensation Act File, and are not included in this DHS system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Injured person’s name;
</p><p>&#149; Individual’s age;
</p><p>&#149; Job title;
</p><p>&#149; Length of employment and current position;
</p><p>&#149; Employee classification;
</p><p>&#149; Home address;
</p><p>&#149; Telephone number;
</p><p>&#149; Accident and investigation reports;
</p><p>&#149; Accident and/or report number;
</p><p>&#149; Date of accident;
</p><p>&#149; Place of accident;
</p><p>&#149; Nature of accident;
</p><p>&#149; Operator license;
</p><p>&#149; Insurance information;
</p><p>&#149; Description of injury;
</p><p>&#149; Description of vehicles involved (title, make, year, license number, driver), if applicable;
</p><p>&#149; Type of treatment given;
</p><p>&#149; Description of the damaged property;
</p><p>&#149; Root cause analysis;
</p><p>&#149; Safety and health programs involved;
</p><p>&#149; Records of injuries and illnesses;
</p><p>&#149; Physicians’ reports;
</p><p>&#149; Incident analysis;
</p><p>&#149; Short-term and long-term preventive actions taken;
</p><p>&#149; Correspondence involving insurance claims; and
</p><p>&#149; Witness, suspect, subject information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; Section 19 of Occupational Health &amp; Safety Act of
1970; 5 U.S.C. 8101-8150, 8191-8193; Executive Order 11807.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document accidents that occur on DHS property or while an employee or contractor
is on official duty.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. &#167;&#167; 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the employee’s beneficiary in the event of death following the accident or injury or to the employee’s agent in
case of disability.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>J. To third parties during the course of law enforcement 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><p>K. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health threat or
risk.
</p><p>L. To Department of Labor for processing and adjudicating claims under the Federal Employee’s Compensation Act or
other workmen’s compensation claims.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, accident and/or report number, and/or date of accident.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed six years after a case is closed, in accordance with National Archives and Records
Administration General Records Schedule 10, Item 5.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department
of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates with individuals, including employees and contractors, who have been injured on DHS
property or while excising their official duties. Police reports, witness reports, statements from employees’
supervisors, doctors’ reports, reports of investigations conducted DHS, and/or insurance claims may also be included.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (d) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(3).
</p></xhtmlContent></subsection></section>
<section id="all7" toc="yes">
<systemNumber>/ALL-007</systemNumber>
<subsection type="systemName">Department of Homeland Security Accounts Payable Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual or organization who serves as a creditor to DHS, including parties in interest for whom
reimbursable services are performed and employees for travel related reimbursements.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Tax identification number, which may be social security number in certain instances;
</p><p>&#149; Addresses;
</p><p>&#149; Importer of record number;
</p><p>&#149; Records of expenses (bills, refund checks, out-of-pocket travel expenses);
</p><p>&#149; Records of payments;
</p><p>&#149; Disbursement schedules;
</p><p>&#149; Monies owed; and
</p><p>&#149; Electronic financial institution data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107-
296, 6 U.S.C. 121; 19 U.S.C. 261, 267 &amp; 1451; 19 CFR 24.16 &amp; 24.17; Executive Order 11348, as amended by
Executive Order 12107; and Executive Order 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain the information from individuals in connection with
reimbursable services provided to DHS to ensure the Department properly pays these individuals. This system will allow
DHS to maintain payment records and record monies owed.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114.
</p><p>I. To Federal servicing agencies to reimburse individuals who perform services.
</p><p>J. To the Department of the Treasury to effect disbursement of authorized payments.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, tax identification number/social security number, employee
identification number, by individual’s importer of record number, and/or other personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed six years and three months after final payment, in accordance with National Archives and
Records Administration General Records Schedule 3, Item 3.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates with DHS, its components and offices, and individuals submitting supporting documentation
for reimbursement.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all8" toc="yes">
<systemNumber>/ALL-008</systemNumber>
<subsection type="systemName">Department of Homeland Security Accounts Receivable Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual who is indebted to DHS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Addresses;
</p><p>&#149; Waiver of Debt Letter of Appeal;
</p><p>&#149; Receipts;
</p><p>&#149; Notices of debts;
</p><p>&#149; Invoices;
</p><p>&#149; Record of payments, including refunds and overpayments;
</p><p>&#149; Number and amount of unpaid or overdue bills;
</p><p>&#149; Record of satisfaction of debt or referral for further action;
</p><p>&#149; Correspondence and documentation with debtors and creditors; and
</p><p>&#149; Electronic financial institution data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107-
296, 6 U.S.C. 121; Public Law 89-508; Federal Claims Collection Act of 1966, 31 U.S.C. 3701; Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to keep track of debts owed to DHS.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where Department of Justice or DHS has agreed to represent the
employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>I. To a Federal, State, or local agency so that the agency may adjudicate an individual’s eligibility for a benefit.
</p><p>J. To the Department of Justice or other Federal agency for further collection action on any delinquent debt when
circumstances warrant.
</p><p>K. To a debt collection agency for the purposes of debt collection.
</p><p>L. To requesting agencies or non-Federal entities under approved computer matching efforts to improve program
integrity and to collect debts and other money owed under those programs (e.g. matching for delinquent loans or other
indebtedness to the Government). Computer matching efforts are limited only to those data elements considered relevant to
making a determination of eligibility under a particular benefit program administered by those agencies or entities, or
by the Department of Treasury, or any constituent unit of the Department.
</p><p>M. 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.
</p><p>N. To Federal servicing agencies to record payments received;
</p><p>O. To the General Accounting Office, Department of Justice, or a United States Attorney, copies of the Debt Collection
Officer’s file regarding the debt and actions taken to attempt to collect monies owed.
</p><p>P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>To consumer reporting agencies, as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f) or the Federal
Claims Act of 1966, 31 U.S.C. 3701(a)(3). Disclosure to consumer reporting agencies is made pursuant to 5 U.S.C. 552a(b)
(12).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, personnel number, social security number, and/or other personal
identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed six years and three months after period covered by the account, in accordance with National
Archives and Records Administration General Records Schedule 6, Item 1 and Item 10.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates with DHS and its components.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all9" toc="yes">
<systemNumber>/ALL-009</systemNumber>

<subsection type="systemName">Department of Homeland Security Advisory Committees.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS in both Washington, DC,
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include any individual who applied to be on a committee, is
currently serving on a committee, and/or has served on a committee and is no longer serving. Committee alternates are
also included in this system. Individuals may be Federal employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Place and date of birth;
</p><p>&#149; Gender;
</p><p>&#149; Ethnicity;
</p><p>&#149; Home address;
</p><p>&#149; E-mail address;
</p><p>&#149; Telephone number(s);
</p><p>&#149; Political affiliation, when appropriate;
</p><p>&#149; Work address;
</p><p>&#149; Employer;
</p><p>&#149; Title;
</p><p>&#149; Marital status;
</p><p>&#149; Military service;
</p><p>&#149; Education;
</p><p>&#149; Registration in professional societies;
</p><p>&#149; Work experience;
</p><p>&#149; Record of performance;
</p><p>&#149; Publications authored;
</p><p>&#149; Membership on boards and committees;
</p><p>&#149; Professional awards; and
</p><p>&#149; Other information which can be used to determine if the individual is fit to serve on the committee, such
as description of private associations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Pub. L. 92-463, Federal Advisory Committee Act, as
amended; 5 U.S.C., App. 2 &#167; 8; E.O. 9397; 14 U.S.C. 632; The Omnibus Budget Reconciliation Act of 1987, Pub. L.
101-103, sec 9503(c), 101 Stat. 1330, 1330-381 (1987) (codified at 19 U.S.C. sec 2071 note).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain information on advisory committee members. This system also
collects and maintains information on applicants to identify the most qualified applicant and ensure a balanced advisory
committee.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or it the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To the General Services Administration to facilitate committee management within the Federal Government.
</p><p>J. To an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity
investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance,
complaint, or appeal filed by an employee.
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual name and/or personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records documenting the committee’s establishment, membership, policy, organization, deliberations, findings, and
recommendations are permanent. These files are transferred to the National Archives and Records Administration on
termination of the committee, in accordance with National Archives and Records Administration General Records Schedule
26. Earlier transfer is authorized for committees operating for three years or longer. Files relating to day-to-day
committee activities and/or do not contain unique information of historical value are destroyed/deleted when the records
are three years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters or the component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>From the individual of record.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all10" toc="yes">
<systemNumber>/ALL-010</systemNumber>
<subsection type="systemName">Department of Homeland Security Asset Management Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC,
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include all current and former DHS employees, and contractors
assigned government-owned assets.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records maintained in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; E-mail address;
</p><p>&#149; Office name;
</p><p>&#149; Office location;
</p><p>&#149; Office telephone number;
</p><p>&#149; Property management records, which include information on government-owned property (<i>e.g.</i> laptop
computers, communication equipment, firearms, and other assets) in the personal custody of the individuals covered by
this system and used in the performance of their official duties, as well as outstanding debts related to said property.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 40 U.S.C. 121; 41 CFR Chapter 101; and Executive Order
9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to track all DHS-owned or controlled property that has been issued to current and
former DHS employees and contractors.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, as
amended, 5 U.S.C. 7111 and 7114.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, personnel number, and/or other unique personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have the appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed in accordance with the following: National Archives Records Administration General Record
Schedule 10, Motor Vehicle and Aircraft Maintenance and Operations Records, Items 2a (destroy when three months old) and
5 (destroy six years after case is closed); General Record Schedule 8, Stores, Plant, and Cost Accounting Records, Item 5
(destroy when three years old), and General Records Schedule 23 (destroy two-five years), Records Common to Most Offices
within Agencies.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are generated from property purchase orders and receipts; acquisition, transfer and disposal data;
employee locator documentation, or otherwise from the record subject.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all11" toc="yes">
<systemNumber>/ALL-011</systemNumber>
<subsection type="systemName">Department of Homeland Security Biographies and Awards.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual including DHS senior leadership, past and present, whose biographical information is collected and
distributed by DHS. This system includes President’s, Secretary’s, and Component Leadership’s award recipients and
nominees who are not DHS employees. Award recipients who are DHS employees are covered under OPM/GOVT-2 Performance
File System Records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Individual’s date of birth;
</p><p>&#149; Individual’s place of birth;
</p><p>&#149; Individual’s photo;
</p><p>&#149; Individual’s work history and experience;
</p><p>&#149; Individual’s education;
</p><p>&#149; Individual’s military experience, if applicable;
</p><p>&#149; Individual’s civic duties and previous awards;
</p><p>&#149; Individual’s hometown;
</p><p>&#149; Type of award received/nominated for (<i>e.g.</i>, President’s, Secretary’s, or Component Leadership’s);
</p><p>&#149; Name of the nominating official;
</p><p>&#149; Nomination materials including a summary of the individual’s outstanding accomplishments, distinguished
service, or extraordinary valor to make he/she eligible for an award and published factual account of the nominee’s
accomplishments;
</p><p>&#149; Individual’s other relevant information that may be collected and distributed to the public.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107-
296.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect biographical and award information of individuals, primarily DHS senior
leadership and President’s, Secretary’s, and Component Leadership’s award recipients and nominees, in order to provide
information to the media and the public.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside the DHS as a routine use pursuant to 5
U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where Department of Justice or DHS has agreed to represent the
employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. 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.
</p><p>H. To audiences attending a particular event when the biographies of speakers are used as background in introductions
or other informational material.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name and type of award.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permission.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records at the executive level (<i>e.g.</i> Secretary, Deputy Secretary, and Chief of Staff) are permanent.
These records are cut off when superseded or obsolete, and are transferred to the National Archives one year after cut
off. Records at the non-executive level are temporary. These records are cut off when superseded or obsolete, and are
destroyed or deleted upon cutoff or when no longer needed for administrative purposes. General award records, including
recommendations, approved nominations, correspondence, reports, and related handbooks pertaining to agency-sponsored cash
and non-cash awards are retained for two years and then destroyed. Lists of agency award nominees and winners are
destroyed when superseded or obsolete.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters or the component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you, </p><p>&#149; Identify
which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system comes from the individual employee, personnel officers, and co-workers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all12" toc="yes">
<systemNumber>/ALL-012</systemNumber>

<subsection type="systemName">Department of Homeland Security Childcare.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the DHS offices and childcare facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DHS employees, other Federal Employees, and other individuals at Family Childcare (FCC) Homes enrolled in DHS-
sponsored childcare programs and eligible children.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Employee’s/guardian’s name;
</p><p>&#149; Employee’s/guardian’s home address;
</p><p>&#149; Employee’s/guardian’s home phone;
</p><p>&#149; Employee’s/guardian’s financial information to include:
</p><p>&#9675; Salary information;
</p><p>&#9675; Family income;
</p><p>&#9675; Credit card information;
</p><p>&#9675; Bank information;
</p><p>&#149; Employee’s/guardian’s work address;
</p><p>&#149; Employee’s/guardian’s work phone;
</p><p>&#149; Employee’s/guardian’s email address;
</p><p>&#149; Emergency contact’s name;
</p><p>&#149; Emergency contact’s address;
</p><p>&#149; Emergency contact’s phone;
</p><p>&#149; Child’s name;
</p><p>&#149; Child’s address;
</p><p>&#149; Child’s phone;
</p><p>&#149; Medical, dental, and insurance provider data;
</p><p>&#149; Medical history of the child including records of immunizations, allergies, and current medications;
</p><p>&#149; Records of physical, emotional, or other special care requirements;
</p><p>&#149; A picture of the child;
</p><p>&#149; Correspondence between the childcare facility and the guardian, such as authorization to release the child
to another person besides the guardian and field trip permission slips; and
</p><p>&#149; Records provided by parents/guardians to enhance cultural and social enrichment activities. These records
may include family background, cultural, and ethnic data such as religion, native language, and family composition.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 515; 40 U.S.C. 590, Childcare Services for Federal Employees; The Federal Records Act, 44
U.S.C. 3101; Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer DHS-sponsored childcare programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To provide to Federal, State, or local governments and agencies to report medical conditions and other data
required by law; in order to aid in preventive health and communicable disease control problems.
</p><p>I. To the Department of Agriculture for use in determining eligibility to participate in the Childcare Food Program.
</p><p>J. To appropriate State and local governmental agencies as well as non-profit organizations to determine eligibility
for State and local or non-profit childcare subsidies.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the employee/guardian’s name and by the child’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Child’s record file is destroyed three years after date of last action. Registration/medical forms may be sent to
another facility if a child transfers. Child Care Food Program eligibility records are transferred to an audit file at
the end of each year where they are not retrieved by child’s name. Records subject to an audit are destroyed after three
years or after being audited, whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are generated from guardians and child’s medical care providers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all13" toc="yes">
<systemNumber>/ALL-013</systemNumber>
<subsection type="systemName">Department of Homeland Security Claims Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual or entity who submits a claim to DHS and/or its components or against whom DHS files a claim.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s or entity’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Entity’s corporate tax identification number;
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Description of the claim;
</p><p>&#149; Status of the claim;
</p><p>&#149; Banking account and routing number;
</p><p>&#149; Correspondence between the claimant or claimant’s representative and DHS;
</p><p>&#149; Witness statements;
</p><p>&#149; Photos;
</p><p>&#149; Documents submitted by the claimant or claimant’s representative in support of the claim; and
</p><p>&#149; Documents relating to the administrative handling of the claim.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107-
296; 6 U.S.C. 121; 28 U.S.C. 2671-2680; Federal Tort Claims Act; and Executive Order 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to respond to and process claims submitted to, or by, DHS, including requests for
waivers of claims.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>I. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable disease or to combat other
significant public health threats; appropriate notice will be provided of any identified health threat or risk.
</p><p>J. To another Federal agency or third party, including insurance companies or worker’s compensation carriers, when the
claimant(s) may be covered for the damage, loss or injury by insurance and/or a third party is alleged to have or may
have, caused or contributed to the damage, loss or injury of the claimant(s).
</p><p>K. To foreign governments when the claimant is a citizen of that foreign nation or when the United States has an
agreement with that foreign country which affects payment of the claim
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s or entity’s name, Social Security number, corporate tax identification
number, address, description and status of claim, and/or other personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed after six years and three months of claim settlement, in accordance with National Archives
and Records Administration General Records Schedule 6, Item 10. For claims which the Government’s right to collect was
not extended, records are destroyed ten years, three months after the year in which the Government’s right to collect
first accrued, in accordance with National Archives and Records Administration General Records Schedule 6, Item 10.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates from individuals and entities who submit claims, responses to claims, or requests for
waiver of claims to DHS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C.(j)(2). In additional, the Secretary of Homeland
Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(1), (2), and (3).
</p></xhtmlContent></subsection></section>
<section id="all14" toc="yes">
<systemNumber>/ALL-014</systemNumber>
<subsection type="systemName">Department of Homeland Security Emergency Personnel Location Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Key DHS personnel (to include Federal employees and contractors) and other individuals who may be required to
respond to all hazards emergencies including technical, manmade or natural disasters, or to participate in exercises.
Also included are individuals whom employees identify to be contacted in the event of an all hazards emergency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Individual’s social security number (security clearance information);
</p><p>&#149; Individual’s date of birth (security clearance information);
</p><p>&#149; Individual’s work address;
</p><p>&#149; Individual’s title;
</p><p>&#149; Individual’s position and duty status;
</p><p>&#149; Individual’s supervisor;
</p><p>&#149; Individual’s clearance and access level;
</p><p>&#149; Individual’s skills inventory;
</p><p>&#149; Individual’s (volunteered) medical information;
</p><p>&#149; Individual’s home address;
</p><p>&#149; Individual’s e-mail addresses;
</p><p>&#149; Individual’s office phone number;
</p><p>&#149; Individual’s home phone number;
</p><p>&#149; Individual’s cell phone number;
</p><p>&#149; Individual’s cell pin number;
</p><p>&#149; Individual’s fax number;
</p><p>&#149; Individuals pager number;
</p><p>&#149; Individuals height, weight, and other personal characteristics, if applicable;
</p><p>&#149; Individual’s emergency response group/non-emergency response group status;
</p><p>&#149; Emergency contact’s name;
</p><p>&#149; Emergency contact’s relationship to individual;
</p><p>&#149; Emergency contact’s work address;
</p><p>&#149; Emergency contact’s home address;
</p><p>&#149; Emergency contact’s office phone number;
</p><p>&#149; Emergency contact’s home phone number;
</p><p>&#149; Emergency contact’s cell phone number;
</p><p>&#149; Emergency contact’s e-mail addresses;
</p><p>&#149; Emergency recall rosters;
</p><p>&#149; Identification credentials for access to regulated facilities;
</p><p>&#149; Contractor’s company or organization name;
</p><p>&#149; Any other phone numbers that may be needed in the event of an all hazards emergency.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; Homeland Security Act of 2002; Public Law 107-296, 6
U.S.C. 121; and Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to contact necessary DHS personnel, including Federal employees and contractors,
and other individuals to respond to all hazards emergencies including technical, manmade or natural disasters, or to
participate in exercises. In addition, the information in this system will facilitate the contact of DHS personnel’s
families or other in the event of a personal emergency such as an injury concerning the workplace.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or another Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate Federal, state or local agency, including the Department of Defense and specifically the U.S. Air
Force, if the information is relevant and necessary, for the requesting agency’s approval on the issuance of a security
clearance or for the purpose of providing support in an all hazards emergencies including technical, manmade or natural
disasters.
</p><p>I. To Federal, State, and local governmental agencies or executive offices, relief agencies, 501 c3s, and non-
governmental organizations, when disclosure is appropriate for proper coordination of homeland security efforts or
assistance, protective functions conducted pursuant to title 18 of the United States Code, section 3056 or 3056a, or the
proper performance of the official duties required in response to all hazards or national security emergencies including
technical, manmade or natural disasters.
</p><p>J. To identified emergency contacts of:
</p><p>1. DHS personnel, including Federal employees and contractors;
</p><p>2. Federal employees or contractors who participate in or conduct exercises; or
</p><p>3. Federal employees or contractors who respond to all hazards emergencies including technical, manmade or natural
disasters.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, location, personnel number (if applicable), and/or other personal
identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records regarding all hazard emergencies are destroyed three years after issuance of a new plan or directive, in
accordance with National Archives and Records Administration General Records Schedule 18, Item 27. Records regarding
supervisors’ files will be destroyed within 1 year after separation or transfer of the employee, in accordance with
National Archives and Records Administration General Records Schedule 1, Item 18.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates within DHS and its components and offices along with personnel who submit information such
as emergency contacts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all15" toc="yes">
<systemNumber>/ALL-015</systemNumber>

<subsection type="systemName">Department of Homeland Security Employee Assistance Program Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations, in component offices of DHS, in both Washington, DC and
field locations, and by contractor locations on behalf of DHS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of DHS and members of the families of current and former employees of DHS who have
been referred for assistance or counseling, are being assisted or counseled, or have been assisted or counseled by DHS
EAP.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Identifying information regarding the person who has sought or been referred for counseling, including:
</p><p>&#9675; Name, social security number, home address, duty station, unit name and phone numbers.
</p><p>&#9675; Date of birth.
</p><p>&#9675; Job title and grade.
</p><p>&#9675; Supervisor’s name, address, and telephone number (if appropriate).
</p><p>&#149; Clinical information as appropriate, including:
</p><p>&#9675; Privacy Act and written consent forms.
</p><p>&#9675; A psychosocial history and assessment.
</p><p>&#9675; Medical records.
</p><p>&#9675; Correspondence with the client.
</p><p>&#9675; Clinical and education interventions.
</p><p>&#9675; Sessions held.
</p><p>&#9675; Employee records of attendance at treatment, kinds of treatment, and counseling programs.
</p><p>&#9675; Name, address and phone number of individuals providing treatment.
</p><p>&#9675; Name, address and phone number of treatment facilities.
</p><p>&#9675; Notes and documentation of internal EAP counselors.
</p><p>&#9675; Referrals to other providers, include name(s), addresses, and contact information.
</p><p>&#9675; Insurance data.
</p><p>&#9675; Prognosis of treatment information.
</p><p>&#9675; Intervention outcomes.
</p><p>&#149; Work-related information, especially if the client has been referred by management, including:
</p><p>&#9675; Leave and attendance records.
</p><p>&#9675; Performance records.
</p><p>&#9675; Documentation of alleged inappropriate behavior including records of workplace violence.
</p><p>&#9675; Documentation of the reason for referral.
</p><p>&#9675; Documentation of management interventions.
</p><p>&#9675; Workplace-related recommendations made to supervisors as a result of a team meeting.
</p><p>&#149; Records of illegal drug or alcohol use if the employee has been referred for those reasons, including:
</p><p>&#9675; Verified positive test results for use of illegal drugs.
</p><p>&#9675; Verified positive test results for alcohol consumption on the job above limits as outlined in Department
policy.
</p><p>&#9675; Substance abuse assessment, treatment, aftercare, and monitoring records.
</p><p>&#149; Sexual Assault Prevention and Response Program case records. These records are used to facilitate services
for victims and their family members as appropriate. In addition to information cited above these records may contain
Victim Reporting Preference Statement, case notes, and safety plan. Records may also contain descriptions of alleged
assaults.
</p><p>&#149; Victim Support Person or Victim Advocate records. These records are maintained in conjunction with efforts
to provide assistance to victims of crime. Records contain signed Victim Support Person or Victim Advocate Statement of
Understanding and Victim Support Person or Victim Advocate Supervisor Statement of Understanding, assignment information,
and notes regarding results of screening interview, relevant training received, and any other information relevant to the
Victim Support Person’s or Victim Advocate’s provision of support services to victims.
</p><p>&#149; Critical Incident Stress Management Peer Volunteers records. These records contain statement of
understanding, notes regarding screening interview, record of related training received and any other information
relevant to the peer’s provision of services when deployed after a critical incident.
</p><p>If the EAP participant is a family member of a DHS employee, the same information may be collected.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002; Public Law 107-
296; 5 U.S.C. 7361, 7362, 7901, 7904; 42 U.S.C. 290dd-2; Executive Order 9373; and Executive Order 12564.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This record system will maintain information gathered by and in the possession of the DHS EAP, an internal agency
program designed to assist employees of DHS and, in certain instances, their families, in regard to a variety of personal
and/or work-related issues.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of substance abuse records is limited to the parameters set forth in 42 U.S.C. 290dd, 290ee, and
Public Law 100-71, Section 503(e). Accordingly, a Federal employee’s substance abuse records may not be disclosed
without the prior written consent of the employee, unless the disclosure would be one of the following:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>C. To contractors and their agents, grantees, experts, consultants, and others (e.g. providers contracted to provide
EAP services to DHS employees) performing or working on a contract, service, grant, cooperative agreement, or other
assignment for DHS, 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 DHS officers and employees.
</p><p>D. To appropriate State and local authorities to report, under State law, incidents of suspected child abuse or
neglect to the extent described under 42 CFR 2.12.
</p><p>E. To any person or entity to the extent necessary to prevent an imminent and potential crime which directly threatens
loss of life or serious bodily injury.
</p><p>F. To report to appropriate authorities when an individual is potentially at risk to harm himself or herself or
others.
</p><p>G. To medical personnel to the extent necessary to meet a bona fide medical emergency.
</p><p>H. To medical personnel to the extent necessary to meet a bona fide medical emergency;
</p><p>I. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or
program evaluation provided that employees are individually identified;
</p><p>J. To the employee’s medical review official;
</p><p>K. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment
or is otherwise participating;
</p><p>L. To any supervisory or management official within the employee’s agency having authority to take adverse personnel
action against such employee; or
</p><p>M. Pursuant to the order of a court of competent jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action. See 42 U.S.C. 290dd, 290ee, and Public Law 100-71,
Section 503(e).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, social security number, date of birth, unit name, and/or other
personal identifier related to their specific EAP case.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All records with the exception of the Sexual Abuse Prevention and Response Program records are destroyed three
years after termination of counseling for each distinct presenting issue or after the conclusion of litigation, in
accordance with National Archives and Records Administration General Records Schedule 1, Item 26.
</p><p>Sexual Abuse Prevention and Response Program records are retained until five years after the client has ceased contact
or, if later, for five years after last disclosure of information from the record.
</p><p>All records are retained beyond their normal maintenance period until any pending litigation is completed. This will
be true whether or not the client has terminated employment with DHS. Individual States may require longer retention. The
rules in this system notice should not be construed to authorize any violation of such state laws that have greater
restrictions.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland
Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>http://www.dhs.gov/foia</i>
under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates from personnel seeking assistance, DHS and its components and offices, counselors,
treatment facilities, and in certain cases family members, friends, and coworkers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dhs" toc="yes">
<systemNumber>/ALL-016</systemNumber>

<subsection type="systemName">Department of Homeland Security Correspondence Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who submit inquiries, complaints, comments, or other correspondence to DHS, and the responding party
on behalf of DHS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Individual’s address;
</p><p>&#149; Individual’s e-mail address;
</p><p>&#149; Web form information (e.g., IP addresses);
</p><p>&#149; Who the complaint, compliment, comment or issue is about;
</p><p>&#149; Incoming correspondence;
</p><p>&#149; DHS’s reply;
</p><p>&#149; Responder’s name on behalf of DHS;
</p><p>&#149; Additional unsolicited personal information provided by the individual; and
</p><p>&#149; Other related materials.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to manage incoming information and responses to inquiries, comments, or complaints
made to DHS.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To another Federal agency to refer correspondence or respond to correspondence given the nature of the complaint,
compliment, comment or issue.
</p><p>I. 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
action, or grievances, or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual name and date of correspondence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Executive level records are permanent, and files are cut off annually and transferred to the National Archives
and Records Administration 10 years after cut off date, in accordance with National Archives and Records Administration
General Schedule N1-563-07-13-4 (Pending NARA Approval). Non-executive level records are
destroyed after 10 years, in accordance with a pending National Archives and Records Administration General Records
Schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland
Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>http://www.dhs.gov/foia</i>
under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or the component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information used to compile records in this system is taken from all sources of incoming correspondence and
response correspondence by DHS. A non-exclusive list of correspondence sources may include members of the general public,
unions, trade organizations, non-profits, business or governmental entities, including the news media and congressional
offices.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all17" toc="yes">
<systemNumber>/ALL-017</systemNumber>
<subsection type="systemName">General Legal Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified and Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at DHS and component locations in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include DHS employees and former employees, other federal agency
employees and former employees, members of the public, individuals involved in litigation with DHS or involving DHS,
individuals who either file administrative complaints with DHS or are the subjects of administrative complaints initiated
by DHS, individuals who are named parties in cases in which DHS believes it will or may become involved, matters within
the jurisdiction of the Department either as plaintiffs or as defendants in both civil and criminal matters, witnesses,
and to the extent not covered by any other system, tort and property claimants who have filed claims against the
Government and individuals who are subject of an action requiring approval or action by a DHS official, such as appeals,
actions, training, awards, foreign travel, promotions, selections, grievances and delegations, OGC attorneys to whom
cases are assigned, and attorneys and authorized representatives for whom DHS has received complaints regarding their
practices before DHS and/or the Executive Office for Immigration Review (EOIR).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Names of individuals involved in each legal case;
</p><p>&#149; Names of witnesses;
</p><p>&#149; Records relating to litigation by or against the U.S. Government (or litigation in which the U.S.
Government is not a party, but has an interest) resulting from questions concerning DHS cases and legal actions that the
Department either is involved in or in which it believes it will or may become involved;
</p><p>&#149; Claims by or against the Government, other than litigation cases, arising from a transaction with DHS, and
documents related thereto, including demographic information, vouchers, witness statements, legal decisions, and related
material pertaining to such claims;
</p><p>&#149; Investigation reports;
</p><p>&#149; Legal authority;
</p><p>&#149; Legal opinions and memoranda;
</p><p>&#149; Criminal actions;
</p><p>&#149; Criminal conviction records;
</p><p>&#149; Claims and records regarding discrimination, including employment and sex discrimination;
</p><p>&#149; Claims and records regarding the Rehabilitation Act;
</p><p>&#149; Claims against non-DHS attorneys and/or representatives who engage in unethical activities or exhibit
unprofessional behavior;
</p><p>&#149; Copies of petitions filed with DHS;
</p><p>&#149; Personnel matters;
</p><p>&#149; Contracts;
</p><p>&#149; Foreclosures;
</p><p>&#149; Actions against DHS officials;
</p><p>&#149; Titles to real property;
</p><p>&#149; Records relating to requests for DHS records other than requests under the Freedom of Information Act and
the Privacy Act of 1974;
</p><p>&#149; Testimonies of DHS employees in federal, state, local, or administrative criminal or civil litigation;
</p><p>&#149; Documentary evidence;
</p><p>&#149; Supporting documents including the legal and programmatic issues of the case, correspondence, legal
opinions and memoranda and related records;
</p><p>&#149; State Bar grievance/discipline proceedings records;
</p><p>&#149; Security Clearance Information
</p><p>&#149; Records concerning requests for information regarding the use of reproductions of obligations of the
United States, including bonds, checks, coins, coupons, currencies (U.S. and foreign), fractional notes, postage stamps
(U.S. and foreign), postal money orders, and postmarks;
</p><p>&#149; 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;
</p><p>&#149; Employee and former employee ethics question forms and responses; and
</p><p>&#149; Court transcripts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107-
296; The Aviation and Transportation Security Act, Public Law 107-71.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to assist DHS attorneys in providing legal advice to DHS personnel on a wide
variety of legal issues; to collect the information of any individual who is, or will be, in litigation with the
Department, as well as the attorneys representing the plaintiff(s) and defendant(s) response to claims by employees,
former employees, and other individuals; to assist in the settlement of claims against the government; to represent DHS
during litigation, and to maintain internal statistics.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency or federal
executive office conducting litigation or in anticipation of litigation before any court, adjudicative or administrative
body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in
such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee or former employee of DHS in his/her individual capacity where the Department of Justice or DHS has
agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>I. To third parties during the course of an 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><p>J. To a federal, state, local, tribal, foreign, or international agency, where such agency has requested information
relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance, license,
contract, grant, or other benefit, or if necessary to obtain information relevant to a DHS decision concerning the hiring
or retention of an individual, the issuance of a security clearance, license, contract, grant, or other benefit.
</p><p>K. To international and foreign governmental entities in accordance with law and formal or informal international
agreement.
</p><p>L. To State Bar Grievance Committees and local Attorney General offices for disbarment or disciplinary proceedings.
</p><p>M. 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.
</p><p>N. To the appropriate federal, state, local, tribal, territorial, foreign, or international agency, regarding
individuals who pose or are suspected of posing a risk to transportation or national security.
</p><p>O. To a former employee of DHS, 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 Department requires information or consultation assistances from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>P. 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.
</p><p>Q. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>R. To the Department of Transportation and its operating administrations when necessary or relevant to (1) Ensure
safety and security in any mode of transportation, (2) enforce DHS regulations or requirements, or (3) the issuance,
maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12)
collecting on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities behind a locked door. The
electronic records are stored on magnetic disc, tape, digital media, CD-ROM, and computer.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>For DHS Headquarters, records are kept for 10 years, in accordance with National Archives and Records
Administration General Records Schedule [schedule in process.] For components of DHS, retention may vary. Please contact
the component system manager.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The System Managers are the respective General Counsel/Chief Counsel for DHS and each of its components. Their
addresses will vary according to each component.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters’ or component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"contacts." If an individual believes more than one component maintains Privacy Act records concerning him or
her the individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray
Drive, SW., Building 410, STOP-0665, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-(866) 431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates with DHS and its components, court subpoenas, law enforcement agencies, other federal,
state, and local courts, state bar licensing agencies, state bar grievance agencies, and inquiries and/or complaints from
witnesses or members of the general public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (c)(4); (d); (e)(1), (e)
(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8); (e)(12); (f); (g)(1); and (h) of the Privacy Act pursuant
to 5 U.S.C. 552a(j)(2). In addition, the Secretary of Homeland Security has exempted this system from subsections (c)(3);
(d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3),
and (k)(5).
</p></xhtmlContent></subsection></section>
<section id="all18" toc="yes">
<systemNumber>/ALL-018</systemNumber>
<subsection type="systemName">Department of Homeland Security Grievances, Appeals, and Disciplinary Action Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All current and former DHS personnel about whom disciplinary action has been proposed or has occurred, personnel
who have filed grievances and/or appeals, and personnel suspected of misconduct.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Addresses;
</p><p>&#149; Restriction letters;
</p><p>&#149; Reprimands;
</p><p>&#149; Suspensions;
</p><p>&#149; Adverse actions;
</p><p>&#149; Grievances;
</p><p>&#149; Appeals;
</p><p>&#149; Correspondence;
</p><p>&#149; Management requests for assistance;
</p><p>&#149; Evidentiary materials on which action is contemplated, proposed or taken;
</p><p>&#149; Regulatory materials;
</p><p>&#149; Reports of investigation into alleged employee misconduct; and
</p><p>&#149; Examiners’ reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; the Homeland Security Act of 2002, Public Law 107-
296; and Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document all current and former DHS personnel who have been the subject of
proposed or final disciplinary action, have filed a grievance or appeal, or have been suspected of misconduct.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>D. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>E. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>F. To third parties during the course of a law enforcement 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><p>G. To the Office of Personnel Management, the Merit Systems Protection Board, Federal Labor Relations Authority, or
the Equal Employment Opportunity Commission when requested in the performance of their authorized duties.
</p><p>H. To any source or potential source from which information is requested in the course of an investigation concerning
the retention of an employee or other personnel action (other than hiring), or the retention of a security clearance,
contract, grant, license, or other benefit, to the extent necessary to identify the individual, inform the source of the
nature and purpose of the investigation, and to identify the type of information requested.
</p><p>I. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved alphabetically by individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed no sooner than 2 years but no later than 7 years after a case is closed, in accordance with
National Archives and Records Administration General Records Schedule 1, Civilian Personnel Records, Item 30, and General
Records Schedule 18, Security and Protective Services, Item 11.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department
of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates within DHS and its components, supervisors, union representatives, and employees who
submit a grievance or appeal.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional, the Secretary of Homeland
Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(1), (2), (3) and (5).
</p></xhtmlContent></subsection></section>
<section id="all19" toc="yes">
<systemNumber>/ALL-019</systemNumber>
<subsection type="systemName">Department of Homeland Security Payroll, Personnel, and Time and Attendance Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations; in component offices of DHS, in both Washington, DC and
field locations; and at DHS contractual or other Federal agency payroll service provider locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of DHS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p><i>Payroll</i>
</p><p>&#149; Taxes;
</p><p>&#149; Other Deductions;
</p><p>&#149; Garnishments;
</p><p>&#149; Salary Data;
</p><p>&#149; Retirement Data;
</p><p>&#149; Pay Period;
</p><p>&#149; Fiscal Year Data;
</p><p>&#149; Benefits; and
</p><p>&#149; Direct Deposit Information.
</p><p><i>Personnel</i>
</p><p>&#149; Social security number;
</p><p>&#149; Employee’s Name;
</p><p>&#149; Date of Birth;
</p><p>&#149; Gender, Race/National Origin, and Disability Data;
</p><p>&#149; Address Data;
</p><p>&#149; Duty Location;
</p><p>&#149; Position Data;
</p><p>&#149; Awards and Bonuses;
</p><p>&#149; Employment verification information;
</p><p>&#149; Education and training data; and
</p><p>&#149; Military and veterans data.
</p><p><i>Time and Attendance</i>
</p><p>&#149; Number and type of Hours Worked, (type may for example include, regular law enforcement availability pay
(LEAP), overtime (including administratively uncontrollable overtime (AUO)), night differential, and Federal Equal Pay
Act (FEPA));
</p><p>&#149; Compensatory time earned and used;
</p><p>&#149; Compensatory travel earned;
</p><p>&#149; Investigative case title and tracking number (used to track time worked associated with a specific case);
</p><p>&#149; Fair labor Standards Act (FLSA) compensation;
</p><p>&#149; Tour of Duty;
</p><p>&#149; Leave requests, balances and credits;
</p><p>&#149; Training time; and
</p><p>&#149; Military Leave.
</p><p><i>Data Reporting and Personnel and Pay Processing Tables</i>
</p><p>&#149; Nature of action codes;
</p><p>&#149; Civil service authority codes;
</p><p>&#149; Standard remarks;
</p><p>&#149; Signature block table;
</p><p>&#149; Position title table;
</p><p>&#149; Financial organization table; and
</p><p>&#149; Salary tables.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; and Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to ensure proper payment of salary and benefits to DHS personnel and to track time
worked for reporting and compliance purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114.
</p><p>I. To designated officers and employees of Federal, State, local or international agencies in connection with the
hiring or continued employment of an individual, the conduct of a suitability or security investigation of an individual,
the grant, renewal, suspension, or revocation of a security clearance, or the certification of security clearances, to
the extent that DHS determines the information is relevant and necessary to the hiring agency’s decision.
</p><p>J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>K. To a Federal, State, local, or private agency so that the agency may adjudicate an individual’s eligibility for a
benefit.
</p><p>L. To the other Federal agencies who provide payroll personnel processing services under a cross-servicing agreement
for purposes relating to the conversion of DHS employee payroll and personnel processing services; the issuance of
paychecks to employees and distribution of wages; and the distribution of allotments and deductions to financial and
other institutions, some through electronic funds transfer.
</p><p>M. To Federal, State, or local agencies for use in locating individuals and verifying their income sources to
establish paternity, establish and modify orders of support, and for enforcement of related court orders.
</p><p>N. To provide wage and separation information to another agency as required by law for payroll purposes.
</p><p>O. To the Office of Personnel Management, the Merit System Protection Board, Federal Labor Relations Authority, or the
Equal Employment Opportunity Commission when requested in the performance of their authorized duties.
</p><p>P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, social security number, position, organizational element, pay
period, investigative case title or tracking number (for time worked associated with a specific case), and/or fiscal
year.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Time and attendance records are destroyed after a General Accountability Office audit or when six years old,
whichever is sooner. These records are maintained in accordance with National Archives and Records Administration General
Records Schedule 2, Item 7.
</p><p>Individual employee payroll records are destroyed when 56 years old in accordance with National Archives and Records
Administration General Records Schedule 2, Item 1.
</p><p>Supervisor personnel files are reviewed annually and destroyed when a file is superseded/obsolete, or within 1 year
after separation or transfer of an employee. Duplicate official personnel records are destroyed when six months old.
These two types of records are maintained in accordance with National Archives and Records Administration General Records
Schedule 1, Item 18.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters of DHS, the System Manager is the Office of the Chief Human Capital Officer, Department of
Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates from the individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all20" toc="yes">
<systemNumber>/ALL-020</systemNumber>
<subsection type="systemName">Department of Homeland Security Internal Affairs Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC,
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any applicants for Federal employment, past and present employees, contractors, and contractor applicants, or any
other individual who is subject to, or involved in, an integrity or disciplinary inquiry or investigation not handled by
OIG.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p><i>Categories of records in this system include:</i>
</p><p>&#149; Individual identifying data, which may include some or all of the following: full name, date of birth,
social security number, addresses, duty station, grade, job series, and entrance on duty date;
</p><p>&#149; Allegations received and method received;
</p><p>&#149; Relevant information from background investigations;
</p><p>&#149; Integrity investigations;
</p><p>&#149; Investigation files;
</p><p>&#149; Incident location;
</p><p>&#149; Case agent/officer or supervisor;
</p><p>&#149; Case/prosecution status;
</p><p>&#149; Photographic images, videotapes, voiceprints, DVDs;
</p><p>&#149; Letters, e-mails, memoranda and reports;
</p><p>&#149; Exhibits, evidence, statements and affidavits; and
</p><p>&#149; Any other information gathered in the course of an integrity or disciplinary inquiry or investigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive Order 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain records on applicants, past and present employees,
contractors, and contractor applicants relating to integrity or disciplinary inquiries or investigations conducted by DHS
Headquarters or its components, except for those investigations conducted by OIG.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has requested information relevant to or necessary to the
requesting agency’s or the bureau’s hiring or retention of an individual, or issuance of a security clearance, license,
contract, grant, or other benefit.
</p><p>I. To disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena from a court of competent jurisdiction.
</p><p>J. To third parties during the course of a law enforcement 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><p>K. To an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity
investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance,
complaint, or appeal filed by an employee.
</p><p>L. To provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114, and in circumstances when union officials represent employees in investigations and
personnel actions.
</p><p>M. To a court, prosecutor, and/or defense attorney in satisfaction of the agency’s obligations under the Giglio,
Jenks, or Brady decisions;
</p><p>N. To management officials at Federal, State or local agencies who may be in a position to take disciplinary or other
corrective action and to boards and panels who may be charged with making recommendations or proposals regarding remedial
action.
</p><p>O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the individual’s name, date of birth, or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The file records are maintained as long as the subject of the investigation is employed by DHS, and then one year
after the subject terminates employment. The files are then transferred to the Federal Records Center for a period of 25
years, after which they are destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department
of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Sources of information include: individuals who are the subject of the investigation or inquiry, employers, law
enforcement organizations, members of the public, witnesses, education institutions, government agencies, credit bureaus,
references, neighborhood checks, confidential sources, medical service providers, personal interviews, photographic
images, military, financial institutions, citizenship, birth and tax records, and the applicant’s, employee’s or
contractor’s personnel history and application forms.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional, the Secretary of Homeland
Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(1), (2), (k)(3), and (5).
</p></xhtmlContent></subsection></section>
<section id="all21" toc="yes">
<systemNumber>/ALL-021</systemNumber>
<subsection type="systemName">Department of Homeland Security Contractors and Consultants.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC,
and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include any individual who serves as a contractor or consultant
to DHS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Home address;
</p><p>&#149; Telephone numbers (work, home, mobile);
</p><p>&#149; E-mail addresses;
</p><p>&#149; Contract name and number;
</p><p>&#149; Employer;
</p><p>&#149; Work address;
</p><p>&#149; Job title;
</p><p>&#149; Labor category;
</p><p>&#149; Relevant work experience;
</p><p>&#149; DHS-issued property in the possession of the contractor/consultant for the purpose of fulfilling
contractual requirements;
</p><p>&#149; Vendor lists;
</p><p>&#149; Correspondence between the contractor and DHS;
</p><p>&#149; Bidders lists;
</p><p>&#149; Permits;
</p><p>&#149; Licenses;
</p><p>&#149; Easement;
</p><p>&#149; Deliverables;
</p><p>&#149; Proposals;
</p><p>&#149; White papers; and
</p><p>&#149; Key personnel resumes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, The Homeland Security Act of 2002, Public Law 107-296; Executive
Order 9373; Reorganization Plan No. 2 of 1970 (31 U.S.C. 1111); Executive Order 11541; the Office of Federal Procurement
Policy Act (41 U.S.C. 405); and the Federal Activities Inventory Reform (FAIR) Act of 1998 (31 U.S.C. 501 note).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain records on DHS contractors and consultants.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To Federal and state entities when relevant and necessary to disclose information on DHS or its components
purchases and contracts.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or as paper records in secure facilities in a locked drawer
and/or behind a secured locked door. The electronic records are stored on magnetic disc, tape, digital media, and CD
-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, and/or contract name and number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for six years and three months after the final payment to a contractor/consultant in
accordance with National Archives and Records Administration-approved General Records Schedule 3, Item 3--General
Procurement Files.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department
of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, contractors, consultants, bidders, financial institutions, insurance companies, community
associations, and other agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all22" toc="yes">
<systemNumber>/ALL-022</systemNumber>
<subsection type="systemName">Department of Homeland Security Drug Free Workplace Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained by the Office of the Chief Human Capital Officer, at several Headquarters locations, in
component offices of DHS, in both Washington, DC and field locations, and by contractor locations on behalf of DHS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of DHS and certain applicants for employment with DHS who are tested for or submit
voluntarily or involuntarily to the illegal use, possession, distribution, or trafficking of controlled substances.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social Security number;
</p><p>&#149; Date of birth;
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; E-mail addresses;
</p><p>&#149; Job title and grade;
</p><p>&#149; Supervisor’s, senior management’s and leadership’s full name, addresses, phone numbers, and email
addresses;
</p><p>&#149; Supervisor’s, senior management’s and leadership’s notes and records regarding an employee’s suspected
and/or confirmed illegal use, possession, distribution, or trafficking of controlled substances;
</p><p>&#149; Records related to any criminal conviction for illegal drug use or evidence obtained from any arrest or
criminal conviction;
</p><p>&#149; Correspondence related to the suspected and/or confirmed illegal use, possession, distribution, or
trafficking of controlled substances of a current or former DHS employee, including electronic mail and other electronic
documents;
</p><p>&#149; Verified positive and negative test results for illegal use of controlled substances;
</p><p>&#149; Evidence of possession, distribution, or trafficking of controlled substances;
</p><p>&#149; Lists of controlled substances verified as positive;
</p><p>&#149; Substance abuse assessment, aftercare, and substance use monitoring results;
</p><p>&#149; Employee records of attendance at treatment, types of treatment, and counseling programs related to
illegal use, possession, distribution, or trafficking of controlled substances;
</p><p>&#149; Records of treatment and counseling referrals related to testing for illegal use, possession,
distribution, or trafficking of controlled substances;
</p><p>&#149; Prognosis of treatment information related to testing for illegal use, possession, distribution, or
trafficking of controlled substances;
</p><p>&#149; Individual’s name, address, work/cell/home phone numbers, email addresses, and other basic identification
data for insurance purposes;
</p><p>&#149; Name, address, telephone numbers, email addresses of treatment facilities;
</p><p>&#149; Name, address, telephone numbers, email addresses of individuals providing treatment; and
</p><p>&#149; Written consent forms.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Federal Records Act; 44 U.S.C. 3101; The Homeland Security Act of 2002; Public Law 107-296;
42 U.S.C. 290dd-2; 5 U.S.C. 7301; 7361, 7362, 7901, 7904; Executive Order 9373; and Executive Order 12564.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This record system will maintain information gathered by and in the possession of DHS Drug Free Workplace Program
Officials, used in the course of their duties in verifying positive test results for illegal use of controlled substance,
as well as collecting and maintaining evidence of possession, distribution, or trafficking of controlled substances.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of substance abuse records is limited to the parameters set forth in 42 U.S.C. 290dd, 290ee, and
Public Law 100-71, Section 503(e). Accordingly, a federal employee’s substance abuse records may not be disclosed
without the prior written consent of the employee, unless the disclosure would be one of the following:
</p><p>A. To medical personnel to the extent necessary to meet a bona fide medical emergency;
</p><p>B. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or
program evaluation provided that employees are individually identified;
</p><p>C. To the employee’s medical review official;
</p><p>D. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment
or is otherwise participating;
</p><p>E. To any supervisory or management official within the employee’s agency having authority to take adverse personnel
action against such employee; or
</p><p>F. Pursuant to the order of a court of competent jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action. See 42 U.S.C. 290dd, 290ee, and Public Law 100-71,
Section 503(e).
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, records, other than
substance abuse records described above, or other information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:.
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>C. To appropriate State and local authorities to report, under State law, incidents of suspected child abuse or
neglect to the extent described under 42 CFR 2.12.
</p><p>D. To any person or entity to the extent necessary to prevent an imminent and potential crime which directly threatens
loss of life or serious bodily injury.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, date of birth, and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permission.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed after three years, in accordance with National Archives and Records Administration General
Records Schedule 1, Item 36.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland
Security, Washington, DC 20528. For components of DHS, the System Manager can be found at <i>http://www.dhs.gov/foia</i>
under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates from personnel who submit to drug and alcohol testing, DHS and its components and offices,
and testing and treatment facilities.

</p></xhtmlContent></subsection></section>
<section id="all23" toc="yes">
<systemNumber>/ALL-023</systemNumber>
<subsection type="systemName">Department of Homeland Security Personnel Security Management System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several DHS Headquarters locations and component offices in Washington, DC and field
locations; and the Department of Treasury (DTR), Bureau of Public Debt for Office of Inspector General employees and
applicants. For background investigations adjudicated by the Office of Personnel Management (OPM), OPM may retain copies
of those files pursuant to their records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include federal employees, applicants, excepted service federal
employees, contractor employees, retired employees, and past employees providing support to DHS who require: (1.)
Unescorted access to DHS-owned facilities, DHS-controlled facilities, DHS-secured facilities, or commercial facilities
operating on behalf of DHS; (2.) access to DHS information technology (IT) systems and the systems’ data; or (3.) access
to national security information including classified information.
</p><p>Also covered are: (1.) State and local government personnel and private-sector individuals who serve on an advisory
committee or board sponsored by DHS; (2.) federal, state, local, and foreign law enforcement personnel who apply for or
are granted authority to enforce federal laws on behalf of DHS; and (3.) individuals, including state and local
government personnel and private-sector individuals, who are authorized by DHS to access Departmental facilities,
communications security equipment, and/or information technology systems that process sensitive or classified national
security information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Social security number;
</p><p>&#149; Citizenship;
</p><p>&#149; Access Control Pass or Credential number;
</p><p>&#149; Facial photograph;
</p><p>&#149; Records relating to the management and operation of DHS personnel security program, including but not
limited to:
</p><p>&#9675; Completed standard form questionnaires issued by the Office of Personnel Management;
</p><p>&#9675; Originals or copies of background investigative reports;
</p><p>&#9675; Supporting documentation related to the background investigations and adjudications including criminal
background, medical and financial data;
</p><p>&#9675; Information related to congressional inquiry; and
</p><p>&#9675; Other information relating to an individual’s eligibility for access to classified or sensitive
information.
</p><p>&#149; Records relating to management and operation of DHS programs to safeguard classified and sensitive but
unclassified information, including but not limited to:
</p><p>&#9675; Document control registries;
</p><p>&#9675; Courier authorization requests;
</p><p>&#9675; Non-disclosure agreements;
</p><p>&#9675; Records of security violations;
</p><p>&#9675; Records of document transmittals; and
</p><p>&#9675; Requests for secure storage and communications equipment.
</p><p>&#149; Records relating to the management and operation of DHS special security programs, including but not
limited to:
</p><p>&#9675; Requests for access to sensitive compartmented information (SCI);
</p><p>&#9675; Contact with foreign officials and foreign travel registries; and
</p><p>&#9675; Briefing/debriefing statements for special programs, sensitive positions, and other related information
and documents required in connection with personnel security clearance determinations.
</p><p>&#149; Records relating to the management and operation of the DHS security program, including but not limited
to:
</p><p>&#9675; Inquiries relating to suspected security violation(s);
</p><p>&#9675; Recommended remedial actions for possible security violation(s);
</p><p>&#9675; Reports of investigation regarding security violations;
</p><p>&#9675; Statements of individuals;
</p><p>&#9675; Affidavits;
</p><p>&#9675; Correspondence;
</p><p>&#9675; Documentation pertaining to investigative or analytical efforts by DHS Security program personnel to
identify threats to DHS personnel, property, facilities, and information; and
</p><p>&#9675; Intelligence reports and database results relating to DHS personnel, applicants, or candidates for DHS
employment or access to DHS facilities or information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 44 U.S.C. 3101; 8 U.S.C. 1357(g); 19 U.S.C. 1401(i); Executive Order (EO) 9397; EO 10450; EO 12968;
5 CFR part 731; 5 CFR part 732; 5 CFR part 736; 32 CFR part 147; and DCID 6/4.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain records of processing of personnel security-related
clearance actions, to record suitability determinations, to record whether security clearances are issued or denied, and
to verify eligibility for access to classified information or assignment to a sensitive position. Also, records may be
used by the Department for adverse personnel actions such as removal from sensitive duties, removal from employment,
denial to a restricted or sensitive area, and/or revocation of security clearance. The system also assists in capturing
background investigations and adjudications; directing the clearance process for granting, suspending, revoking and
denying access to classified information; directing the clearance process for granting, suspending, revoking and denying
other federal, state, local, or foreign law enforcement officers the authority to enforce federal laws on behalf of DHS;
managing state, local and private-sector clearance programs and contractor suitability programs; determining eligibility
for unescorted access to DHS owned, occupied or secured facilities or information technology systems; and/or other
activities relating to personnel security management responsibilities at DHS.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office
made at the written request of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, delegation or designation of authority, or other benefit, or if the
information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of
a license, grant, delegation or designation of authority, or other benefit and disclosure is appropriate to the proper
performance of the official duties of the person making the request.
</p><p>I. To an individual’s prospective or current employer to the extent necessary to determine employment eligibility.
</p><p>J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or pursuant to the order of a court of competent jurisdiction in response to a subpoena
from a court of competent jurisdiction.
</p><p>K. To third parties during the course of a law enforcement 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><p>L. To a public or professional licensing organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation of professional standards, or reflects on the
moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on servers, magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual’s name, date of birth, social security number, if applicable, or other
unique individual identifier such as access control pass or credential number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize risk of compromising
the information that is being stored. Access to the computer system containing the records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pursuant to GRS 18, Item 21 through 25, records relating to alleged security violations are destroyed two years
after completion of final action or when no longer needed, whichever is sooner; records relating to alleged violations of
a sufficient serious nature that are referred for prosecutive determinations are destroyed five years after the close of
the case; personnel security clearance files are destroyed upon notification of death or not later than five years after
separation or transfer of employee or no later than five years after contract relationship expires, whichever is
applicable.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS: Chief, Personnel Security Division (202-447-5010), Office of
Security, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found
at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"contacts." If an individual believes more than one component maintains Privacy Act records concerning him or
her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are generated from sources contacted during personnel and background investigations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitation set forth in (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a (k)(1), (k)(2), (k)(3), and (k)(5) of the Privacy Act.
</p></xhtmlContent></subsection></section>
<section id="all24" toc="yes">
<systemNumber>/ALL-024</systemNumber>
<subsection type="systemName">Department of Homeland Security Facility and Perimeter Access Control and Visitor Management System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several DHS Headquarters locations and in component offices in both Washington, DC and
field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: (1) Any employee, contractor, consultant, intern,
fellow, or others with regular access and an access control pass which grants unescorted access to a DHS facility or
other federal facility which DHS or its components provide access control, including the FPS and its contract guards, and
those needing access to information technology systems, and any visitor to a facility for which DHS or its components
provide access control; (2) violators and those accused of security violations of access or perimeter control and those
related to incidents and offenses in and around these facilities; (3) applicants for employment, contractors, or those
needing unescorted access to these facilities or information technology systems; (4) state and local government personnel
and private-sector individuals who serve on an advisory committee and board sponsored by DHS; (5) individuals, including
state and local government personnel and private-sector individuals, who are authorized by DHS to access DHS facilities,
and other federal facilities where DHS controls access through its components, including the FPS and its contract guards,
including classified facilities, communications security equipment, and information technology systems that process
national or homeland security classified information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system include:
</p><p>&#149; Individual’s full name;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Social security number;
</p><p>Note:</p><p> For access to the Nebraska Avenue Complex, DHS employees, including component employees and contractors, are
not required to provide date of birth or social security number to enter the Nebraska Avenue Complex if they provide a
HSPD-12 badge, component badge, credential, or commission book. Component employees and contractors will also
provide name, component, and Nebraska Avenue Complex point of contact name and phone number. Headquarters employees and
contractors can also provide a drivers license as identification to be confirmed within the system of records as a DHS
Headquarters employee. If a component employee or contractor does not have a DHS or component-issued credential at the
point of entry, the individual will be processed into the Nebraska Avenue Complex as a regular visitor requiring a full
name, date of birth, and social security number.
</p><p>&#149; Organization’s name;
</p><p>&#149; Citizenship;
</p><p>&#149; Country of origin, if applicable;
</p><p>&#149; Telephone number;
</p><p>&#149; Physical descriptions;
</p><p>&#149; Biometric information;
</p><p>&#149; Photograph;
</p><p>&#149; Visitor badge number, if applicable;
</p><p>&#149; Date and time of entry and departure;
</p><p>&#149; Drivers license and other form of identification information;
</p><p>&#149; License plate number and state of issuance;
</p><p>&#149; Make and model of vehicle;
</p><p>&#149; Reports, files, records received from other federal agencies;
</p><p>&#149; Records relating to management and operation of DHS programs to safeguard classified and sensitive but
unclassified information, including but not limited to:
</p><p>&#9675; Document control registries;
</p><p>&#9675; Courier authorization requests;
</p><p>&#9675; Non-disclosure agreements;
</p><p>&#9675; Records of security violations;
</p><p>&#9675; Records of document transmittals; and
</p><p>&#9675; Requests for secure storage and communications equipment.
</p><p>&#149; Records relating to the management and operation of the DHS security program, including but not limited
to:
</p><p>&#9675; Inquiries relating to suspected security violation(s);
</p><p>&#9675; Recommended remedial actions for possible security violation(s);
</p><p>&#9675; Reports of investigation regarding security violations;
</p><p>&#9675; Information pertaining to incidents and offenses;
</p><p>&#9675; Statements of individuals;
</p><p>&#9675; Affidavits; and
</p><p>&#9675; Correspondence.
</p><p>&#149; Records relating to the management and operation of the facility and perimeter access control and visitor
management system including but not limited to:
</p><p>&#9675; Facility and perimeter access registries;
</p><p>&#9675; Courier cards;
</p><p>&#9675; Access control card requests; and
</p><p>&#9675; Specific information from standard DHS forms used to conduct criminal history record checks; and
</p><p>&#9675; Closed circuit television (CCTV) systems and recordings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Homeland Security Act, codified in Title 6 of the U.S. Code; 44 U.S.C. 3101; and Executive
Order (EO) 9397; EO 12968; and Federal Property Regulations, issued July 2002.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain records associated with DHS facility and perimeter access
control, including access to DHS information technology and access to classified facilities, as well as visitor security
and management.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office
made at the written request of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate federal, state, local, tribal, foreign, or international agency or contract provider, if the
information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an
individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is
relevant and necessary to a DHS decision concerning the hiring or retention of an employee or contractor, the issuance of
a security clearance, the reporting of an investigation of an employee or contractor, the letting of a contract, or the
issuance of a license, grant or other benefit and disclosure is appropriate to the proper performance of the official
duties of the person making the request.
</p><p>I. To a public or professional licensing organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation of professional standards, or reflects on the
moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>J. To an appropriate federal, state, tribal, local, or foreign government agency or organization, or international
organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence, but only when the disclosure is appropriate to the proper performance of the official duties of the person
receiving the disclosure, and;
</p><p>K. To an appropriate federal, state, local, tribal, or foreign government agency, international organization, or
private organization where the President or the Secretary of Department of Homeland Security has declared an event to be
a National Special Security Event, if the information is relevant and necessary to a requesting agency’s decision
concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or
other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit, but only when disclosure is appropriate to the proper
performance of the official duties of the person making the request.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on servers, magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual name, date of birth, and social security number, or other personal
identifier listed above in "Category of Records in the System," if applicable.
</p><p>Note:</p><p> For access to DHS Headquarters, all employees, including component employees and contractors, are not
required to provide date of birth and social security number to enter DHS Headquarters facilities. If they do not have
their credential at the point of entry, they are required to log their name and title, component, data and time, ID of
employee, and point of contact.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize risk of compromising
the information that is being stored. Access to the computer system containing the records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pursuant to GRS 18, Item 22a, personnel security clearance files are destroyed upon notification of death or not
later than five years after separation or transfer of employee or no later than five years after contract relationship
expires, whichever is applicable.
</p><p>Pursuant to GRS 18, Item 6, requests and authorizations for individuals to have access to classified files are
destroyed two years after authorization expires.
</p><p>Pursuant to GRS 11, Item 4a, identification credentials including cards, badges, parking permits, photographs, agency
permits to operate motor vehicles, and property, dining room and visitors’ passes, and other identification credentials
are destroyed three months after return to issuing office.
</p><p>Pursuant to GRS 18, Item 17, registers or logs used to record names of outside contractors, service personnel,
visitors, employees admitted to areas, and reports on automobiles and passengers for areas under maximum security are
destroyed five years after final entry or five years after date of document, as appropriate.
</p><p>Other documents pursuant to GRS 18, Item 17b, are destroyed two years after final entry or two years after date of
document, as appropriate.
</p><p>Where records are used as evidence in an investigation or in an administrative, litigation, or other proceeding, the
records will be retained until final disposition of the investigation or proceeding.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS: Chief, Physical Security Division (202-447-5010), Office of
Security, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found
at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"contacts." If an individual believes more than one component maintains Privacy Act records concerning him or
her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition, you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from individuals seeking employment or access to facilities for which DHS and its components
provide security and from individuals involved in incidents and offenses that take place in or around those facilities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitation set forth in (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5) of the Privacy Act.
</p></xhtmlContent></subsection></section>
<section id="dhs" toc="yes">
<systemNumber>/ALL-025</systemNumber>
<subsection type="systemName">Department of Homeland Security Law Enforcement Authorities in Support of the Protection of Property Owned or
Occupied by the Department of Homeland Security System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at several Headquarters locations and component offices of DHS, in both Washington, DC and
field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include any person or entity involved in, or suspected of being
involved in, criminal acts against the buildings, grounds, and property that are owned, occupied, or secured by DHS or
against persons who are in or on such buildings, grounds, or property. This includes, but is not limited to: any agency,
instrumentality, or wholly owned or mixed-ownership corporation thereof, and persons on the property; Departmental, other
United States Government personnel, contract security officer personnel, and other contractors who work in federal
facilities; and property located in or outside of the United States; and individuals who are involved in or suspected to
be involved in such criminal acts, who provide information that is relevant to the investigation, such as victims and
witnesses, and who report such crimes or acts. Also included in this system of records are the travel records of current,
former, or retired Departmental personnel who travelled outside the United States while employed by DHS; applicants,
appointees, and nominees of the Department; and contractors and consultants who have or have had access to DHS facilities
and/or classified national security information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system may include but are not limited to the following:
</p><p>&#149; Individual’s or entity’s name;
</p><p>&#149; Digital photograph;
</p><p>&#149; Date of birth, place of birth, and age;
</p><p>&#149; Social security number;
</p><p>&#149; Duty/work address and telephone number;
</p><p>&#149; Alias;
</p><p>&#149; Race and ethnicity;
</p><p>&#149; Citizenship;
</p><p>&#149; Fingerprints;
</p><p>&#149; Sex;
</p><p>&#149; Marital status;
</p><p>&#149; Identifying marks such as tattoos, scars, etc;
</p><p>&#149; Height and weight;
</p><p>&#149; Eye and hair color;
</p><p>&#149; Biometric data;
</p><p>&#149; Home address, telephone number, and other contact information;
</p><p>&#149; Driver’s license information and citations issued;
</p><p>&#149; Vehicle information;
</p><p>&#149; Date, location, nature and details of the incident/offense;
</p><p>&#149; Alcohol, drugs and/or weapons involvement;
</p><p>&#149; Bias against any particular group;
</p><p>&#149; Confinement information to include location of correctional facility;
</p><p>&#149; Gang/cult affiliation if applicable;
</p><p>&#149; Release/parole/clemency eligibility dates;
</p><p>&#149; Foreign travel notices and reports including briefings and debriefings;
</p><p>&#149; Notices and reports with foreign contacts;
</p><p>&#149; Reports of investigation;
</p><p>&#149; Statements of individuals, affidavits, and correspondence;
</p><p>&#149; Documentation pertaining to criminal activities;
</p><p>&#149; Investigative surveys;
</p><p>&#149; Certifications pertaining to qualifications for employment, including but not limited to education,
firearms, first aid, and CPR;
</p><p>&#149; Technical, forensic, polygraph, and other investigative support to criminal investigations to include
source control documentation and regional information;
</p><p>&#149; Data on individuals to include: victims, witnesses, complainants, offenders, and suspects;
</p><p>&#149; Records of possible espionage, foreign intelligence service elicitation activities, and terrorist
collection efforts directed at the Department or it’s staff, contractors or visitors;
</p><p>&#149; Records of close coordination with the intelligence and law enforcement community;
</p><p>&#149; Records relating to the management and operation of DHS special security programs, including but not
limited to:
</p><p>&#9675; Requests for access to sensitive compartmented information (SCI);
</p><p>&#9675; Foreign travel;
</p><p>&#9675; Foreign contact registries for individuals with SCI access.
</p><p>&#149; Records relating to the management and operation of the DHS security program, including but not limited
to:
</p><p>&#9675; Inquiries relating to suspected security violation(s);
</p><p>&#9675; Recommended remedial actions for possible security violation(s);
</p><p>&#9675; Reports of investigation regarding security violations;
</p><p>&#9675; Statements of individuals;
</p><p>&#9675; Affidavits;
</p><p>&#9675; Correspondence;
</p><p>&#9675; Other documentation pertaining to investigative or analytical efforts by DHS to identify threats to the
Department’s personnel, property, facilities, and information; intelligence reports and database results relating to DHS
personnel applicants or candidates for DHS employment or a DHS contract, or other individuals interacting or having
contact with DHS personnel or contractors; foreign contact registries for individuals; or unsolicited communications with
DHS personnel or contractors that raise a security concern; and
</p><p>&#9675; Other documents obtained from applicants for employment or contract positions and documents obtained
during a background investigation or re-investigation including medical and financial data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Homeland Security Act, codified in Title 6 of the U.S. Code; 40 U.S.C. 1315; 44 U.S.C. 3101;
and Executive Order (EO) 9397; E.O. 10450; E.O. 12968, 5 CFR 731; 5 CFR 732; 5 CFR 736; 32 CFR 147; and DCID 6/4.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain and record the results of law enforcement activities in support of the
protection of property owned, occupied, or secured by DHS and its components, including FPS, and individuals maintaining
a presence or access to such property. It will also be used to pursue criminal prosecution or civil penalty action
against individuals or entities suspected of offenses that may have been committed against property owned, occupied, or
secured by DHS or persons on the property; and to assess Departmental, contract security officer personnel, and other
contractors who work in such facilities, acceptability for assignment to or retention in sensitive positions consistent
with the interest of national security and the protection of these facilities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To a congressional office from the record of an individual in response to a written inquiry from that congressional
office made at the written request of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate federal, state, local, tribal, foreign, or international agency or contract provider, if the
information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an
individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is
relevant and necessary to a DHS decision concerning the hiring or retention of an employee or contractor, the issuance of
a security clearance, the reporting of an investigation of an employee or contractor, the letting of a contract, or the
issuance of a license, grant or other benefit and disclosure is appropriate to the proper performance of the official
duties of the person making the request.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or pursuant to the order of a court of competent jurisdiction in response to a subpoena
from a court of competent jurisdiction.
</p><p>J. To third parties during the course of a law enforcement 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><p>K. To a federal, state, local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by United States law, Executive
Order, or other applicable national security directive.
</p><p>L. To a public or professional licensing organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation of professional standards, or reflects on the
moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on servers, magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual name, social security number, or other personal information identified
listed in "Categories of Records," if applicable.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize risk of compromising
the information that is being stored. Access to the computer system containing the records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are pending National Archives and Records Administration approval. DHS has proposed the following
retention schedule: Records are maintained in accordance with N1-563-08-4, Item 1. Records are
maintained for 20 years after the end of the fiscal year in which the case was closed and are then destroyed. No records
will be destroyed until the retention schedule is approved.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Headquarters components of DHS: Chief, Physical Security Division (202-447-5010), Office of
Security, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found
at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"contacts." If an individual believes more than one component maintains Privacy Act records concerning him or
her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are generated from sources contacted during investigations, state and local law enforcement, and federal
departments and agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitation set forth in (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5) of the Privacy Act.
</p></xhtmlContent></subsection></section>
<section id="all26" toc="yes">
<systemNumber>/ALL-026</systemNumber>
<subsection type="systemName">DHS/ALL Personal Identity Verification Management System (PIVMS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at Headquarters in Washington, DC, and field offices. The physical and logical access
systems at all DHS and component facilities will have system-level access to the PIVMS for real-time verification of user
credentials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: All DHS employees, contractors and their employees,
consultants, volunteers engaged by DHS who require long-term access to Federally controlled facilities and information
systems, as defined by Office of Management and Budget Memorandum 05-24; Federal emergency response officials;
foreign nationals on assignment; and other Federal employees detailed or temporarily assigned to DHS in direct support of
the DHS mission and who work in Federally controlled facilities or require access to Federal information technology
systems. Individuals who require regular, ongoing access to agency facilities, information technology systems, or
information classified in the interest of national security.
</p><p>The system does not apply to occasional visitors or short-term guests to whom DHS will issue temporary identification
and credentials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Full name;
</p><p>&#149; Date of birth;
</p><p>&#149; Maiden name;
</p><p>&#149; Social Security Number;
</p><p>&#149; Citizenship;
</p><p>&#149; Mother’s maiden name;
</p><p>&#149; Organization/office of assignment;
</p><p>&#149; Employee affiliation and status;
</p><p>&#149; Contact information, such as telephone number(s), work e-mail, and duty location;
</p><p>&#149; Copies of identity source documents;
</p><p>&#149; Fingerprints (10 print and 2 print);
</p><p>&#149; Identifying physical information, such as height, weight, hair color, eye color, and digital photograph;
</p><p>&#149; Financial history;
</p><p>&#149; PIV card issue and expiration dates;
</p><p>&#149; PIV request form;
</p><p>&#149; PIV registrar approval digital signature;
</p><p>&#149; PIV card serial number;
</p><p>&#149; Federal emergency response official designation, affiliation, and related roles;
</p><p>&#149; Computer system user name;
</p><p>&#149; User access and permission rights, authentication certificates;
</p><p>&#149; Clearance level;
</p><p>&#149; Entry on duty date;
</p><p>&#149; Digital signature information; and
</p><p>&#149; Weapons bearer designation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Federal Information Security Act (Pub. L. 104-106, Sec. 5113); E-Government Act (Pub.
L. 104-347, sec. 203); the Paperwork Reduction Act of 1995 (44 U.S.C. 3501); and the Government Paperwork
Elimination Act (Pub. L. 105-277, 44 U.S.C. 3504); Homeland Security Presidential Directive-12 (HSPD-
12, issued August 27, 2004); Policy for a Common Identification Standard for Federal Employees and Contractors, August
27, 2004; Federal Property and Administrative Act of 1949, as amended (40 U.S.C. 483); the Intelligence Reform and
Terrorism Prevention Act of 2004, Pub. L. 108-458, Section 3001 (50 U.S.C. 435b) and the Homeland Security Act of
2002, Pub. L. 107-296, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to:
</p><p>&#149; Ensure the safety and security of DHS facilities, systems, or information, and our occupants and users;
</p><p>&#149; Verify that all persons entering Federal facilities, using Federal information resources, are authorized
to do so; and
</p><p>&#149; Track and control PIV cards issued to persons entering and exiting the DHS facilities or using DHS
systems.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3). Disclosures may be made to:
</p><p>A. To the Department of Justice (DOJ) or other Federal agency conducting litigation or in proceedings before any
court, adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the Department of Justice (DOJ) when:
</p><p>1. The agency or any component thereof;
</p><p>2. Any employee of the agency in his or her official capacity;
</p><p>3. Any employee of the agency in his or her individual capacity where agency or the Department of Justice has agreed
to represent the employee; or
</p><p>4. The United States Government is a party to litigation or has an interest in such litigation, and by careful review,
the agency determines that the records are both relevant and necessary to the litigation and the use of such records by
DOJ is therefore deemed by the agency to be for a purpose compatible with the purpose for which the agency collected the
records.
</p><p>I. To a court or adjudicative body in a proceeding when: (a) The agency or any component thereof; (b) any employee of
the agency in his or her official capacity; (c) any employee of the agency in his or her individual capacity where agency
or the Department of Justice has agreed to represent the employee; or (d) the United States Government is a party to
litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a
purpose that is compatible with the purpose for which the agency collected the records.
</p><p>J. Except as noted on Forms SF 85, 85-P, and 86, when a record on its face, or in conjunction with other
records, indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and
whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant
thereto, disclosure may be made to the appropriate public authority, whether Federal, foreign, State, local, or tribal,
or otherwise, responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant
to any enforcement, regulatory, investigative or prosecutorial responsibility of the receiving entity.
</p><p>K. To a Federal, State, local, foreign, or tribal or other public authority the fact that this system of records
contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a
contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization
may then make a request supported by the written consent of the individual for the entire record if it so chooses. No
disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to
another office within the agency or to another Federal agency for criminal, civil, administrative personnel or regulatory
action.
</p><p>L. To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB
Circular No. A-19.
</p><p>M. To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities
under the National Security Act of 1947, as amended, the CIA Act of 1949, as amended, Executive Order 12333 or any
successor order, applicable national security directives, or classified implementing procedures approved by the Attorney
General and promulgated pursuant to such statutes, orders or directives.
</p><p>N. To notify another Federal agency when, or verify whether, a PIV card is no longer valid.
</p><p>O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, paper in secure files, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of the individual, Social Security Number and/or by any other unique individual
identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with FISMA and other applicable rules and policies,
including all applicable DHS automated systems security and access policies. Strict controls have been imposed to
minimize the risk of compromising the information that is being stored. Access to the computer system containing the
records in this system is limited to those individuals who have a need to know the information for the performance of
their official duties and who have appropriate clearances or permissions. The system maintains a real-time auditing
function of individuals who access the system. Additional safeguards may vary depending on the component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pursuant to GRS 18, Item 22a records used to initiate background investigations; register and enroll individuals;
manage the PIV card lifecycle; and, verify, authenticate and revoke PIV cardholder access to Federal resources are
destroyed upon notification of death or not later than 5 years after separation or transfer of employee or no later than
5 years after contract relationship expires, whichever is applicable.
</p><p>Pursuant to GRS 11, Item PIV cards are destroyed three months after they are returned to the issuing office.
</p><p>Pursuant to GRS 11, Item 4a identification credentials are destroyed by cross-cut shredding no later than 90 days
after deactivation.
</p><p>Pursuant to GRS 18, Item 17 registers or logs used to record names of outside contractors, service personnel,
visitors, employees admitted to areas, and reports on automobiles and passengers for areas under maximum security are
destroyed five years after final entry or five years after date of document, as appropriate.
</p><p>Other documents pursuant to GRS 18, Item 17b are destroyed two years after final entry or two years after date of
document, as appropriate.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>DHS HSPD-12 Program Director, Office of Security, U.S. Department of Homeland Security, 245 Murray Lane,
SW., Building 410, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be
found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486.
In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information about you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the employee, contractor, or applicant; sponsoring agency; former sponsoring agency;
other Federal agencies; contract employer; former employer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all27" toc="yes">
<systemNumber>/ALL-027</systemNumber>
<subsection type="systemName">Department of Homeland Security--The History of the Department of Homeland Security System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive, and unclassified. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at Department of Homeland Security headquarters (History Office, Office of Policy) as well
as component headquarters in Washington, DC, and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: Current and former federal employees, including
political appointees, civilian, contractor, and military personnel assigned or detailed to the Department. Also, covered
by this system are individuals who are formally or informally associated with the Department, including advisory
committee members, employees of other agencies and departments in the federal government, and other individuals in the
private and public sector who contribute to the history of the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individuals or interviewees full name;
</p><p>&#149; Individuals or interviewees provided address;
</p><p>&#149; Individuals or interviewees provided phone number(s);
</p><p>&#149; Individuals or interviewees provided e-mail address;
</p><p>&#149; Occupational background and position(s);
</p><p>&#149; Public speeches and articles by an individual;
</p><p>&#149; Public and internal correspondence, interviews, press releases and announcements, and various other tapes
and transcripts of Departmental activities;
</p><p>&#149; Photographs;
</p><p>&#149; Biographical information;
</p><p>&#149; Interview records on magnetic tape or other electronic format;
</p><p>&#149; Transcriptions from written and oral interviews and discussions;
</p><p>&#149; Access agreements; and
</p><p>&#149; Interviewee accounts and recollections of experiences at component legacy agencies; the events of
September 11, 2001; the establishment of the Department and its predecessor the Office of Homeland Security; the history
of the Department including legacy components; major issues facing the Department; and the future of the Department.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect historically relevant information about the Department to support
policy, initiatives, announcements, public releases of information, as well as to inform current and future leadership,
employees, and the public about the history of the Department.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>E. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>F. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>G. To the Government Printing Office or other publishing offices for production of a final document.
</p><p>H. To the National Archives and other government or public libraries in order to respond to inquiries about DHS.
</p><p>I. To audiences attending a particular event, location, or meeting where the history of the Department is exhibited or
presented.
</p><p>J. To scholars (historians and other disciplines) or any other interested individuals for research in writing
dissertations, articles, books, and other documents for government, commercial, and nonprofit publication or developing
material for other media use.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, subject, employment position, or event.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records relating to background material are temporary, to be destroyed when no longer needed for administrative
purposes, or ten years after the completion of the project. Records for the Headquarters History Office Project Files and
Oral History Program are permanent in accordance with National Archives and Records Administration through approved
schedule N1-563-07-3.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Historian (202-282-8682), History Office, Office of Policy, U.S. Department of Homeland Security,
Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters’ or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the
Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive,
SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer,<i> http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, interviewees, press releases, newspapers, journals, copies of internal Department records, and
individuals submit records on a voluntary basis to the History Offices. Individuals who are interviewed for records must
sign and are provided a notice under the Privacy Act pursuant to 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in (c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(5), and (e)(8); and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system
from the following provisions of the Privacy Act, subject to the limitations set forth in (c)(3), (d), (e)(1), (e)(4)(G),
(H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5).
</p></xhtmlContent></subsection></section>
<section id="all29" toc="yes">
<systemNumber>/ALL-029</systemNumber>
<subsection type="systemName">Civil Rights and Civil Liberties Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department Office for Civil Rights and Civil Liberties (CRCL), component civil
rights and civil liberties offices, and within offices of a component that does not have a designated civil rights and
civil liberties office, but these functions are dispersed within other offices of the component, in Washington, DC and
field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>Persons who contact the CRCL or component civil rights and civil liberties staff, to allege abuses of civil rights and
civil liberties, or to allege racial, ethnic, or religious profiling by DHS, its employees, contractors, grantees, or
others acting under the authority of the Department; persons alleged to be involved in civil rights or civil liberties
abuses or racial, ethnic, or religious profiling, victims or witnesses to such abuse; third parties not directly involved
in the alleged incident, but identified as relevant persons to an investigation; and DHS employees and contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system include:
</p><p>Information relating to allegations of abuses of civil rights, civil liberties, and racial, ethnic, and religious
profiling by Department employees and officials will be collected, as well as similar allegations relating to persons or
entities under Department control (such as contractors or programs). Basic information about complainants will be
collected, including, but not limited to:
</p><p>&#149; Complainant’s name;
</p><p>&#149; Complainant’s home and work mailing address;
</p><p>&#149; Complainant’s home, cell and work telephone and fax numbers;
</p><p>&#149; Complainant’s home and work e-mail address;
</p><p>&#149; Complainant’s social security number or alien registration number, if necessary and appropriate;
</p><p>&#149; Name of representative filing a claim on behalf of a complainant;
</p><p>&#149; Allegation occurrence date and time;
</p><p>&#149; Allegation facility name and location;
</p><p>&#149; DHS component referenced;
</p><p>&#149; Information on a complainant’s country of origin/race/religion (CRCL does not solicit this information, it
is tracked if individuals provide it);
</p><p>&#149; Allegation details, primary and secondary issues, and primary and secondary basis;
</p><p>&#149; Other information that may appear in the system or in the file folder on a case-by-case basis might
include:
</p><p>&#9675; Photographic facial images;
</p><p>&#9675; Bank account numbers;
</p><p>&#9675; Vehicle license plate information; and
</p><p>&#9675; Civil or criminal history information.
</p><p>&#149; Paper investigative files and documents depending on the particular investigation, but may include:
</p><p>&#9675; Letters, memoranda, and other documents alleging abuses of civil rights, civil liberties, and profiling
from complainants;
</p><p>&#9675; Internal letters, memoranda, and other communications within DHS;
</p><p>&#9675; Results of an investigation of allegations;
</p><p>&#9675; Transcripts, interview notes, investigative notes;
</p><p>&#9675; Documentation concerning requests for additional information needed to complete the investigation;
</p><p>&#9675; Medical records;
</p><p>&#9675; Copy of passport;
</p><p>&#9675; Evidentiary documents and material, comments, and reports relating to the alleged abuses and to the
resolution of the complaint; and
</p><p>&#9675; Similar information regarding witnesses, persons involved in the alleged incident, or any other persons
with relevant information regarding the alleged abuses may also be collected.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>6 U.S.C. 345; 5 U.S.C. 301; 49 U.S.C. 114; 44 U.S.C. 3101; section 803 of Public Law 110-53; E.O. 12958, as
amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to allow CRCL, component civil rights and civil liberties staff, and staff of
components who do not have a designated civil rights and civil liberties office, but who do perform related functions, to
maintain relevant information necessary to review complaints or comments about alleged civil rights or civil liberties
violations, including racial, ethnic, or religious profiling related to the Department’s activities. The system will also
track and maintain investigative files and records of complaint resolution and other issues, and facilitate oversight and
accountability of the Department’s civil rights and civil liberties complaint resolution mechanisms.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), (including United States Attorney Offices, or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, when necessary to accomplish an agency function
related to this system of records. Individuals provided information under this routine use is subject to the same Privacy
Act requirements and limitations on disclosure as are applicable to DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To another Federal agency with responsibility for labor or employment relations or other issues, including Equal
Employment Opportunity issues, when that agency has jurisdiction over issues reported to CRCL, or component civil rights
and civil liberties staff, and staff of components who do not have a designated civil rights and civil liberties office,
but who do perform related functions.
</p><p>I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property.
</p><p>J. 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.
</p><p>K. To the Office of Management and Budget (OMB), the DOJ, or the Office of Special Counsel (OSC), to obtain advice
regarding statutory and other requirements related to civil rights and civil liberties.
</p><p>L. To a Federal, State, territorial, Tribal, local, international, or foreign government agency or entity for the
purpose of consulting with that agency or entity: 1. To assist in making a determination regarding redress for an
individual in connection with the operations of a DHS component or program; 2. for the purpose of verifying the identity
of an individual seeking redress in connection with the operations of a DHS component or program; or 3. for the purpose
of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>M. To a Federal agency or entity that furnished a record or information for the purpose of permitting that agency or
entity to make a decision regarding access to or correction of the record or information or to a Federal agency or entity
that has information relevant to the redress request for purposes of obtaining guidance, additional information, or
advice from such Federal agency or entity regarding the handling of this particular redress request.
</p><p>N. To third parties lawfully authorized in connection with a Federal government program, which is authorized by law,
regulation, or rule, but only the information necessary and relevant to effectuate or to carry out a particular redress
result for an individual and disclosure is appropriate to enable these third parties to carry out their responsibilities
related to the Federal government program, such as when the name and appropriate associated information about an
individual who has been cleared and distinguished from a known or suspected threat to aviation security, is shared with
the airlines to prevent future delays and disruptions for that individual while traveling.
</p><p>O. To the Department of Transportation (DOT) and its operating administrations when relevant or necessary to (1)
ensure safety and security in any mode of transportation; (2) enforce safety- and security-related regulations and
requirements; (3) assess and distribute intelligence or law enforcement information related to transportation security;
(4) assess and respond to threats to transportation; (5) oversee the implementation and ensure the adequacy of security
measures at airports and other transportation facilities; (6) plan and coordinate any actions or activities that may
affect transportation safety and security or the operations of transportation operators; or (7) the issuance,
maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, incident code, social security number or other unique personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Referred issues are sent to DHS components for resolution. Components will maintain the record copy in accordance
with the component’s related record disposition schedule. CRCL will maintain a reference copy containing the original
complaint, all related and relevant documents, and the component’s memorandum of resolution in accordance with records
schedule N1-563-07-6, b.1 and will destroy or delete seven years after resolution or closure of the
case.
</p><p>Retained issues are either maintained by CRCL because of the significance of the issue, which may result in policy
change, or issues retuned from the component for resolution in accordance with N1-563-07-6, b.2 and
will destroy or delete seventy-five years after resolution or closure of the case.
</p><p>Significant case files involve allegations made against senior DHS officials; attract national media or congressional
attention; present significant or novel questions of law or policy; and result in substantive changes in DHS policies and
procedures. Significant case files will be selected by the Headquarters and component civil rights and civil liberties
offices based on these criteria. In accordance with N1-563-07-6, b.3 records are maintained through the
end of fiscal year in which the significant case file is closed. Records are transferred to NARA five years after the
case is closed according to NARA transfer guidance and regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For DHS: Complaints Manager (202-357-8178), Office for Civil Rights and Civil Liberties, Department
of Homeland Security, 1201 New York Avenue, NW., Washington DC 20528.
</p><p>For components of DHS, the System Manager can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, CRCL, component civil rights and civil
liberties offices, and staff of components who do not have a designated civil rights and civil liberties office but who
do perform related functions, will consider individual requests to determine whether or not information may be released.
Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the CRCL FOIA Officer, whose contact information can be found at
<i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-
0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is collected from individuals who file complaints, eyewitnesses, third parties, DHS employees and/or
contractors, illegal aliens involved in the circumstances that gave rise to the complaint, open sources such as non-fee
Internet sources and newspapers, and other entities with information pertinent to the matter under investigation. The
information is received via correspondence, telephone calls, e-mails, and facsimiles.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security proposes to exempt certain portions of this system relating to ongoing
investigations and national security activities from the following provisions of the Privacy Act, subject to the
limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C.
552a(k)(1), (k)(2), (k)(3), and (k)(5).
</p></xhtmlContent></subsection></section>
<section id="all30" toc="yes">
<systemNumber>/ALL-030</systemNumber>
<subsection type="systemName">Use of the Terrorist Screening Database (TSDB) System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at DHS and Component Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>&#149; Individuals known or appropriately suspected to be or have been engaged in conduct constituting, in
preparation for, in aid of, or related to terrorism ("known or suspected terrorists").
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Identifying information, such as name, date of birth, place of birth, biometrics, photographs, passport
and/or drivers license information, and other available identifying particulars used to compare the identity of an
individual being screened with a known or suspected terrorist, including audit records containing this information;
</p><p>&#149; For known or suspected terrorists, in addition to the categories of records listed above, references to
and/or information from other government law enforcement and intelligence databases, or other relevant databases that may
contain terrorism information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>&#149; Homeland Security Act of 2002, Public Law 107-296;
</p><p>&#149; Section 5 U.S.C. 301;
</p><p>&#149; The Tariff Act of 1930, as amended;
</p><p>&#149; The Immigration and Nationality Act; and
</p><p>&#149; 49 U.S.C. 114, 5103a, 40113, ch. 49 and 46105.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>DHS and its components collect, use, maintain, and disseminate information in the DHS Watchlist Service (WLS) to
facilitate DHS counterterrorism, law enforcement, border security, and inspection activities. TSDB data, which includes
personally identifiable information (PII), is necessary for DHS to effectively and efficiently assess the risk and/or
threat posed by a person for the conduct of its mission.
</p><p>The Federal Bureau of Investigation (FBI)/Terrorist Screening Center (TSC) is providing a near real time, synchronized
version of the TSDB in order to improve the timeliness and governance of watchlist data exchanged between the FBI/TSC and
DHS and its component systems that currently use watchlist data.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ)/FBI/TSC in order to receive confirmations that the information has been
appropriately transferred and any other information related to the reconciliation process so that DHS is able to maintain
a mirror copy of the TSDB.
</p><p>This system will share information internal to the Department pursuant to (b)(1) of the Privacy Act. Besides the
routine use described above, external sharing shall occur at the programmatic level pursuant to following published
System of Records Notices:
</p><p>(1) TSA, Office of Transportation Threat Assessment and Credentialing: DHS/TSA-002 Transportation Security
Threat Assessment System (May 19, 2010, 75 FR 28046);
</p><p>(2) TSA, Secure Flight Program: DHS/TSA-019 Secure Flight Records System (November 9, 2007, 72 FR 63711);
</p><p>(3) CBP, Passenger Systems Program Office for inclusion in TECS: DHS/CBP-011 TECS System (December 19, 2008 73
FR 77778);
</p><p>(4) U.S. VISIT program for inclusion into the DHS Enterprise Biometrics Service (IDENT): DHS/USVISIT-0012 DHS
Automated Biometric Identification System (June 5, 2007, 72 FR 31080);
</p><p>(5) Office of Intelligence and Analysis (I&amp;A): DHS/IA-001 Enterprise Records System, (May 15, 2008 73 FR
28128), and
</p><p>(6) U.S. Immigration and Customs Enforcement (ICE): DHS/ICE-009 External Investigations, (January 5, 2010 75 FR
404).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name or personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The WLS will maintain a near real time mirror of the TSDB, and will not retain historical copies of the TSDB. The
WLS will be synchronized with the TSDB. When the FBI/TSC adds, modifies, or deletes data from the TSDB, the WLS will
duplicate these functions almost simultaneously, and that information will then be passed to DHS and its component
systems. The DHS component that is screening individuals will maintain, separate from the WLS, a record of a match or
possible match with the TSDB and DHS will retain this information in accordance with the DHS component specific SORNs
identified in this notice.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Passenger Systems Program Office, Office of Information Technology, Customs and Border
Protection, 7400 Fullerton Rd, Springfield, VA.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS and its components will consider
individual requests to determine whether or not information may be released. Thus, individuals seeking notification of
and access to any record contained in this system of records, or seeking to contest its content, may submit a request in
writing to the Headquarters or component FOIA Officer, whose contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-
0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address, and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury, as a substitute for notarization. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p><p>In addition, if individuals are uncertain what agency handles the information, they may seek redress through the DHS
Traveler Inquiry Redress Program (TRIP) (January 18, 2007, 72 FR 2294). Individuals who believe they have been improperly
denied entry, refused boarding for transportation, or identified for additional screening by CBP may submit a redress
request through TRIP.
</p><p>TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they
experienced during their travel screening at transportation hubs such as airports and train stations or crossing U.S.
borders. Redress requests should be sent to: DHS Traveler Redress Inquiry Program, 601 South 12th Street, TSA-901,
Arlington, VA 20598 or online at <i>http://www.dhs.gov/trip</i> and at <i>http://www.dhs.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are received from the DOJ/FBI-019 Terrorist Screening Records System of Records (August 22, 2007,
72 FR 47073)
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)
(H), (e)(4)(I), (e)(5), (e)(8), (e)(12); (f); (g)(1); and (h) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the
Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the
limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C.
552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="all31" toc="yes">
<systemNumber>/ALL-31</systemNumber>
<subsection type="systemName">Information Sharing Environment (ISE) Suspicious Activity Reporting (SAR) Initiative System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, and law enforcement sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Homeland Security (DHS) Headquarters on the DHS Nationwide Suspicious
Activity Report Initiative (NSI) Shared Space Server in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>&#149; DHS employees and contractors who have submitted ISE-SAR data to the NSI Shared.
</p><p>&#149; DHS employees and contractors who use the NSI Shared Space for conducting research and analysis with a
potential terrorism nexus.
</p><p>&#149; Federal, State, local, Tribal, territorial and private sector officials whose agency or organization is
part of the NSI and have submitted a ISE-SAR that meets the ISE-SAR Functional Standard and whose information
DHS personnel have a need to know for the performance of their official duties.
</p><p>&#149; Federal, State, local, Tribal, territorial, and private sector officials whose agency or organization is
an NSI participant and who use the NSI Shared Space for conducting research and analysis with a potential terrorism
nexus.
</p><p>&#149; Individuals whose behavior is reasonably indicative of pre-operational planning related to terrorism or
other criminal activity associated with terrorism.
</p><p>&#149; Witnesses who have observed individuals whose behavior reasonably is indicative of pre-operational
planning related to terrorism or other criminal activity associated with terrorism.
</p><p>&#149; Individuals who have a material relationship to the activity or behavior reported in an ISE-SAR
(e.g., the owner of a particular vehicle that was observed in a SAR, where it is unclear whether the person was actually
driving the vehicle).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>As described in the ISE-SAR Functional Standard Version 1.5 published in May 2009, the below information
related to individuals may be maintained in this system. The ISE-SAR Functional Standard identifies privacy fields,
which are also noted below.
</p><p>&#149; Aircraft descriptions, including:
</p><p> &#9675; Aircraft engine quality.
</p><p> &#9675; Aircraft fuselage color.
</p><p> &#9675; Aircraft wing color.
</p><p> &#9675; Aircraft ID (privacy field).
</p><p> &#9675; Aircraft make code.
</p><p> &#9675; Aircraft model code.
</p><p> &#9675; Aircraft style code .
</p><p> &#9675; Aircraft tail number (privacy field).
</p><p>&#149; Attachment:
</p><p> &#9675; Attachment type text.
</p><p> &#9675; Binary image.
</p><p> &#9675; Capture date.
</p><p> &#9675; Description text.
</p><p> &#9675; Format type text.
</p><p> &#9675; Attachment URI.
</p><p> &#9675; Attachment privacy field indicator.
</p><p>&#149; Contact information for the submitter of the ISE-SAR:
</p><p> &#9675; Person first name.
</p><p> &#9675; Person last name.
</p><p> &#9675; Person middle initial/name.
</p><p> &#9675; E-mail address.
</p><p> &#9675; Organization/Affiliation, such as DHS.
</p><p> &#9675; Full telephone number.
</p><p>&#149; Driver License:
</p><p> &#9675; Expiration date (privacy field).
</p><p> &#9675; Expiration year.
</p><p> &#9675; Issuing authority text.
</p><p> &#9675; Driver license number (privacy field).
</p><p> &#9675; Driver license endorsements, such as Hazardous Materials, Commercial Driver’s License, Motorcycle.
</p><p>&#149; Follow-up Action:
</p><p> &#9675; Activity date.
</p><p> &#9675; Activity time.
</p><p> &#9675; Assigned by text.
</p><p> &#9675; Assigned to text.
</p><p> &#9675; Disposition text.
</p><p> &#9675; Status text.
</p><p>&#149; Location:
</p><p> &#9675; Location description (privacy field).
</p><p>&#149; Location Address:
</p><p> &#9675; Building description.
</p><p> &#9675; County name.
</p><p> &#9675; Country name.
</p><p> &#9675; Cross street description.
</p><p> &#9675; Floor identifier.
</p><p> &#9675; International Civil Aviation Organization (ICAO) airfield code for departure.
</p><p> &#9675; ICAO airfield code for planned destination.
</p><p> &#9675; ICAO for actual destination.
</p><p> &#9675; ICAO airfield for alternate.
</p><p> &#9675; Mile marker text.
</p><p> &#9675; Municipality name.
</p><p> &#9675; Postal code.
</p><p> &#9675; State name.
</p><p> &#9675; Street name.
</p><p> &#9675; Street number (privacy field).
</p><p> &#9675; Street post directional.
</p><p> &#9675; Street pre directional.
</p><p> &#9675; Street type.
</p><p> &#9675; Unit ID (privacy field).
</p><p>&#149; Location Coordinates:
</p><p> &#9675; Altitude.
</p><p> &#9675; Coordinate datum.
</p><p> &#9675; Latitude degree.
</p><p> &#9675; Latitude minute.
</p><p> &#9675; Latitude second.
</p><p> &#9675; Longitude degree.
</p><p> &#9675; Longitude minute.
</p><p> &#9675; Longitude second.
</p><p> &#9675; Conveyance track/intent.
</p><p>&#149; Observer:
</p><p> &#9675; Observer type text.
</p><p> &#9675; Person employer ID (privacy field).
</p><p>&#149; Owning organization:
</p><p> &#9675; Organization item.
</p><p> &#9675; Organization description.
</p><p> &#9675; Organization ID (privacy field).
</p><p> &#9675; Organization Local ID.
</p><p>&#149; Other Identifier:
</p><p> &#9675; Person identification number (PID) (privacy field).
</p><p> &#9675; PID effective date (privacy field).
</p><p> &#9675; PID effective year.
</p><p> &#9675; PID expiration date (privacy field).
</p><p> &#9675; PID expiration year.
</p><p> &#9675; PID issuing authority text.
</p><p> &#9675; PID type code.
</p><p>&#149; Passport:
</p><p> &#9675; Passport ID (privacy field).
</p><p> &#9675; Expiration date (privacy field).
</p><p> &#9675; Expiration year.
</p><p> &#9675; Issuing country code.
</p><p>&#149; Person:
</p><p> &#9675; AFIS FBI number (privacy field).
</p><p> &#9675; Age.
</p><p> &#9675; Age unit code.
</p><p> &#9675; Date of birth (privacy field).
</p><p> &#9675; Year of birth.
</p><p> &#9675; Ethnicity code.
</p><p> &#9675; Maximum age.
</p><p> &#9675; Minimum age.
</p><p> &#9675; State identifier (privacy field).
</p><p> &#9675; Tax identification number (privacy field).
</p><p>&#149; Person Name:
</p><p> &#9675; First name (privacy field).
</p><p> &#9675; Last name (privacy field).
</p><p> &#9675; Middle name (privacy field).
</p><p> &#9675; Full name (privacy field).
</p><p> &#9675; Moniker (privacy field).
</p><p> &#9675; Name suffix.
</p><p> &#9675; Name type.
</p><p>&#149; Physical descriptors:
</p><p> &#9675; Build description.
</p><p> &#9675; Eye color code.
</p><p> &#9675; Eye color text.
</p><p> &#9675; Hair color code.
</p><p> &#9675; Hair color text.
</p><p> &#9675; Person eyewear text.
</p><p> &#9675; Person facial hair text.
</p><p> &#9675; Person height.
</p><p> &#9675; Person height unit code.
</p><p> &#9675; Person maximum height.
</p><p> &#9675; Person minimum height.
</p><p> &#9675; Person maximum weight.
</p><p> &#9675; Person minimum weight.
</p><p> &#9675; Person sex code.
</p><p> &#9675; Person weight.
</p><p> &#9675; Person weight unit code.
</p><p> &#9675; Race code.
</p><p> &#9675; Skin tone code.
</p><p> &#9675; Clothing description text.
</p><p>&#149; Physical feature:
</p><p> &#9675; Feature description.
</p><p> &#9675; Feature type code.
</p><p> &#9675; Location description.
</p><p>&#149; Registration:
</p><p> &#9675; Registration authority code.
</p><p> &#9675; Registration number (privacy field).
</p><p> &#9675; Registration type.
</p><p> &#9675; Registration year.
</p><p>&#149; ISE-SAR Submission:
</p><p> &#9675; Additional details indicator.
</p><p> &#9675; Data entry date.
</p><p> &#9675; Dissemination code.
</p><p> &#9675; Fusion center contact first name.
</p><p> &#9675; Fusion center contact last name.
</p><p> &#9675; Fusion center contact e-mail address.
</p><p> &#9675; Fusion center contact telephone number.
</p><p> &#9675; Message type indicator.
</p><p> &#9675; Privacy purge data.
</p><p> &#9675; Privacy purge review date.
</p><p> &#9675; Submitting ISE-SAR Record ID.
</p><p> &#9675; ISE-SAR submission date.
</p><p> &#9675; ISE-SAR title.
</p><p> &#9675; ISE-SAR version.
</p><p> &#9675; Source agency case ID.
</p><p> &#9675; Source agency record reference name.
</p><p> &#9675; Source agency record status code.
</p><p> &#9675; Privacy information exists indicator.
</p><p>&#149; Sensitive Information Details:
</p><p> &#9675; Classification label.
</p><p> &#9675; Classification reason text.
</p><p> &#9675; Sensitivity level.
</p><p> &#9675; Tearlined indicator (information that indicates the report does not contain classified
information).
</p><p>&#149; Source Organization:
</p><p> &#9675; Organization name.
</p><p> &#9675; Organization ORI.
</p><p> &#9675; System ID.
</p><p> &#9675; Fusion center submission date.
</p><p> &#9675; Source agency contact first name.
</p><p> &#9675; Source agency contact last name.
</p><p> &#9675; Source agency contact e-mail address.
</p><p> &#9675; Source agency contact phone number.
</p><p>&#149; Suspicious Activity Report:
</p><p> &#9675; Community description.
</p><p> &#9675; Community URI.
</p><p> &#9675; LEXS version.
</p><p> &#9675; Message date/time.
</p><p> &#9675; Sequence number.
</p><p> &#9675; Source reliability code.
</p><p> &#9675; Content validity code.
</p><p> &#9675; Nature of source-code.
</p><p> &#9675; Nature of source-text.
</p><p>&#149; Submitting organization:
</p><p> &#9675; Organization name.
</p><p> &#9675; Organization ID.
</p><p> &#9675; Organization ORI.
</p><p> &#9675; System ID.
</p><p>&#149; Suspicious Activity:
</p><p> &#9675; Activity end date.
</p><p> &#9675; Activity end time.
</p><p> &#9675; Activity start date.
</p><p> &#9675; Activity start time.
</p><p> &#9675; Observation description text.
</p><p> &#9675; Observation end date.
</p><p> &#9675; Observation end time.
</p><p> &#9675; Observation start date.
</p><p> &#9675; Observation start time.
</p><p> &#9675; Threat type code.
</p><p> &#9675; Threat type detail text.
</p><p> &#9675; Suspicious activity code.
</p><p> &#9675; Weather condition details.
</p><p>&#149; Target:
</p><p> &#9675; Critical infrastructure indicator.
</p><p> &#9675; Infrastructure sector code.
</p><p> &#9675; Infrastructure tier text.
</p><p> &#9675; Structure type code.
</p><p> &#9675; Target type text.
</p><p> &#9675; Structure type text.
</p><p> &#9675; Target description text.
</p><p>&#149; Vehicle:
</p><p> &#9675; Color code.
</p><p> &#9675; Description.
</p><p> &#9675; Make name.
</p><p> &#9675; Model name.
</p><p> &#9675; Style code.
</p><p> &#9675; Vehicle year.
</p><p> &#9675; Vehicle identification number (privacy field).
</p><p> &#9675; US DOT number (privacy field).
</p><p> &#9675; Vehicle description.
</p><p>&#149; Related ISE-SAR:
</p><p> &#9675; Fusion center ID.
</p><p> &#9675; Fusion center ISE-SAR Record ID.
</p><p> &#9675; Relations description text.
</p><p>&#149; Vessel:
</p><p> &#9675; Vessel official Coast Guard number identification (privacy field).
</p><p> &#9675; Vessel ID (privacy field).
</p><p> &#9675; Vessel ID issuing authority.
</p><p> &#9675; Vessel IMO number identification (privacy field).
</p><p> &#9675; Vessel MMSI identification.
</p><p> &#9675; Vessel make.
</p><p> &#9675; Vessel model.
</p><p> &#9675; Vessel model year.
</p><p> &#9675; Vessel name.
</p><p> &#9675; Vessel hailing port.
</p><p> &#9675; Vessel national flag.
</p><p> &#9675; Vessel overall length.
</p><p> &#9675; Vessel overall length measure.
</p><p> &#9675; Vessel serial number (privacy field).
</p><p> &#9675; Vessel type code.
</p><p> &#9675; Vessel propulsion text.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, as amended; and the Intelligence Reform and Terrorism Prevention Act of 2004,
as amended; the National Security Act of 1947, as amended; Executive Order 13388.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The ISE-SAR Functional Standard is designed to support the sharing, specifically through the NSI, of
information about suspicious activities that have a potential terrorism nexus throughout the ISE. The NSI participants
include DHS; the Department of Justice; other Federal agencies carrying out counterterrorism mission function; State,
local, and Tribal entities, including law enforcement agencies, represented at State, regional, major urban area fusion
centers; and the private sector to the extent authorized by applicable law. In addition to providing specific indicators
of possible terrorism-related crimes, ISE-SARs can be used to look for patterns and trends by analyzing information
at a broader level than would typically be recognized within a single jurisdiction, State, or territory. Standardized and
consistent sharing of suspicious activity information regarding potential terrorist threats and possible criminal
activity associated with terrorism among State and major urban area fusion centers and Federal agencies is vital to
assessing, deterring, preventing, or prosecuting those involved in criminal activities associated with terrorism.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate public or private sector organization who is a participant in the Nationwide SAR Initiative and authorized
access through the NSI Shared Space for the purpose of supporting an authorized law enforcement, counterterrorism,
national security, or homeland security function.
</p><p>H. To Federal government counterterrorism agencies where DHS becomes aware of an indication of a threat or potential
threat to national or international security, and where such use is to assist in anti-terrorism efforts.
</p><p>I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life, property or other vital interests of a data subject and
disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically. The records are stored on magnetic disc, tape, digital media,
and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Much of the data within this system does not pertain to an individual; rather, the information pertains to
locations, geographic areas, facilities, and other things or objects not related to individuals. However, personal
information may be captured. Personal data may be retrieved by name, Social Security number, any privacy fields noted
under Categories of Records, and other identifiers listed under the Categories of Records section.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>DHS is in the process of developing a retention schedule for DHS ISE-SAR data. This retention schedule will
be based upon the underlying retention schedules of the information identified in existing components’ retention
schedules. DHS components maintain the authority to withdraw and/or edit any and all ISE-SAR data that they have
entered into the NSI Shared Space in accordance with their respective policies. The NSI Shared Space does not have any
internal retention mandates independent of the retention policies of the DHS components that enter their information into
the NSI Shared Space.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Ronald Athmann (202) 447-4332, Office of Intelligence and Analysis, Department of Homeland Security,
Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"contacts." If an individual believes more than one component maintains Privacy Act records concerning him or
her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from ISE-SARs submitted by Federal, State, local, Tribal, and territorial agencies and
private sector organizations who are NSI participants. The respective mission sets of DHS components are varied and
entail coverage across multiple sectors. DHS components use a standardized technical approach across DHS to incorporate
SAR data into the NSI Shared Space. DHS personnel, trained in the ISE-SAR program, will review component SARs and
submit only those SAR data that meet the ISE-SAR Functional Standard to the NSI Shared Space.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), and (e)(12); (f); (g)(1); and (h) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2).
Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy
Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of
the Privacy Act pursuant to 5 U.S.C. 552a(k)(2), and (k)(3).
</p></xhtmlContent></subsection></section>
<section id="all32" toc="yes">
<systemNumber>/ALL-032</systemNumber>
<subsection type="systemName">Official Passport Application and Maintenance Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but Unclassified and Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at DHS and Component Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DHS employees and former employees, including political appointees, civilian, and military personnel (and
dependents and family members that accompany military members assigned outside the continental United States) assigned or
detailed to the Department, individuals who are formally or informally associated with the Department, including advisory
committee members, employees of other agencies and departments in the federal government, and other individuals in the
private and public sector who are on official business with the Department, who in their official capacity, are applying
for an official passport or updating their official passport records where a copy is maintained by the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Official passport books and passport cards, applications for official passport books and official
passport cards, maintenance records in support of official passport books and official passport cards, and applications
for additional visa pages, amendments, extensions, replacements, and/or renewals of official passport books or cards
(including all information and materials submitted as part of or with all such applications) including, but not limited
to:
</p><p> &#9675; Name, date of birth, social security number, contact information, and address;
</p><p>&#149; Applications for registration at American Diplomatic and Consular Posts as U.S. citizens or for issuance
of Cards of Identity and Registration as U.S. Citizens;
</p><p>&#149; Consular Reports of Birth Abroad of United States citizens;
</p><p>&#149; Certificates of Witness to Marriage;
</p><p>&#149; Certificates of Loss of United States Nationality;
</p><p>&#149; Oaths of Repatriation;
</p><p>&#149; Consular Certificates of Repatriation;
</p><p>&#149; Reports of Death of an American Citizen Abroad;
</p><p>&#149; Cards of Identity and Registration as U.S. citizens; and
</p><p>&#149; Miscellaneous materials, which are documents and/or records maintained separately, if not in the
application, including but not limited to the following types of documents:
</p><p> &#9675; Birth and baptismal certificates;
</p><p> &#9675; Medical, personal, and financial reports; and/or
</p><p> &#9675; Records of lost and stolen passports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 44 U.S.C. 3101; and 6 U.S.C. 112.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain a copy of an official passport application or maintenance
record on DHS employees and former employees, including political appointees, civilian, and military personnel (and
dependents and family members that accompany military members assigned outside the continental United States) assigned or
detailed to the Department, individuals who are formally or informally associated with the Department, including advisory
committee members, employees of other agencies and departments in the federal government, and other individuals in the
private and public sector who are on official business with the Department, who in their official capacity, are applying
for an official passport or updating their official passport records where a copy is maintained by the Department.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To appropriate foreign government authorities for administrative purposes relating to foreign travel in order to
facilitate official travel for the individual traveling.
</p><p>I. To the Department of State when employees and former employees, including political appointees, civilian, and
military personnel (and dependents and family members that accompany military members assigned outside the continental
United States) assigned or detailed to the Department, individuals who are formally or informally associated with the
Department, including advisory committee members, employees of other agencies and departments in the federal government,
and other individuals in the private and public sector who are on official business with the Department, who in their
official capacity, are applying for an official passport or updating their official passport records where a copy is
maintained by DHS in order to receive an official passport.
</p><p>J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the <i>Category of Records Listed</i> above.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records within this system of records are maintained and disposed of in accordance with NARA approved General
Records Schedule (GRS) 9 Item 5, Sections a-c. Application files including documents relating to the issuance of
official passports, including requests for passports, transmittal letters, receipts, and copies of travel authorizations
should be destroyed when 3 years old or upon separation of the employee, whichever is sooner in accordance with N1-
GRS-91-1, item 5a. Annual reports concerning official passports including reports to the DOS concerning the
number of official passports issued and related matters should be destroyed when 1 year old in accordance with N1-
GRS-91-1, item 5b. Passport registers including registers and lists of agency personnel who have official
passports should be destroyed when superseded or obsolete in accordance with N1-GRS-98-2, item 9.
Official passports should be returned to the DOS upon expiration or upon the separation of the employee.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Program Manager for Passport Processing (202-282-8020), Service Center, Office of the Chief
Administrative Officer, Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the headquarters or component FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from Department employees and contractors.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all33" toc="yes">
<systemNumber>/ALL-033</systemNumber>
<subsection type="systemName">Reasonable Accommodations Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at DHS and component locations in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include applicants for employment and employees who request or
receive reasonable accommodations under Sections 501, 504, and 701 of the Rehabilitation Act of 1973 and the Americans
with Disabilities Act (ADA) Amendments of 2008. This also includes authorized individuals or representatives (<i>e.g.,</i
> family member or attorney) who file requests for reasonable accommodation on behalf of an applicant for employment or
employee as well as former employees who requested or received reasonable accommodation during their employment with the
Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Requester’s name;
</p><p>&#149; Requester’s status (applicant or current employee);
</p><p>&#149; Requester’s contact information (work address, phone, and e-mail);
</p><p>&#149; Date request was initiated;
</p><p>&#149; Jobs (occupational series, grade level, and agency component) for which reasonable accommodation had been
requested;
</p><p>&#149; Information concerning the nature of the disability and the need for accommodation, including appropriate
medical documentation when the disability and/or need for accommodation is not obvious;
</p><p>&#149; Details of reasonable accommodation request, such as:
</p><p>&#9675; Type(s) of accommodation requested;
</p><p>&#9675; Whether the accommodation requested was pre-employment or during their employment with the Department;
</p><p>&#9675; How the requested accommodation would assist in job performance;
</p><p>&#9675; The amount of time taken to process the request;
</p><p>&#9675; Whether the request was granted or denied and, if denied, the reason for the denial; and
</p><p>&#9675; The sources of technical assistance consulted in trying to identify possible reasonable accommodation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 501, 504, and 701 of the Rehabilitation Act of 1973; ADA Amendments of 2008; Executive Order 13164 (July
28, 2000); and Executive Order 13548 (July 10, 2010).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to allow the Department to collect and maintain records on applicants for
employment as well as employees with disabilities who requested or received reasonable accommodation by the Department as
required by Sections 501, 504, and 701 of the Rehabilitation Act of 1973 and the ADA Amendments of 2008. The purpose of
this system is also to track and report the processing of requests for reasonable accommodation Department-wide to comply
with applicable law and regulations and to preserve and maintain the confidentiality of medical information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), (including United States Attorney Offices, or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, when necessary to accomplish an agency function
related to this system of records. Individuals provided information under this routine use is subject to the same Privacy
Act requirements and limitations on disclosure as are applicable to DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>I. To another federal agency or commission with responsibility for labor or employment relations or other issues,
including equal employment opportunity and reasonable accommodation issues, when that agency or commission has
jurisdiction over reasonable accommodation.
</p><p>J. To the Office of Management and Budget (OMB), DOJ, Department of Labor (DOL), Office of Personnel Management (OPM),
Equal Employment Opportunity Commission (EEOC), or Office of Special Counsel (OSC) to obtain advice regarding statutory,
regulatory, policy, and other requirements related to reasonable accommodation.
</p><p>K. To appropriate third parties contracted by the Department to facilitate mediation or other dispute resolution
procedures or programs.
</p><p>L. To the Department of Defense (DOD) for purposes of procuring assistive technologies and services through the
Computer/Electronic Accommodation Program in response to a request for reasonable accommodation.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of requester, employing component or directorate, or any unique identifying
number assigned to the request if applicable.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with NARA General Records Schedule (GRS) 1 Section 24 "Reasonable Accommodation Request
Records" must be kept for three years from the employee’s separation from the agency or after all appeals have
concluded, whichever is longer. This includes individual records as well as cumulative records used to track the agency’s
performance with regard to reasonable accommodations.
</p><p>All medical information, including information about functional limitations and reasonable accommodation needs
obtained in connection with a request for reasonable accommodation must be kept confidential and shall be maintained in
files separate from the individual’s official personnel file. Additionally, employees who obtain or receive such
information are strictly bound by these confidentiality requirements. Whenever medical information is disclosed, the
individual disclosing the information must inform the recipients of the information about the confidentiality
requirements that attach to it.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Reasonable Accommodations Coordinator (202-254-8200), Office for Civil Rights and Civil Liberties,
Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the CRCL FOIA Officer, whose contact information can be found at
<i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-
0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from applicants for employment as well as employees with disabilities who requested or
received reasonable accommodations by the Department as required by the Rehabilitation Act of 1973 and the ADA Amendments
of 2008.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="all35" toc="yes">
<systemNumber>/ALL-035</systemNumber>
<subsection type="systemName">DHS/ALL-035 Common Entity Index Prototype (CEI Prototype). </subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive and unclassified. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the DHS Headquarters in Washington, DC, DHS data centers in Stennis, Mississippi,
and in locations where DHS and its components conduct business.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>(1) foreign nationals who may seek to enter the United States by air or sea under the Visa Waiver Program;
</p><p>(2) prospective, current, and former non-immigrants to the United States on an F-1, M-1, or
J-1 class of admission and their dependents who have been admitted under an F-2, M-2, or
J-2 class of admission (collectively, F/M/J non-immigrants);
</p><p>(3) a proxy, parent or guardian of an F/M/J nonimmigrant; and
</p><p>(4) aliens or other individuals designated by DHS/Transportation Security Administration (TSA), including
lawful permanent residents (LPR), who apply for flight training or recurrent training.
</p><p>F nonimmigrants are foreign students pursuing a full course of study in a college, university, seminary,
conservatory, academic high school, private elementary school, other academic institution, or language training
program in the United States (U.S.) that Student and Exchange Visitor Program (SEVP) has certified to enroll
foreign students. M nonimmigrants are foreign students pursuing a full course of study in a vocational or other
recognized nonacademic institution (e.g., technical school) in the U.S. that SEVP has certified to enroll
foreign students. J nonimmigrants are foreign nationals selected by a sponsor that the Department of State
(DOS) has designated to participate in an exchange visitor program in the U.S.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Correlation created by the Common Entity Index Prototype includes
</p><p>&#149; Identity information;
</p><p>&#149; Meta Data related to the
</p><p>&#9675; source system name,
</p><p>&#9675; system identification number to tie the biographic information back to the source system record,
and
</p><p>&#9675; date the record was ingested into the CEI Prototype.
</p><p>(2) Source system data elements:
</p><p>&#149; Full Name;
</p><p>&#149; Alias(es);
</p><p>&#149; Gender;
</p><p>&#149; Date of Birth;
</p><p>&#149; Country of Birth;
</p><p>&#149; Country of Citizenship;
</p><p>&#149; Phone Number;
</p><p>&#149; Physical Address;
</p><p>&#149; Email Address;
</p><p>&#149; Fingerprint Identification Number; and
</p><p>&#149; Document Type, Number, Date, and Location of Issuance for the following types of government
issued documents:
</p><p>&#9675; Passport;
</p><p>&#9675; Driver’s License;
</p><p>&#9675; Electronic System for Travel Authorization (ESTA);
</p><p>&#9675; Student and Exchange Visitor Information System (SEVIS) ;
</p><p>&#9675; Alien Registration; and
</p><p>&#9675; Visa.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Homeland Security Act, 6 U.S.C. 343; Clinger-Cohen Act of 1996, Public Law 104-106, codified at 40
U.S.C. 11101, et. seq.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this prototype is to determine the feasibility of establishing a centralized index of select
biographic information that will allow DHS to provide a consolidated and correlated identity, thereby
facilitating and improving DHS’s ability to carry out its national security, homeland security, law
enforcement, and benefits missions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows, except, to the extent any of the data contained in the CEI
Prototype relates to refugees, asylum seekers, and asylees, such information may not be disclosed outside DHS
as a routine use pursuant to 5 U.S.C. 552a(b)(3), but is subject, as a matter of policy, to the confidentiality
provisions of 8 CFR 208.6.
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agencies conducting
litigation or in proceedings before any court, adjudicative, or administrative body, when it is relevant or
necessary to the litigation and one of the following is a party to the litigation or has an interest in such
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity when DOJ or DHS has agreed to
represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to
records management inspections being conducted under the authority of 44 U.S.C. &#167;&#167; 2904 and
2906.
</p><p>D. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised; and
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity
theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or
integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity)
that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm.
</p><p>E. To contractors and their agents, grantees, experts, consultants, and others performing or working on a
contract, service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers
and employees.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in secure facilities in a locked drawer behind a locked
door. The records may be stored on magnetic disc, tape, or digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name or any other unique identifier assigned to the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize
the risk of compromising the information that is being stored. Access to the computer system containing the
records in this system is limited to those individuals who have a need to know the information for the
performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The CEI Prototype ingests data from source systems, and correlates the data into a CEI Prototype identity.
Ingested data is retained in CEI Prototype for no longer than the record retention requirements of the source
systems. The CEI Prototype creates a correlated identity that is dynamic not static. The ingested data elements
that make up that identity will be subject to the records retention schedules of the source systems from which
they came. By design, the deletion or correction of these elements at the appropriate time will affect the
correlated record. For example, if a student updates his/her contact information, the correlation will be
updated.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, DHS Information Sharing Environment Office, Department of Homeland Security, Washington,
DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking
to contest its content, may submit a request in writing to the Headquarters FOIA Officer, whose contact
information can be found on the Department’s official Web site at <i>http://www.dhs.gov/foia</i>
under "Contacts." The individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410,
STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records,
your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify
your identity, meaning that you must provide your full name, current address, and date and place of birth. You
must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law
that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific
form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of
Information Act Officer, on the Department’s official Web site at <i>http://www.dhs.gov/foia</i> or by
calling toll free 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you; and
</p><p>&#149; Specify when you believe the records would have been created.
</p><p>If seeking records pertaining to another living individual, include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, DHS may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Initially, DHS will use the following source data sets to populate CEI Prototype: (1) CBP’s ESTA, covered by
the DHS/CBP-009--Electronic System for Travel Authorization (ESTA) SORN (July 30, 2012, 77 FR
44642); (2) ICE’s SEVIS, covered by the DHS/ICE-001--Student and Exchange Visitor Information System
SORN (January 5, 2010, 75 FR 412); and (3) TSA’s AFS, covered by the DHS/TSA-002--Transportation
Security Threat Assessment System SORN (May 19, 2010, 75 FR 28046). If additional data sets are added to CEI
Prototype, this SORN will be updated. If deployed for operational use, additional data sources may be used. DHS
will update this SORN or issue a new SORN prior to the operational use of the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The records maintained in the CEI Prototype are the non-exempt portions of the records in the source systems
because the information ingested into the CEI Prototype is the information provided directly by the individual
for the requested benefit. When a record received from another system has been exempted in that source system
under
</p><p>5 U.S.C. 552a(j)(2) or (k)(1), (k)(2), or (k)(5), DHS will claim the same exemptions for those records that
are claimed for the original primary systems of records from which they originated.
</p></xhtmlContent></subsection></section>
<section id="all36" toc="yes">
<systemNumber>/ALL-036</systemNumber>
<subsection type="systemName">DHS/ALL--036 Board for Correction of Military Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the DHS Headquarters in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former members of the USCG and USCG Reserve who have filed applications for relief before the
Board, or their representatives; civilian employees of DHS serving as the Chair; members of the BCMR; or the
staff of the BCMR.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Name, rank, and service number or social security number (SSN) of the applicant and the name of
his/her representative, if any;
</p><p>&#149; Phone numbers, mailing, and email addresses of the applicant and his/her representative, if
any;
</p><p>&#149; Application for Correction of Military Record (DD Form 149) and all written arguments and
evidence submitted by or on behalf of the applicant;
</p><p>&#149; Docket number and type of application;
</p><p>&#149; Copies of documents maintained by the Coast Guard in the applicant’s Personnel Data Record,
such as performance evaluations, medal citations, written counseling, disciplinary records, discharge papers,
and other military records relevant to the requested correction;
</p><p>&#149; Copies of the applicant’s medical records, if applicable to the requested correction, from the
Coast Guard and Department of Veterans Affairs;
</p><p>&#149; Copies of applicable investigations;
</p><p>&#149; Advisory opinions of the Coast Guard, including any attached documentary evidence or
affidavits;
</p><p>&#149; Transcripts of any hearing held by the Board;
</p><p>&#149; Decisional documents of the Board and of the General Counsel acting under delegated authority
to approve, disapprove, or remand the decision of the Board;
</p><p>&#149; Coast Guard requests for amendment or clarification of Board decisions and the Board’s
decisions in response to such requests;
</p><p>&#149; Copies of court decisions related to the application; and
</p><p>&#149; Correspondence between the Chair or staff and the applicant, the applicant’s representative or
congressional representative, or the Coast Guard concerning an application.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>10 U.S.C. &#167; 1552.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the BCMR system of records is to allow current and former USCG military personnel, or their
authorized representatives, to submit applications to the BCMR for correction of their military records; to
allow the Chair, members of the Board, and staff to review the records before deciding whether the requested
corrections are warranted; to allow the General Counsel and his or her staff to review the records before
deciding whether to approve, disapprove, or remand the Board’s decisions; and to allow the Coast Guard to
review the records before deciding whether to recommend that the Board grant or deny relief in each case and to
implement the Board’s orders. The system stores the complete record of each proceeding, including the decision
issued or other final disposition made.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting
litigation or in proceedings before any court, adjudicative, or administrative body, when it is relevant or
necessary to the litigation and one of the following is a party to the litigation or has an interest in such
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity when DOJ or DHS has agreed to
represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to
records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity
theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or
integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity)
that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm.
</p><p>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 DHS, 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 DHS officers
and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing
a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information,
indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations
and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the Department of Veterans Affairs (DVA) when the BCMR determines it has the need for an applicant’s
medical records possessed by the DVA. DHS requests medical records from DVA using an applicant’s name and
social security number.
</p><p>I. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course
of civil, or criminal, or administrative proceedings (including discovery, presentation of evidence, and
settlement negotiations) when DHS determines that use of such records is relevant and necessary to the
litigation before a court or adjudicative body and any of the following is a party to or has an interest in the
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity when the government has agreed to represent the
employee; or
</p><p>4. The United States, when DHS determines that litigation is likely to affect DHS or any of its components.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with
counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure
is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability
of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that
release of the specific information in the context of a particular case would constitute an unwarranted
invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind
a locked door. The records may be stored on magnetic disc, tape, digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved individually by name in alphabetical sequence or by docket number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize
the risk of compromising the information that is being stored. Access to the computer system containing the
records in this system is limited to those individuals who have a need to know the information for the
performance of their official duties and who have appropriate clearances or permissions. Files are kept in the
Office of the General Counsel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained locally for three years, after which records are then sent to NARA and destroyed after
40 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chair, Board for Correction of Military Records, Office the General Counsel, Mail Stop #0485, 245 Murray
Drive SW., Washington, DC 20518.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking
to contest its content, may submit a request in writing to the Chief Privacy Officer and Chief Freedom of
Information Act Officer whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"Contacts." If an individual believes more than one component maintains Privacy Act records
concerning him or her, the individual may also submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410,
STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records,
your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify
your identity, meaning that you must provide your full name, current address, and date and place of birth. You
must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law
that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific
form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of
Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In
addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component
agency may have responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the Department may not be able to conduct an effective search, and your
request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the individual, his or her official military personnel file, other USCG
records/reports, or the United States Department of Veterans Affairs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="cbp1" toc="yes">
<systemNumber>/CBP-001</systemNumber>
<subsection type="systemName">Automated Commercial Environment/International Trade Data System (ACE/ITDS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This computer database is located at the Bureau of Customs and Border Protection (CBP) National Data Center in
Washington, DC. Computer terminals are located at Customhouses and ports throughout the United States and at CBP
Headquarters, Washington, DC, as well as appropriate facilities for other participating government agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals involved in the importation of merchandise, members of the trade community, including but not limited
to truck carriers, vessel, vehicle, and aircraft operators or crew, Customhouse brokers, importers and their authorized
agents (<i>i.e.</i>, trade users), persons required to file Customs Declarations for international mail transactions
(including sender and recipient), DHS/CBP employees, and employees of other Federal Government agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The database is comprised of carrier, broker, and importer/exporter account information (this includes personally
identifying information (name and address, phone and/or fax), as well as the Significant Activity Log (a message log
between the ACE Portal Account Owner and CBP that tracks their communications sent through ACE) and the Action Plans
referenced in the Significant Activity Log), entry information, and manifest information. The database also includes
information obtained from Customs declarations filed with the United States Postal Service in connection with the import
or export of goods through the mail. System files may contain information about DHS/CBP employees, other Federal
employees, companies, and individuals involved in commercial land, sea, and/or air border transactions.
</p><p>The following information may be stored in the database for the establishment of an ACE Secure Data Portal truck
carrier account: Carrier name, Carrier address, Carrier identification (<i>i.e.</i>, the truck carrier identification
SCAC code (the unique Standard Carrier Alpha Code) assigned for each carrier by the National Motor Freight Traffic
Association), Department of Transportation number, Taxpayer ID number, DUNS (Dun and Bradstreet Number), Organizational
structure, Name of Insurer, Policy number, Date of Issuance and Amount. The carrier can create users and points of
contact, and may also choose to store details associated with driver/crew, conveyance, and equipment for purposes of
expediting the creation of manifests.
</p><p>The ACE database is also comprised of manifest information that includes specific details regarding the crew or
drivers as well as passengers involved in a commercial land border crossing. For crew or drivers, the system will
include:
</p><p>(1) Person on arriving conveyance who is in charge; (2) Names of all crew members; (3) Date of birth of each crew
member; (4) Commercial driver’s license (CDL)/drivers license number for each crew member; (5) CDL/driver’s license
State/province of issuance for each crew member; (6) CDL country of issuance for each crew member; (7) Travel document
number for each crew member; (8) Travel document country of issuance for each crew member; (9) Travel document
State/province of issuance for each crew member; (10) Travel document type for each crew member; (11) Address for each
crew member; (12) Gender of each crew member; (13) Nationality/citizenship of each crew member; (14) Hazmat endorsement
for each crew member.
</p><p>For passengers, the information consists of: (1) Names of all passengers; (2) Date of birth of each passenger; (3)
Travel document number for each passenger; (4) Travel document country of issuance for each passenger; (5) Travel
document State/province of issuance for each passenger; (6) Travel document type for each passenger; (7) Gender of each
passenger; (8) Nationality of each passenger.
</p><p>Further, the ACE database includes specific details regarding trips, equipment, conveyances, and shipments, but this
information does not primarily identify individuals, except those who might be shippers or consignees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>19 U.S.C. 66, 1448, 1481, 1483, 1484, 1505, 1624, and 2071.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>(1) To the Bureau of the Census by providing magnetic tapes or other form of electronic data transmission containing
foreign trade data;
</p><p>(2) To appropriate Federal, State, local, foreign, or tribal agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where CBP becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(3) To a Federal, State, local, tribal, territorial, foreign, or international agency, maintaining civil, criminal or
other relevant enforcement information or other pertinent information, which has requested information relevant to or
necessary to the requesting agency’s or the bureau’s hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>(4) To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(5) To third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(6) To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations;
</p><p>(7) 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;
</p><p>(8) 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;
</p><p>(9) To the Department of Justice, the United States Attorney’s Office, or a consumer reporting agency for further
collection action on any delinquent debt when circumstances warrant;
</p><p>(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;
</p><p>(11) To an organization or individual in either the public or private sector, either foreign or domestic, where there
is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy,
to the extent the information is relevant to the protection of life or property;
</p><p>(12) To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when: (a) DHS, or (b) any employee of DHS in his/her official capacity, or (c) any
employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee, or (d) the United
States or any agency thereof, is a party to the litigation or has an interest in such litigation;
</p><p>(13) To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. Sections 2904 and 2906;
</p><p>(14) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a Department of Homeland Security decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit;
</p><p>(15) To a Federal agency, pursuant to the International Trade Data System Memorandum of Understanding, consistent with
the receiving agency’s legal authority to collect information pertaining to and/or regulate transactions in international
trade.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data is stored electronically at the CBP Data Center for current data and offsite at an alternative data
storage facility for historical logs and system backups.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The data is retrievable by name or personal identifier from an electronic database. Only individuals with a need
to know can access the data. The system manager, in addition, has the capability to maintain system back-ups for the
purpose of supporting continuity of operations and the discrete need to isolate and copy specific data access
transactions for the purpose of conducting security incident investigations.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the computer area is controlled by a security pass arrangement and personnel not connected with the
operation of the computer are prohibited from entering. The building security is protected by a uniformed guard. Access
at the ports is in the booths and from any PC connected to the LAN. At the ports of processing, terminal rooms are under
close supervision during working hours and locked after close of business. The system security officer issues a unique
private five digit identification code to each authorized user. Access to the computer from other than system terminals
is controlled through a security software package. Users must input a unique identification code and password during the
terminal log-in procedure to gain access to the system. The password is not printed or displayed at the port of
processing. The system validates the user ID by transaction type, thereby limiting a system user’s access to information
on a "need-to-know" basis. A listing of identification codes of authorized users can be printed only by request of the
security officer. The passwords are changed periodically to enhance security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are retained on-line in a system database. Personal information collected in ACE as part of the regulation
of incoming cargo and people will be retained in accordance with the U.S. Customs Records Schedules approved by the
National Archive and Records Administration for the forms on which the data is submitted. This means that cargo, crew,
driver, and passenger information collected from a manifest presented in connection with the arrival of a vessel, vehicle
or aircraft will be retained for six years. Information collected in connection with the submission of a Postal
Declaration for a mail importation will be retained for a maximum of six years and three months (as set forth pursuant to
NARA Authority N1-36-86-1, U.S. Customs Records Schedule, Schedule 9 Entry Processing, Items 4 and 5).
Personal information collected in connection with the creation of a carrier, broker, or importer/exporter account will be
retained for up to three years following the closing of the account either through withdrawal by the individual or denial
of access by CBP. Lastly, information pertaining to CBP and PGA employees will be retained for as long as the individual
maintains her or his portal access to ACE and authorization to access the information.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue,
NW., Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to Customer Satisfaction Unit, Office of
Field Operations, U.S. Customs and Border Protection, Room 5.5-C, 1300 Pennsylvania Avenue, NW., Washington, DC
20229 (phone: (202) 344-1850 and fax: (202) 344-2791).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for notification or access must be in writing and should be addressed to the Customer Satisfaction Unit,
Office of Field Operations, U.S. Customs and Border Protection, Room 5.5-C, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229. Requests should conform to the requirements of 6 CFR part 5, subpart B, which provides the rules
for requesting access to Privacy Act records maintained by DHS. The envelope and letter should be clearly marked "Privacy
Act Access Request." The request should include a general description of the records sound and must include the
requester’s full name, current address, and data and place of birth. The request must be signed and either notarized or
submitted under penalty of perjury.
</p><p>Additionally, operational record access may be obtained through the ACE Secure Data Portal for those individuals and
entities who have been approved access in accordance with the procedures published in the <i>Federal Register</i> at 67
FR 21800 dated May 1, 2002.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains data received on authorized CBP forms or electronic formats from individuals and/or companies
incidental to the conduct of foreign trade and required by CBP in administering the tariff laws and regulations of the
United States. The system also contains information pertaining to International Mail Transactions, which is obtained from
the United States Postal Service by electronic data transmission.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="cbp4" toc="yes">
<systemNumber>/CBP-004</systemNumber>
<subsection type="systemName">Unclassified, sensitive. </subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The individuals included in the system include the owners of the trademark, trade name, or copyright; former owners of
the trademark, trade name, or copyright; agents or representatives applying on behalf of the intellectual property right
owners; contact persons; individuals authorized to use the trademark, trade name, or copyright; and other individuals who
are alleged to have infringed on the trademark, trade name, or copyright. For trade names, the system may include
individuals who are not associated with or related to the trade name applicant, but who have actual knowledge and state
that the applicant used the trade name, that the applicant is the only one who may use the trade name, and that the trade
name is not identical or confusingly similar to another trademark or trade name used in connection with the same class or
kind of merchandise. <i>See</i> 19 CFR 133.13. For copyrights, the names of the performers in the copyrighted work
may be included. The photographs may include an individual modeling the trademark or copyrighted work, or an individual
depicted in the copyrighted work.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The categories of records in the system include, but are not limited to:
</p><p>&#149; Full name (first, middle, and last).
</p><p>&#149; Address (country, city, state and zip code).
</p><p>&#149; Telephone number.
</p><p>&#149; Fax number.
</p><p>&#149; Email address.
</p><p>&#149; Citizenship.
</p><p>&#149; Relationship to trademark, copyright, or trade name owner.
</p><p>&#149; USPTO or U.S. Copyright Office registration number.
</p><p>&#149; Description of registered trademark or registered copyright.
</p><p>&#149; Date of issuance of trademark or copyright registration.
</p><p>&#149; Country of manufacture of goods bearing the genuine trademark, or genuine copies or phonorecords of the
protected work.
</p><p>&#149; Names of all parties authorized to use the trademark, trade name, or copyright, and the nature of the
relationship to the owner.
</p><p>&#149; Names of any parties, foreign or domestic, who use or claim the trademark, trade name, or copyright, and
a description of those uses or claims.
</p><p>&#149; Filing date of trademark registration.
</p><p>&#149; If the trademark being registered is a standard character mark.
</p><p>&#149; Date of expiration of the USPTO registration.
</p><p>&#149; Supplemental information concerning the trademark (e.g., type of mark or design code category).
</p><p>&#149; International class of goods covered by the USPTO registration and the specific products entitled to
protection.
</p><p>&#149; Title of copyrighted work.
</p><p>&#149; Foreign title of the copyrighted work.
</p><p>&#149; IPRR tracking number.
</p><p>&#149; Pay.gov payment tracking number.
</p><p>&#149; Up to five digital images of the protected mark or copyrighted work.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The authority for this system derives from section 42 of the Lanham Act (Trademark Act of 1946), as amended, 15 U.S.C.
1124; sections 101 and 602 through 603 of the Copyright Act of 1976, as amended, 17 U.S.C. 101, 602-603; and
sections 526, 595a, and 624 of the Tariff Act of 1930, as amended, 19 U.S.C. 1526, 1595a, and 1624; the Independent
Offices Appropriations Act, 1952, 31 U.S.C. 9701; and regulations at 19 CFR 133.3, 133.13, and 133.33.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain information on valid trademarks, trade names, and copyrights, to
enable CBP officials to identify at the border merchandise that infringes on registered trademarks, registered
copyrights, or trade names. IPRRSS collection encompasses three separate systems. The Intellectual Property Rights e-
Recordation (IPRR) system allows intellectual property owners to submit applications for trademark and copyright
recordations. The IPRR system shares information with two other CBP intellectual property search systems: The public
Intellectual Property Rights Search (IPRS) system, and the Intellectual Property Rights Internal Search (IPRiS) system.
IPRS provides a web-based search engine for the public to research trademark, trade name, and copyright recordations.
IPRiS is used to assist CBP and Immigration and Customs Enforcement (ICE) in enforcing copyrights, trademarks, and trade
names.
</p><p>The Pay.gov tracking number (associated with the payment information provided to Pay.gov and stored in
DHS/CBP-003 Credit/Debit Card Data System (CDCDS)) will be used to process application fees and to reconcile issues
regarding payment between CDCDS and Pay.gov. Payment information, such as credit card numbers or account information,
will not be used for determining recordation in IPRS or IPRiS, and is stored in a separate system (CDCDS) from the IPRR
application data.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary or relevant to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office
made pursuant to a written Privacy Act waiver at the request of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where CBP believes the information would assist enforcement of applicable
civil or criminal laws.
</p><p>H. To the U.S. Copyright Office or U.S. Patent and Trademark Office, to confirm that the applicant has a registered
copyright or a registered trademark.
</p><p>I. To Pay.gov, for payment processing and payment reconciliation purposes.
</p><p>J. To members of the public, through IPRS, a portion of the intellectual property rights information, such as the
name, address, and phone number of the intellectual property right owner and the owner’s representative; and a
description of the recorded trademark, trade name, or copyright. The intellectual property right owner consents to
disclosing this portion of information in IPRS upon application for recordation, and the public information in IPRS does
not include trade secrets, business proprietary information, or information about enforcement.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Authorized CBP officials may retrieve information in IPRiS by the data elements supplied by the applicant. The public
may search the non-confidential records in IPRS by keyword and Boolean operators, and may limit the search by title,
product, description, owner, contact name, firm name, recordation number, or agency registration number; the public may
also filter the search by trademarks, copyrights, trade names, exclusion orders, or whether the recordation has expired.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS
automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising
the information that is being stored. Access to the computer system containing the records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>CBP will retain expired recordations, which have not been renewed, for seven years after the date of expiration. NARA
guidelines for retention and archiving of data will apply to IPRR, IPRS, and IPRiS; CBP is in negotiation with NARA for
approval of the IPRRSS data retention and archiving plan.
</p><p>Payment information is not stored in IPRR, IPRiS or IPRS, but is forwarded to Pay.gov and stored in CBP’s financial
processing system, CDCDS, pursuant to the DHS/CBP-003, CDCDS system of records notice.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW., Washington,
DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted portions of this system of records from the notification, access, and
amendment procedures of the Privacy Act because the records may be used for law enforcement purposes. No exemption shall
be asserted with respect to information maintained in the systems as it relates to data submitted by or on behalf of the
owner of the trademark, trade name, or copyright, except with respect to information about individuals who are alleged to
have infringed on the trademark, trade name, or copyright. DHS/CBP will consider individual requests to determine whether
or not information may be released. Thus, individuals seeking notification of and access to any record contained in this
system of records, or seeking to contest its content, may submit a request in writing to the CBP FOIA Officer whose
contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual
believes more than one component maintains Privacy Act records concerning him or her the individual may submit the
request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245
Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov
</i> or 1-866-431-0486. In addition you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records.
</p><p>If your request seeks records pertaining to another living individual, you must also include a statement from that
individual certifying his/her agreement for you to access his/her records. Without the information specified above, the
component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or
lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained primarily from the individual submitting the application for recordation of the trademark, trade
name, or copyright. If the applicant provides a registered trademark number, the USPTO Web site will provide
automatically supplemental information concerning the trademark, the USPTO registration number, the international class
of goods covered by the registration and the specific products entitled to protection, the date the owner filed the
registration application, and the date it issued the trademark registration. If the applicant provides a registered
copyright, the U.S. Copyright Office Web site will provide automatically the title of the copyrighted work, the U.S.
Copyright Office registration number, the date it issued the copyright registration, and the name of the copyright owner.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>CBP will not assert any exemptions with respect to information in the systems submitted by the intellectual property
right owner or the owner’s representative, except with respect to information about individuals who are alleged to have
infringed on the trademark, trade name, or copyright. Information in the system pertaining to persons alleged to have
infringed on an intellectual property right may be shared with national security, law enforcement, or intelligence
agencies pursuant to the above routine uses. The Privacy Act requires DHS to maintain an accounting of the disclosures
made pursuant to all routines uses. Disclosing the fact that national security, law enforcement or intelligence agencies
have sought particular records may affect ongoing national security, law enforcement, or intelligence activity. As such,
pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from subsections (c)(3), (e)(8), and (g) of the Privacy Act of
1974, as amended, as necessary and appropriate to protect this information. In addition, because the system may contain
information or records about the unauthorized use of intellectual property rights and disclosure of that information
could impede law enforcement investigations, DHS will claim, pursuant to 5 U.S.C. 552a(k)(2), exemption from subsections
(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act of 1974, as necessary and appropriate to
protect this information.
</p></xhtmlContent></subsection></section>
<section id="cbp2" toc="yes">
<systemNumber>/CBP-002</systemNumber>
<subsection type="systemName">Global Enrollment System (GES).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive, For Official Use Only, Law Enforcement-Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the CBP Headquarters in Washington, DC and field offices and maintained IT system named the
Global Enrollment Systems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who apply to use any form of automated or other expedited inspection for verifying eligibility to cross
the border into the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>GES collects the following information on trusted travelers:
</p><p>Biographic application data, including:
</p><p>&#149; Full name;
</p><p>&#149; Alias(es);
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth;
</p><p>&#149; Language preference;
</p><p>&#149; Gender;
</p><p>&#149; Current and former addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Country of citizenship;
</p><p>&#149; Alien registration number (if applicable);
</p><p>&#149; Employment history (if available);
</p><p>&#149; PASS ID or Trusted Traveler membership number;
</p><p>&#149; Countries visited in the last five years;
</p><p>&#149; Criminal history (provided by applicant);
</p><p>&#149; Parental or Legal Guardian permission (if 18 years or younger);
</p><p>&#149; Driver’s license number;
</p><p>&#149; Issuing state or province of the applicant’s Driver’s License;
</p><p>&#149; Global Online Enrollment System (GOES) user name and password (password is maintained in an encrypted
format); and
</p><p>&#149; Answers to security questions to reset password.
</p><p>Vehicle or Vessel information, as appropriate, including:
</p><p>&#149; Flag and home port (where the vessel is foreign flagged);
</p><p>&#149; Name, registration number, and registration issuing state or province of the applicant’s vessel;
</p><p>&#149; Make and model, year, color, VIN number, and license plate number of the vehicle; and
</p><p>&#149; Owner name, gender, and date of birth.
</p><p>Biometric data, including:
</p><p>&#149; Fingerprints (collected and stored through DHS/USVISIT-0012 DHS Automated Biometric Identification
System (IDENT) for future identity verification);
</p><p>&#149; Fingerprint Identification Number (FIN);
</p><p>&#149; Height;
</p><p>&#149; Eye color; and
</p><p>&#149; Facial photographs.
</p><p>Information added by DHS/CBP:
</p><p>&#149; Pointer information to other law enforcement databases that support the DHS/CBP membership decision;
</p><p>&#149; Law Enforcement risk assessment worksheet;
</p><p>&#149; Pay.gov tracking number;
</p><p>&#149; GE membership decision in the form of a "pass/fail;" and
</p><p>&#149; Foreign government membership decisions in the form of a "pass/fail."
</p><p>The following information is collected on SVRS registered travelers:
</p><p>&#149; Full name;
</p><p>&#149; Gender;
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth;
</p><p>&#149; Country of citizenship;
</p><p>&#149; Address;
</p><p>&#149; Contact telephone number;
</p><p>&#149; Alternate telephone number;
</p><p>&#149; Contact email address;
</p><p>&#149; Password;
</p><p>&#149; Document type &amp; number (e.g. U.S. Passport, Permanent Resident Card, Birth Certificate, etc.), place
of issue, and expiration date of document; and
</p><p>&#149; Vessel information including registration number, hull ID number, decal number, registered name, location
where vessel is registered, and vessel description (e.g., length, type, manufacturer, model, year, hull colors, etc.).
</p><p>The following information is collected about DTOPS registered travelers:
</p><p>&#149; Account name;
</p><p>&#149; Physical address;
</p><p>&#149; Shipping address;
</p><p>&#149; Pay.gov tracking number;
</p><p>&#149; FAST ID, if the conveyance’s owner is C-TPAT/FAST approved;
</p><p>&#149; Conveyance model year;
</p><p>&#149; Conveyance manufacturer name;
</p><p>&#149; Conveyance identification numbers and information, which are specific to the type of conveyance (e.g.,
local registration number, an aircraft’s tail number, Coast Guard ID number, vessel name);
</p><p>&#149; Contact name;
</p><p>&#149; Contact telephone number; and
</p><p>&#149; Contact email address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 7208 of the Intelligence Reform and Terrorism Prevention Act of 2004 (IRTPA), as amended, 8 U.S.C. 1365b(k);
Section 215 of the Immigration and Nationality Act, as amended, 8 U.S.C. 1185; Section 402 of the Homeland Security Act
of 2002, as amended, 6 U.S.C. 202; Section 404 of the Enhanced Border Security and Visa Reform Act of 2002, 8 U.S.C.
1753; and Section 433 of the Tariff Act of 1930, as amended, 19 U.S.C. 1433; 31 U.S.C. 9701; Parts 103 and 235 of Title 8
of the Code of Federal Regulations (See, especially, 8 CFR 103.2, 103.7, 103.16, 235.1, 235.2, 235.7, and 235.12).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to assess on an ongoing basis applicants’ eligibility for enrollment in DHS/CBP GES-
supported trusted traveler and/or registered traveler programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or
fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system
or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’ efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To foreign governments, at the request of the individual, for the purpose of applying to that country’s trusted
traveler program.
</p><p>I. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency for the purpose
of determining an individual’s eligibility for membership in a trusted traveler or registered traveler program.
</p><p>J. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or to assist in anti-terrorism
efforts.
</p><p>K. To an organization or person in either the public or private sector, either foreign or domestic, where there is a
reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or
where the information is relevant to the protection of life, property, or other vital interests of a person.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’ officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records may be stored on magnetic disc, tape, and digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the personal identifiers listed in the categories of records above.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS
automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising
the information that is being stored. Access to the computer system containing the records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>CBP is proposing to NARA the following retention: All GES data is retained for the duration of an individual’s active
membership plus three years after an individual’s membership is no longer active, either as a result of expiration
without renewal at the end of a five year term, as a result of abandonment, or as a result of CBP termination.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Trusted Traveler Program Manager, Office of Field Operations, U.S. Customs and Border Protection, and Director,
Passenger Systems Program Office, Office of Information and Technology, 1300 Pennsylvania Ave. NW., Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may gain access to information on themselves in GES by directly logging into GOES. Certain information may
be amended directly in the system by the individual such as contact information; however, other information that was used
to determine eligibility, such as date of birth or gender, may not be changed without contacting DHS/CBP directly. The
Secretary of Homeland Security has exempted portions of this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS/CBP will consider individual requests
to determine whether or not information may be released. Thus, individuals seeking notification of and access to any
record contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or CBP FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under
"Contacts." If an individual believes more than one component maintains Privacy Act records concerning him or
her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address, and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>
http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may
be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in GES are obtained from the individual and from external law enforcement systems. The main database checked
during the vetting process, before individuals will be enrolled in any trusted traveler program, is TECS, which contains
historical and enforcement data on travelers, and provides a gateway to other sources of data. These other sources
include the Terrorist Screening Database, FBI criminal history, and National Crime and Information Center outstanding
wants/warrants, vehicle and driver’s license-related data contained in the International Justice and Public Safety
Network’s Nlets system, and Department of State alien records, lookouts, and status indicators. Vetting results are also
based on checks of the FBI’s Integrated Automated Fingerprint Identification System for criminal history and IDENT for
immigration related records. Trusted traveler applicants from partnering foreign countries will have membership
determinations in GES from their home country’s government.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(j)(2) has exempted the law enforcement related records,
including the pointer information to other law enforcement databases that support the DHS/CBP membership decision, and
the law enforcement risk assessment worksheet that have been created during the background check and vetting process,
from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g)(1). Additionally, the Secretary of Homeland Security, pursuant to 5
U.S.C. 552a(k)(2), has exempted records created during the background check and vetting process from the following
provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H),(e)(4)(I); and (f). In addition,
when a record contains information from other exempt systems of records, DHS/CBP will claim the same exemptions for that
record as are claimed for the original systems of records, and will claim any additional exemptions that this notice
delineates.
</p><p>CBP will not assert any exemptions with regard to accessing or amending an individual’s application data in a trusted
or registered traveler program and/or final membership determination in the trusted traveler programs. However, this data
may be shared with law enforcement and/or intelligence agencies pursuant to the routine uses identified in the GES SORN.
The Privacy Act requires DHS maintain an accounting of such disclosures made pursuant to all routine uses. Disclosing the
fact that a law enforcement and/or intelligence agency has sought particular records may affect ongoing law enforcement
activity. As such, pursuant to 5 U.S.C. 552a (j)(2) and (k)(2), DHS will claim an exemption from (c)(3), (e)(8), and (g)
(1) of the Privacy Act, as is necessary and appropriate to protect this information.
</p></xhtmlContent></subsection></section>
<section id="cbp5" toc="yes">
<systemNumber>/CBP-005</systemNumber>
<subsection type="systemName">Advanced Passenger Information System (APIS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This computer database is located at U.S. Customs and Border Protection (CBP) National Data Center in Washington,
DC. Computer terminals are located at customhouses, border ports of entry, airport inspection facilities under the
jurisdiction of the Department of Homeland Security (DHS) and other locations at which DHS authorized personnel may be
posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating
government agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist of:
</p><p>A. Passengers who arrive and depart the United States by air, sea, rail, and bus, including those in transit through
the United States or beginning or concluding a portion of their international travel by flying domestically within the
United States,
</p><p>B. Crew members who arrive and depart the United States by air, sea, rail, and bus, including those in transit through
the United States or beginning or concluding a portion of their international travel by flying domestically within the
United States, and
</p><p>C. Crew members on aircraft that over fly the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records in the database are comprised of the following information: complete name, date of birth, gender,
country of citizenship, passport/alien registration number and country of issuance, passport expiration date, country of
residence, status on board the aircraft, travel document type, United States destination address (for all private
aircraft passengers and crew, and commercial air, rail, bus, and vessel passengers except for U.S. Citizens, lawful
permanent residents, crew and those in transit), place of birth and address of permanent residence (commercial flight
crew only), pilot certificate number and country of issuance (flight crew only, if applicable), the PNR locator number,
primary inspection lane, ID inspector, and records containing the results of comparisons of individuals to information
maintained in CBP’s law enforcement databases, as well as information from the TSDB, information on individuals with
outstanding wants or warrants, and information from other government agencies regarding high risk parties.
</p><p>In addition, air and sea carriers or operators, covered by the APIS rules, and rail and bus carriers, to the extent
voluntarily applicable, transmit or provide, respectively, to CBP the following information: Airline carrier code, flight
number, vessel name, vessel country of registry/flag, International Maritime Organization number or other official number
of the vessel, voyage number, date of arrival/departure, foreign airport/port where the passengers and crew members began
their air/sea transportation to the United States; for passengers and crew members destined for the United States, the
location where the passengers and crew members will undergo customs and immigration clearance by CBP; and for passengers
and crew members that are transiting through (and crew on flights over flying) the United States and not clearing CBP,
the foreign airport/port of ultimate destination; and for passengers and crew departing the United States, the final
foreign airport/port of arrival.
</p><p>Lastly, pilots of private aircraft must provide the aircraft registration number, type of aircraft, call sign (if
available), CBP issued decal number (if available), place of last departure (ICAO airport code, when available), date and
time of aircraft arrival, estimated time and location of crossing U.S. border/coastline, name of intended airport of
first landing, [2] owner/lessee name (first, last and middle, if available, or business entity name),
owner/lessee address (number and street, city, state, zip code, country, telephone number, fax number and email address,
pilot/private aircraft pilot name (last, first and middle, if available), pilot license number, pilot street address
(number and street, city, state, zip code, country, telephone number, fax number and email address), pilot license
country of issuance, operator name (for individuals: Last, first and middle, if available, or name of business entity, if
available), operator street address (number and street, city, state, zip code, country, telephone number, fax number and
email address), aircraft color(s), complete itinerary (foreign airport landings within 24 hours prior to landing in the
United States), and 24-hour Emergency point of contact (e.g., broker, dispatcher, repair shop or other third party who is
knowledgeable about this particular flight, etc.) name (first, last, and middle (if available) and telephone number.
Incident to the transmission of required information via eAPIS, records will also incorporate the pilot’s email address.</p>
<p>[2] As listed in 19 CFR 122.24, if applicable, unless an exemption has been granted under 19 CFR 122.25,
or the aircraft was inspected by CBP Officers in the U.S. Virgin Islands.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Aviation and Transportation Security Act of 2001, the Enhanced Border Security and Visa Reform Act of 2002,
and the Intelligence Reform and Terrorism Prevention Act of 2004, also the Tariff Act of 1930, as amended, including 19
U.S.C. 58b, 66, 1431, 1433, 1436, 1448, 1459, 1590, 1594, 1623, 1624, 1644, and 1644a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the collection is to screen passengers and crew arriving in, transiting through and departing from
(and in the case of crew, overflying) the United States to identify those passengers and crew who may pose a risk to
border, aviation, vessel, rail, bus, or public security, may be a terrorist or suspected terrorist or affiliated with or
suspected of being affiliated with terrorists, may be inadmissible, may be a person of interest, or may otherwise be
engaged in activity in violation of U.S. law, or the subject of wants or warrants.
</p><p>APIS allows CBP to facilitate more effectively and efficiently the entry of legitimate travelers into the United
States and the departure of legitimate travelers from the United States. As travelers prepare to depart for or from the
United States, DHS officers, using APIS, can quickly cross-reference the results of the advanced research that has been
conducted through CBP’s law enforcement databases, as well as using information from the TSDB, information on individuals
with outstanding wants or warrants, and information from other government agencies regarding high risk parties, confirm
the accuracy of that information by comparison of it with information obtained from the traveler and from the carriers,
and make immediate determinations with regard to the traveler’s security risk, admissibility and other determinations
bearing on CBP’s inspectional and screening processes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the U.S. Department of Justice (including U.S. Attorney offices) or other Federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation or has an interest in such litigation: (1) DHS, or (2) any employee of DHS
in his/her official capacity, or (3) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to
represent said employee, or (4) the United States or any agency thereof;
</p><p>B. To a Congressional office, for 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;
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. Sections 2904 and 2906;
</p><p>D. To an agency, organization, or individual for the purposes 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;
</p><p>E. To appropriate agencies, entities, and persons when (1) it is suspected or confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) CBP has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud,
or harm to the security or integrity of this system or other systems or programs (whether maintained by CBP or another
agency or entity) or harm to the individual that rely upon the compromised information; and (3) the disclosure is made to
such agencies, entities, and persons when reasonably necessary to assist in connection with the CBP’s efforts to respond
to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors, grantees, experts, consultants, 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, in compliance with the Privacy Act of 1974, as amended;
</p><p>G. To appropriate Federal, State, local, international, tribal, or foreign governmental agencies or multilateral
governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, license, or treaty where DHS determines that the information would
assist in the enforcement of civil or criminal laws.
</p><p>H. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>I. To a Federal, State, tribal, local or foreign government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence.
</p><p>J. To Federal and foreign government intelligence or counterterrorism agencies or components where DHS reasonably
believes there to be a threat or potential threat to national or international security for which the information may be
useful in countering the threat or potential threat, when DHS reasonably believes such use is to assist in anti-terrorism
efforts, and disclosure is appropriate to the proper performance of the official duties of the person making the
disclosure.
</p><p>K. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life, property or other vital interests of a data subject and
disclosure is proper and consistent with the official duties of the person making the disclosure;
</p><p>L. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations, for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or
for combating other significant public health threats; appropriate notice will be provided of any identified health
threat or risk;
</p><p>M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to
a subpoena, or in connection with criminal law proceedings;
</p><p>N. To third parties during the course of an law enforcement investigation to the extent necessary to obtain
information pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official
duties of the officer making the disclosure;
</p><p>O. To an appropriate Federal, state, local, tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other
benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the
request;
</p><p>P. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where CBP is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance border security or identify other violations of law;
</p><p>Q. To the carrier who submitted traveler, passenger, or crew information to CBP, but only to the extent that CBP
provides a message indicating that the individual is "cleared" or "not cleared" to board the
aircraft or depart on the vessel in response to the initial transmission of information (including, where applicable, the
individual’s ESTA status as discussed in The System of Record Notice for ESTA, DHS/CBP-009, published at 73 FR
32720 (June 10, 2008)), or is identified as a "selectee".
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data is stored electronically at the CBP Data Center for current data and offsite at an alternative data
storage facility for historical logs and system backups.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The data is retrievable by name or other unique personal identifier from an electronic database.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules, and policies. All records
are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include role-based access provisions, restricting access to authorized personnel who have a need-to-know,
using locks, and password protection identification features. DHS file areas are locked after normal duty hours and the
facilities are protected from the outside by security personnel.
</p><p>The system manager, in addition, has the capability to maintain system back-ups for the purpose of supporting
continuity of operations and the discrete need to isolate and copy specific data access transactions for the purpose of
conducting security incident investigations.
</p><p>All communication links with the CBP datacenter are encrypted. The Databases are fully Certified and Accredited in
accordance with the requirements of the Federal Information Security Management Act (FISMA).
</p><p>Although separate notice is being provided for APIS, it continues to operate within the TECS information technology
system architecture; therefore APIS’s technical infrastructure is covered by the approved TECS Certification and
Accreditation under the National Institute of Standards and Technology. The last certification was in January 2006.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information collected in APIS is maintained in this system for a period of no more than twelve months from the
date of collection at which time the data is erased from APIS. As part of the vetting and CBP clearance (immigration and
customs screening and inspection) of a traveler, information from APIS is copied to the Border Crossing Information
System, a subsystem of TECS. Additionally, for individuals subject to US-VISIT requirements, a copy of certain APIS
data is transferred to the Arrival and Departure Information System (ADIS) for effective and efficient processing of
foreign nationals. The SORN for ADIS was last published on August 22, 2007 (72 FR 47057). Different retention periods
apply for APIS data contained in those systems.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue,
NW., Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>DHS allows persons (including foreign nationals) to seek administrative access under the Privacy Act to
information maintained in APIS. Persons may only seek access to APIS data that has been provided by the carrier and of
which they are the subject. To determine whether APIS contains records relating to you, write to the Customer Service
Center, OPA-CSC-Rosslyn, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue, NW., Washington, DC 20229 (phone:
877-CBP-5511).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for notification or access must be in writing and should be addressed to the Customer Service Center,
OPA-CSC-Rosslyn, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue, NW., Washington, DC 20229 (<i>phone:</i>
877-CBP-5511). Requests should conform to the requirements of 6 CFR Part 5, Subpart B, which provides the
rules for requesting access to Privacy Act records maintained by DHS and can be found at <i>http://www.dhs.gov/foia.</i>
The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a
general description of the records sought and must include the requester’s full name, current address, and date and place
of birth. The request must be signed and either notarized or submitted under penalty of perjury.
</p><p>If individuals are uncertain what agency handles the information, they may seek redress through the DHS Traveler
Redress Program ("TRIP") (See 72 FR 2294, dated January 18, 2007). Individuals who believe they have been
improperly denied entry, refused boarding for transportation, or identified for additional screening by CBP may submit a
redress request through the TRIP. TRIP is a single point of contact for individuals who have inquiries or seek resolution
regarding difficulties they experienced during their travel screening at transportation hubs--like airports,
seaports and train stations or at U.S. land borders. Through TRIP, a traveler can request correction of erroneous stored
in other DHS databases through one application. Redress requests should be sent to: DHS Traveler Redress Inquiry Program
(TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at <i>http://www.dhs.gov/trip.</i>
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals may seek redress and/or contest a record through several different means that will be handled in the
same fashion. If the individual is aware the information is specifically handled by CBP, requests may be sent directly to
CBP at the Customer Service Center, OPA-CSC-Rosslyn, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229 (<i>phone:</i> 877-CBP-5511). If the individual is uncertain what agency is responsible
for maintaining the information, redress requests may be sent to DHS TRIP at DHS Traveler Redress Inquiry Program (TRIP),
601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at <i>http://www.dhs.gov/trip.</i>
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains data received from private and commercial aircraft pilots, operators/carriers, and vessel
carriers regarding passengers and crewmembers who arrive in, depart from, transit through or overfly (in the case of
flight crew only) the United States on private aircraft, air, or, vessel carriers covered by APIS regulations. The system
also contains data to the extent voluntarily submitted by rail and bus carriers regarding passengers and crewmembers who
arrive in, and/or depart from the United States. During physical processing at the border, primary inspection lane and ID
inspector are added to APIS, and the APIS information is verified using the travel documents. Additionally, records
contain the results of comparisons of individuals to information maintained in CBP law enforcement databases, as well as
information from the TSDB, information on individuals with outstanding wants or warrants, and information from other
government agencies regarding high risk parties
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to information maintained in the system that is collected from a
person and submitted by that person’s air or vessel carrier, if that person, or his or her agent, seeks access or
amendment of such information.
</p><p>This system, however, may contain records or information recompiled from or created from information contained in
other systems of records, which are exempt from certain provision of the Privacy Act. This system may also contain
accountings of disclosures made with respect to information maintained in the system. For these records or information
only, in accordance with 5 U.S.C. 552a(j)(2), and (k)(2), DHS will also claim the original exemptions for these records
or information from subsections (c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and
(8); (f), and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such information.
</p></xhtmlContent></subsection></section>

<section id="cbp6" toc="yes">
<systemNumber>/CBP-006</systemNumber>
<subsection type="systemName">U.S. Customs and Border Protection Automated Targeting System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the CBP Headquarters in Washington, DC, and can be accessed from field offices and from
locations abroad where ATS users are stationed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>ATS handles information relating to the following individuals:
</p><p>A. Persons, including operators, crew, and passengers, who seek to, or do in fact, enter, exit, or transit through the
United States or through other locations where CBP maintains an enforcement or operational presence by land, air, or sea.
</p><p>B. Crew members traveling on commercial aircraft that fly over the United States.
</p><p>C. Persons who engage in any form of trade or other commercial transaction related to the importation or exportation
of merchandise, including those required to submit an Importer Security Filing.
</p><p>D. Persons who are employed in any capacity related to the transit of merchandise intended to cross the United States
border.
</p><p>E. Persons who serve as booking agents, brokers, or other persons who provide information on behalf of persons seeking
to enter, exit, or transit through the United States, or on behalf of persons seeking to import, export or ship
merchandise through the United States.
</p><p>F. Owners of vehicles that cross the border.
</p><p>G. Persons whose data was received by the Department as the result of memoranda of understanding or other information
sharing agreement or arrangement because the information is relevant to the border security mission of the Department.
</p><p>H. Persons who were identified in a narrative report, prepared by an officer or agent, as being related to or
associated with other persons who are alleged to be involved in, who are suspected of, or who have been arrested for
violations of the laws enforced or administered by DHS.
</p><p>I. Persons who may pose a threat to the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>ATS contains various types of data to support its targeting missions, incorporating information germane to the
identification of individuals, including, but not limited to:
</p><p>&#149; Name
</p><p>&#149; Addresses (home, work, and/or destination, as appropriate)
</p><p>&#149; Telephone and fax numbers
</p><p>&#149; Tax ID number (e.g., Employer Identification Number (EIN) or Social Security Number (SSN), where
available)
</p><p>&#149; Date and place of birth
</p><p>&#149; Gender
</p><p>&#149; Nationality
</p><p>&#149; Country of Residence
</p><p>&#149; Citizenship
</p><p>&#149; Alias
</p><p>&#149; Physical characteristics, including biometrics where available (e.g., height, weight, race, eye and hair
color, scars, tattoos, marks, fingerprints)
</p><p>&#149; Familial relationships and other contact information
</p><p>&#149; Property information
</p><p>&#149; Occupation and employment information
</p><p>&#149; Biographical and biometric information from or associated with online immigrant and non-immigrant visa
applications, including (as available):
</p><p>&#9675; U.S. sponsor’s name, address, and phone number
</p><p>&#9675; U.S. contact name, address, and phone number
</p><p>&#9675; Employer name, address, and phone number
</p><p>&#9675; Email address, IP Address, applicant ID
</p><p>&#9675; Marital Status
</p><p>&#9675; Alien number
</p><p>&#9675; Social Security Number
</p><p>&#9675; Tax Identification Number
</p><p>&#9675; Organization Name
</p><p>&#9675; U.S. Status
</p><p>&#9675; Income information for Joint Sponsors
</p><p>&#9675; Education, military experience, relationship information
</p><p>&#9675; Responses to vetting questions pertaining to admissibility or eligibility
</p><p>&#149; Information from documents used to verify the identity of individuals (<i>e.g.,</i> driver’s license,
passport, visa, alien registration, citizenship card, border crossing card, birth certificate, certificate of
naturalization, re-entry permit, military card) including the:
</p><p>&#149; type
</p><p>&#149; number
</p><p>&#149; date of issuance
</p><p>&#149; place of issuance
</p><p>The system contains travel information pertaining to individuals, including:
</p><p>&#149; The combination of license plate, Department of Motor Vehicle (DMV) registration data and biographical
data associated with a border crossing
</p><p>&#149; Information derived from an ESTA application including responses to vetting questions pertaining to
admissibility (where applicable)
</p><p>&#149; Travel itinerary
</p><p>&#149; Date of arrival or departure, and means of conveyance with associated identification (<i>e.g.,</i> Vehicle
Identification Number, year, make, model, registration)
</p><p>&#149; Passenger Name Record (PNR):
</p><p>1. PNR record locator code
</p><p>2. Date of reservation/issue of ticket
</p><p>3. Date(s) of intended travel
</p><p>4. Name(s)
</p><p>5. Available frequent flier and benefit information (<i>i.e.,</i> free tickets, upgrades)
</p><p>6. Other names on PNR, including number of travelers on PNR
</p><p>7. All available contact information (including originator of reservation)
</p><p>8. All available payment/billing information (<i>e.g.,</i> credit card number)
</p><p>9. Travel itinerary for specific PNR
</p><p>10. Travel agency/travel agent
</p><p>11. Code share information (<i>e.g.,</i> when one air carrier sells seats on another air carrier’s flight)
</p><p>12. Split/divided information (<i>e.g.,</i> when one PNR contains a reference to another PNR)
</p><p>13. Travel status of passenger (including confirmations and check-in status)
</p><p>14. Ticketing information, including ticket number, one way tickets and Automated Ticket Fare Quote (ATFQ) fields
</p><p>15. Baggage information
</p><p>16. Seat information, including seat number
</p><p>17. General remarks including Other Service Indicated (OSI), Special Service Indicated (SSI) and Supplemental Service
Request (SSR) information
</p><p>18. Any collected APIS information (<i>e.g.,</i> Advance Passenger Information (API)) that is initially captured by an
air carrier within its PNR, such as passport number, date of birth and gender)
</p><p>19. All historical changes to the PNR listed in numbers 1 to 18
</p><p>Note:</p><p> Not all air carriers maintain the same sets of information for PNR, and a particular individual’s PNR likely
will not include information for all possible categories. In addition, PNR does not routinely include information that
could directly indicate the racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union
membership, health, or sex life of the individual. To the extent PNR does include terms that reveal such personal
matters, DHS employs an automated system that filters certain of these terms and only uses this information in
exceptional circumstances where the life of an individual could be imperiled or seriously impaired.
</p><p>The system contains information collected for the importation or exportation of cargo and/or property, including:
</p><p>&#149; Bill of lading
</p><p>&#149; Commodity type
</p><p>&#149; License number and license country for Office of Defense Trade Controls registrants
</p><p>&#149; Inspection and examination results
</p><p>The system contains Importer Security Filing (ISF) information, which must contain the following items, in addition to
the Vessel Stow Plan (VSP) and the Container Status Message (CSM):
</p><p>&#149; Manufacturer (or supplier)
</p><p>&#149; Seller (<i>i.e.,</i> full name and address or widely accepted business number such as a Data Universal
Numbering System (DUNS) number)
</p><p>&#149; Buyer (<i>i.e.,</i> full name and address)
</p><p>&#149; Ship to party (full name and/or business name and address)
</p><p>&#149; Container stuffing location
</p><p>&#149; Consolidator (stuffer)
</p><p>&#149; Importer of record number/Foreign Trade Zone applicant identification number
</p><p>&#149; Consignee number(s)
</p><p>&#149; Country of origin
</p><p>&#149; Commodity: Harmonized Tariff Schedule of the United States (HTSUS) number
</p><p>Alternatively, for shipments consisting entirely of Freight Remaining on Board (FROB) or shipments consisting of goods
intended to move through the United States, ISF Importers, or their agents, must submit the following five elements,
unless an element is specifically exempted:
</p><p>&#149; Booking party (<i>i.e.,</i> name and address)
</p><p>&#149; Foreign port of unlading
</p><p>&#149; Place of delivery
</p><p>&#149; Ship to party
</p><p>&#149; Commodity HTSUS number
</p><p>The system contains assessments and other information obtained in accordance with the terms of memoranda of
understanding or other arrangement because the information is relevant to the border security mission of the Department.
</p><p>The system also contains information created by CBP, including:
</p><p>&#149; Admissibility determinations
</p><p>&#149; Results of Cargo Enforcement Exams
</p><p>&#149; Law enforcement or intelligence information regarding an individual
</p><p>&#149; Risk-based rules developed by analysts to assess and identify high-risk cargo, conveyances, or travelers
that should be subject to further scrutiny or examination
</p><p>&#149; Assessments resulting from the rules, with a record of which rules were used to develop the assessment
</p><p>&#149; Operational and analytical reports and/or projects developed that may include public source information
and/or classified information obtained by users/analysts for reference or incorporation into the report or project.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>ATS derives its authority from 19 U.S.C. 482, 1461, 1496, 1581, 1582; 8 U.S.C. 1357; 49 U.S.C. 44909; the
Enhanced Border Security and Visa Reform Act of 2002 (EBSVRA) (Pub. L. 107-173); the Trade Act of 2002 (Pub. L. 107
-210); the Intelligence Reform and Terrorism Prevention Act of 2004 (IRTPA) (Pub.L. 108-458); and the
Security and Accountability for Every Port Act of 2006 (SAFE Port Act) (Pub. L. 109-347).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>PURPOSES FOR PNR IN ATS: PNR may be used,
</p><p>(1). To prevent, detect, investigate, and prosecute:
</p><p>a. Terrorist offenses and related crimes, including
</p><p>i. Conduct that--
</p><p>1. involves a violent act or an act dangerous to human life, property, or infrastructure; and
</p><p>2. appears to be intended to--
</p><p>a. intimidate or coerce a civilian population;
</p><p>b. influence the policy of a government by intimidation or coercion; or
</p><p>c. affect the conduct of a government by mass destruction, assassination, kidnapping, or hostage-taking.
</p><p>ii. Activities constituting an offense within the scope of and as defined in applicable international conventions and
protocols relating to terrorism;
</p><p>iii. Providing or collecting funds, by any means, directly or indirectly, with the intention that they should be used
or in the knowledge that they are to be used, in full or in part, in order to carry out any of the acts described in
subparagraphs (i) or (ii);
</p><p>iv. Attempting to commit any of the acts described in subparagraphs (i), (ii), or (iii);
</p><p>v. Participating as an accomplice in the commission of any of the acts described in subparagraphs (i), (ii), or (iii);
</p><p>vi. Organizing or directing others to commit any of the acts described in subparagraphs (i), (ii), or (iii);
</p><p>vii. Contributing in any other way to the commission of any of the acts described in subparagraphs (i), (ii), or
(iii);
</p><p>viii. Threatening to commit an act described in subparagraph (i) under circumstances which indicate that the threat is
credible;
</p><p>b. Other crimes that are punishable by a sentence of imprisonment of three years or more and that are transnational in
nature;
</p><p>A crime is considered as transnational in nature in particular if:
</p><p>i. It is committed in more than one country;
</p><p>ii. It is committed in one country but a substantial part of its preparation, planning, direction or control takes
place in another country;
</p><p>iii. It is committed in one country but involves an organized criminal group that engages in criminal activities in
more than one country;
</p><p>iv. It is committed in one country but has substantial effects in another country; or
</p><p>v. It is committed in one country and the offender is in or intends to travel to another country;
</p><p>(2) on a case-by-case basis where necessary in view of a serious threat and for the protection of vital interests of
any individual or if ordered by a court;
</p><p>(3) to identify persons who would be subject to closer questioning or examination upon arrival to or departure from
the United States or who may require further examination.
</p><p>(4) for domestic law enforcement, judicial powers, or proceedings, where violations of law or indications thereof are
detected in the course of the use and processing of PNR.
</p><p>PURPOSES OF ATS (EXCEPT for PNR):
</p><p>ATS uses all other data for purposes listed above as well as below:
</p><p>(a) To perform targeting of individuals who may pose a risk to border security or public safety, may be a terrorist or
suspected terrorist, or may otherwise be engaged in activity in violation of U.S. law;
</p><p>(b) To perform a risk-based assessment of conveyances and cargo to focus CBP’s resources for inspection and
examination and enhance CBP’s ability to identify potential violations of U.S. law, possible terrorist threats, and other
threats to border security; and
</p><p>(c) To otherwise assist in the enforcement of the laws enforced or administered by DHS, including those related to
counterterrorism.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information ingested into this system from another source system is to be handled consistent with the published
system of records notice for the source system and will continue to be governed by the routine uses for that source
system. The routine uses below apply only to records that are maintained as official records in ATS (<i>i.e.,</i> records
which are maintained in ATS that are not covered by other originating systems of record, including: PNR; Importer
Security Filings; Cargo Enforcement Exams; the combination of license plate, Department of Motor Vehicle (DMV)
registration data and biographical data associated with a border crossing; law enforcement and/or intelligence data,
reports, and projects developed by CBP analysts that may include public source information and/or classified information;
and information obtained through memoranda of understanding or other arrangements because the information is relevant to
the border security mission of the Department). With respect to PNR, DHS only discloses information to those authorities
who intend to use the information consistent with the purposes identified above, and have sufficient capability to
protect and safeguard the information. In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the
Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary or relevant to
the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office
made pursuant to a written Privacy Act waiver at the request of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, of identity theft or fraud, or of harm to the security or integrity of this system or of harm to
other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely
upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 the federal government 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 DHS officers and employees.
</p><p>G. To appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where CBP believes the information would assist enforcement of applicable
civil or criminal laws;
</p><p>H. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or to assist in anti-terrorism
efforts;
</p><p>I. To an organization or person in either the public or private sector, either foreign or domestic, where there is a
reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or
where the information is relevant to the protection of life, property, or other vital interests of a person;
</p><p>J. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health threat or
risk;
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to
a subpoena, or in connection with criminal law proceedings;
</p><p>L. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information
pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of
the officer making the disclosure;
</p><p>M. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where CBP is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance ATS;
</p><p>N. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the data elements described in "Categories of Records," including
by name or personal identifier from an electronic database.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Official Records in this system (Passenger Name Records (PNR); Importer Security Filings (10+2 documentation);
results of Cargo Enforcement Exams; the combination of license plate, Department of Motor Vehicle registration data, and
biographical data associated with a border crossing; law enforcement and/or intelligence data, reports, and projects
developed by CBP analysts that may include public source information and/or classified information; and information
obtained through memoranda of understanding or other arrangements because the information is relevant to the border
security mission of the Department will be retained and disposed of in accordance with a records schedule approved by the
National Archives and Records Administration on April 12, 2008. ATS collects information directly, ingests information
from various systems, and accesses other systems without ingesting the data. To the extent information is ingested from
other systems, data is retained in ATS in accordance with the record retention requirements of those systems, or the
retention period for ATS, whichever is shortest.
</p><p>The retention period for the official records maintained in ATS will not exceed fifteen years, after which time the
records will be deleted, except as noted below. The retention period for PNR will be subject to the following further
access restrictions: ATS users with PNR access will have access to PNR in an active database for up to five years, during
which time the PNR will be depersonalized following the first six months retention. After this initial five-year
retention, the PNR data will be transferred to a dormant database for a period of up to ten years. PNR data in dormant
status will be subject to additional controls including the requirement of obtaining access approval from a senior DHS
official designated by the Secretary of Homeland Security. Furthermore, PNR in the dormant database may only be
repersonalized in connection with a law enforcement operation and only in response to an identifiable case, threat, or
risk. Such limited access and use for older PNR strikes a reasonable balance between protecting this information and
allowing CBP to continue to identify potential high-risk travelers. Notwithstanding the foregoing, information maintained
only in ATS that is linked to active law enforcement lookout records, CBP matches to enforcement activities, and/or
investigations or cases (<i>i.e.,</i> specific and credible threats; flights, individuals, and routes of concern; or
other defined sets of circumstances) will remain accessible for the life of the law enforcement matter to support that
activity and other enforcement activities that may become related.
</p><p>The justification for a fifteen-year retention period for the official records is based on CBP’s law enforcement and
security functions at the border. This retention period is based on CBP’s historical encounters with suspected terrorists
and other criminals, as well as the broader expertise of the law enforcement and intelligence communities. It is well
known, for example, that potential terrorists may make multiple visits to the United States in advance of performing an
attack. It is over the course of time and multiple visits that a potential risk becomes clear. Travel records, including
historical records, are essential in assisting CBP Officers with their risk-based assessment of travel indicators and
identifying potential links between known and previously unidentified terrorist facilitators. Analyzing these records for
these purposes allows CBP to continue to effectively identify suspect travel patterns and irregularities.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Automation and Targeting Division, Office of Intelligence and Investigative Liaison, U.S.
Customs and Border Protection, and Director, Targeting and Analysis, Systems Program Office, Office of Information and
Technology, U.S. Customs and Border Protection, both of whom are located at 1300 Pennsylvania Avenue NW., Washington, DC
20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, amendment, and certain
accounting procedures of the Privacy Act because it is a law enforcement system. These exemptions also apply to the
extent that information in this system of records is recompiled or is created from information contained in other systems
of records with appropriate exemptions in place. To the extent that a record is exempted in a source system, the
exemption will continue to apply. Despite the exemptions taken on this system of records, CBP and DHS are not exempting
the following records from the access and amendment provisions of the Privacy Act: passenger name records (PNR) collected
by CBP pursuant to its statutory authority, 49 U.S.C. 44909, as implemented by 19 CFR 122.49d; Importer Security Filing
(10+2 documentation) information; and any records that were ingested by ATS where the source system of records already
provides access and/or amendment under the Privacy Act. Individuals seeking notification of and access to records
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or CBP FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foi</i>a under "
contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her
the individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive
SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records, and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are ingested from other DHS and federal systems, and from foreign governments (in accordance with the
terms of international agreements and arrangements), including but not limited to ACE, ACS, AES, APIS, BCI, CEAC
(including Forms DS-160 and DS-260), ENFORCE, ESTA, GES, NIIS, NSEERS, SEACATS, SEVIS, TECS, TSDB-WLS,
Social Security Administration’s Death Master File, and WebIDENT, Additionally, PNR is obtained from travel reservation
systems of commercial carriers. Information from Importer Security Filings is received from importers and ocean carriers.
Records are accessed from BPETS, CCD, eGIS, NCIC, and Nlets. Also, the results of queries in the FBI’s Interstate
Identification Index (III), the National Insurance Crime Bureau’s (NICB’s) private database of stolen vehicles, and
commercial data aggregators are stored in ATS. Lastly, records are also developed from analysis created by users as a
result of their use of the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 6 CFR Part 5, Appendix C, certain records and information in this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f), and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system
from the following provisions of the Privacy Act, pursuant to 5 U.S.C. 552a (k)(1) and (k)(2): 5 U.S.C. 552a(c)(3); (d)
(1), (d)(2), (d)(3), and (d)(4); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
</p><p>Despite the exemptions taken on this system of records, CBP and DHS are not exempting the following records from the
access and amendment provisions of the Privacy Act: passenger name records (PNR) collected by CBP pursuant to its
statutory authority, 49 U.S.C. 44909, as implemented by 19 CFR 122.49d; Importer Security Filing (10+2 documentation)
information; and any records that were ingested by ATS where the source system of records already provides access and/or
amendment under the Privacy Act. A traveler may obtain access to his or her PNR, but records concerning the targeting
rules, the responses to rules, case events, law enforcement and/or intelligence data, reports, and projects developed by
CBP analysts that may include public source information and/or classified information, information obtained through
memoranda of understanding or other arrangements because the information is relevant to the border security mission of
the Department, or records exempted from access by the system from which ATS ingested or accessed the information will
not be accessible to the individual.
</p></xhtmlContent></subsection></section>



<section id="cbp7" toc="yes">
<systemNumber>/CBP-007</systemNumber>
<subsection type="systemName">Border Crossing Information (BCI).

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This computer database is located at the U.S. Customs and Border Protection (CBP) National Data Center currently, but will move to a DHS Data Center in the future. Access to the border crossing data is available from locations throughout the Department of Homeland Security and other locations at which DHS authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies, which have obtained system access pursuant to a Memorandum of Understanding.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by BCI consist of persons, including U.S. Citizens, Lawful Permanent Residents, and non-immigrant aliens who lawfully cross the United States border by air, land or sea, regardless of method of transportation or conveyance.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The database is comprised of personally identifiable information pertaining to persons, including travelers and crew members who arrive in and are admitted/paroled, and, in certain circumstances, depart from (when departure information is available) the United States (including those entering the United States only for purposes of transiting through the country). The information that may be stored in BCI includes:

</p><p>&#149; Full name (First, Middle, and Last)

</p><p>&#149; Date of birth

</p><p>&#149; Gender

</p><p>&#149; Travel document type (e.g., passport information, permanent resident card, Trusted Traveler Program card, etc.), number, issuing country or entity, and expiration date

</p><p>&#149; Photograph (where available)

</p><p>&#149; Country of citizenship

</p><p>&#149; RFID tag number(s) (if land/sea border crossing)

</p><p>&#149; Date/time of crossing

</p><p>&#149; Lane for clearance processing

</p><p>&#149; Location of crossing

</p><p>&#149; Secondary Examination Status

</p><p>&#149; License Plate number (or Vehicle Identification Number (VIN), if no plate exists; only for land border crossings)

</p><p>Where applicable, information derived from an associated APIS transmission, will be stored with an individual’s border crossing record including: The airline carrier code, flight number, vessel name, vessel country of registry/flag, International Maritime Organization number or other official number of the vessel, voyage number, date of arrival/departure, foreign airport/port where the passengers and crew members began their air/sea transportation to the United States; for passengers and crew members destined for the United States, the location where the passenger and crew members will undergo customs and immigration clearance by CBP; and for passengers and crew members that are transiting through (and crew on flights over flying) the United States and not clearing CBP, the foreign airport/port of ultimate destination, and status on board (whether an individual is crew or non-crew); and for passengers and crew departing the United States, the final foreign airport/port of arrival. To the extent APIS may be transmitted by private aircraft operators and carriers operating in the land border environment, either voluntarily or pursuant to a future legal mandate, similar information may also be recorded in BCI with regard to such travel. In the land border environment for both arrival and departure (when departure information is available), the License Plate number of the conveyance (or VIN number where no plate exists) is also collected.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The legal authority for BCI is the Enhanced Border Security and Visa Reform Act of 2002, Pub. L. No. 107-173, 116 Stat. 543 (2002), Aviation and Transportation Security Act of 2001, Pub. L. No. 107-71, 115 Stat. 597 (2001), Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. No. 108-458, 118 Stat. 3638 (2004), The Immigration and Nationality Act, 8 U.S.C. 1185 and 1354 and The Tariff Act of 1930, as amended, 19 U.S.C. 66, 1433, 1454, 1485, 1624 and 2071.

</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>CBP collects and maintains this information to assist in screening persons arriving in or departing from the United States to determine identity, citizenship, and admissibility and identify persons who may be or are suspected of being a terrorist or having affiliations to terrorist organizations, have active warrants for criminal activity, are currently inadmissible or have been previously deported from the United States, or have been otherwise identified as potential security risks or raise a law enforcement concern. For non-immigrant aliens, the information is also collected and maintained in order to ensure that the information related to a particular border crossing is available for providing any applicable benefits related to immigration or other enforcement purposes. Lastly, CBP maintains this information in BCI to retain a historical record of persons crossing the border for law enforcement, counterterrorism, and benefits processing.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

</p><p>A. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where CBP believes the information would assist enforcement of civil or criminal laws or regulations;

</p><p>B. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena, or in connection with criminal proceedings;

</p><p>C. To third parties during the course of a law enforcement 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><p>D. To an agency, organization, or individual for the purposes 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.







</p><p>E. To a Congressional office, for 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;

</p><p>F. 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. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees;

</p><p>G. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure;

</p><p>H. To the United States Department of Justice (including United States Attorney offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation: (1) DHS, or (2) any employee of DHS in his/her official capacity, or (3) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent said employee, or (4) the United States or any agency thereof;

</p><p>I. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. Sections 2904 and 2906;

</p><p>J. To an appropriate Federal, state, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request;

</p><p>K. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations, for purposes of assisting such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or for combating other significant public health threats;

</p><p>L. To Federal and foreign government intelligence or counterterrorism agencies or components where CBP becomes aware of an indication of a threat or potential threat to national or international security, or where such use is to assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure;

</p><p>M. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations, under the terms of a memorandum of understanding or agreement, where CBP is aware of a need to utilize relevant data for purposes of testing new technology and systems designed to enhance border security or identify other violations of law;

</p><p>N. To appropriate agencies, entities, and persons when (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, harm to the security or integrity of this system or other systems or programs (whether maintained by CBP or another agency or entity), or harm to the individual that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm;

</p><p>O. To the news media and the public and as appropriate, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of or is necessary to demonstrate the accountability of officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

</p><p>Disclosure to consumer reporting agencies: 

</p><p>None.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>STORAGE:







</p><p>The data is stored electronically at the CBP Data Center and in the future at a DHS Data Center for current data and offsite at an alternative data storage facility for historical logs and system backups.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The data is retrievable by name or personal identifier from an electronic database.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All BCI records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include all of the following: Restricting access to those with a "need to know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data communications.

</p><p>BCI information is secured in full compliance with the requirements of the DHS IT Security Program Handbook as part of the TECS information technology platform. This handbook establishes a comprehensive program, consistent with federal law and policy, to provide complete information security, including directives on roles and responsibilities, management policies, operational policies, and application rules, which will be applied to component systems, communications between component systems, and at interfaces between component systems and external systems.

</p><p>One aspect of the DHS comprehensive program to provide information security involves the establishment of rules of behavior for each major application, including BCI, which is maintained on the TECS IT platform. These rules of behavior require users to be adequately trained regarding the security of their systems. These rules also require a periodic assessment of technical, administrative and managerial controls to enhance data integrity and accountability. System users must sign statements acknowledging that they have been trained and understand the security aspects of their systems. System users must also complete annual privacy awareness training to maintain current access.

</p><p>BCI transactions are tracked and can be monitored. This allows for oversight and audit capabilities to ensure that the data is being handled consistent with all applicable federal laws and regulations regarding privacy and data integrity. Data exchange, which will take place over an encrypted network between CBP and other DHS components that have access to the BCI data, is limited and confined only to those entities that have a need for the data in the performance of official duties. These encrypted networks comply with standards set forth in the Interconnection Security Agreements required to be executed prior to external access to a CBP computer system.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>BCI data is subject to a retention requirement. CBP will be working with NARA to develop the appropriate retention schedule based on the information below. The information, as collected and maintained in BCI, is used for the purposes described above. For persons CBP determines to be U.S. Citizens (USC) and Lawful Permanent Residents (LPR), information in BCI that is related to a particular border crossing is maintained for fifteen years from the date that the traveler was admitted or paroled into the U.S., at which time it is deleted from BCI. For non-immigrant aliens, the information will be maintained for seventy-five (75) years from the date of admission/parole into the U.S. in order to ensure that the information related to a particular border crossing is available for providing any applicable benefits related to immigration or for other law enforcement purposes. For non-immigrant aliens who become United States citizens or LPRs following a border crossing that leads to the creation of a record in BCI, the information related to border crossings prior to that change in status will follow the 75-year retention period, but all information regarding border crossing by such persons following their change in status will follow the 15-year retention period applicable to USCs and LPRs. However, for all travelers, BCI records that are linked to active law enforcement lookout records, CBP matches to enforcement activities, and/or investigations or cases will remain accessible for the life of the primary records for the law enforcement activities to which they may be or become related, to the extent retention for such purposes exceeds the normal retention period for such data in BCI.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>DHS allows persons (including foreign nationals) to seek administrative access under the Privacy Act to information maintained in BCI. To determine whether BCI contains records relating to you, write to the CBP Customer Service Center (Rosslyn, VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at <i>http://www.cbp.gov.xp.cgov/travel/customerservice</i>.

</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, date of birth, and travel document (type and number) used for the crossing. You must sign your request, and your signature must either be notarized or submitted by you under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:

</p><p>&#149; An explanation of why you believe the Department would have information on you, 

</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you, 

</p><p>&#149; Specify when you believe the records would have been created, 

</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records, and

</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.








</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for notification or access must be in writing and should be addressed to the CBP Customer Service Center (Rosslyn VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at <i>http://www.cbp.gov.xp.cgov/travel/customerservice.</i> Requests should conform to the requirements of 6 CFR part 5, subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS and can be found at <i>http://www.dhs.gov.</i> The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a general description of the records sought and must include the requester’s full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.

</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Requests to amend a record must be in writing and should be addressed to the CBP Customer Service Center (Rosslyn VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at <i>http://www.cbp.gov.xp.cgov/travel/customerservice.</i> Requests should conform to the requirements of 6 CFR part 5, subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS and can be found at <i>http://www.dhs.gov/foia.</i> The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a general description of the records sought and must include the requester’s full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.

</p><p>If individuals are uncertain what agency handles the information, they may seek redress through the DHS Traveler Redress Program ("TRIP") (See 72 FR 2294, dated January 18, 2007). DHS TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs--like airports, seaports and train stations or at U.S. land borders. Through DHS TRIP, a traveler can request correction of erroneous data in other DHS databases through one application. Redress requests should be sent to: DHS Traveler Redress Inquiry Program (TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at <i>http://www.dhs.gov/trip.</i>

</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains certain data received concerning individuals who arrive in, depart from, or transit through the United States. This system also contains information collected from carriers that operate vessels, vehicles, aircraft and/or trains that enter or exit the United States, including private aircraft operators.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to information maintained in the system at it relates to the border crossing, to the extent that such information was provided by the individual or carrier or an issuing authority in connection with a border crossing.

</p><p>This system, however, may contain records or information pertaining to the accounting of disclosures made from BCI to other law enforcement or intelligence agencies (Federal, State, Local, Foreign, International or Tribal) in accordance with the published routine uses or statutory basis for disclosure under 5 U.S.C. 5(b). For the accounting of these disclosures only, in accordance with 5 U.S.C. 552a(j)(2), and (k)(2), DHS will claim the original exemptions for these records or information from subsection (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such information.
</p></xhtmlContent></subsection>
</section>

<section id="cbp8" toc="yes">
<systemNumber>/CBP-008</systemNumber>
<subsection type="systemName">Non-Federal Entity Data System (NEDS).

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These datasets are located at the U.S. Customs and Border Protection (CBP) National Data Center. Computer terminals receiving the data are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of the Department of Homeland Security and other locations at which DHS authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies, which have obtained system access pursuant to a Memorandum of Understanding.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by NEDS consist of persons, including U.S. Citizens and Canadian Citizens who have been issued Enhanced Driver’s Licenses (EDL) or certain other travel documents by participating authorities, such as certain States, Native American Tribes, and Canadian Provinces and Territories, where the issuing authority has chosen to provide CBP with advance information from their databases regarding the EDL or other travel document. Individuals holding travel documents issued by authorities that do not provide CBP with a copy of this information (or only provide CBP with real-time access to document-specific information in their databases at the time such document is presented for border crossing purposes) are not covered by NEDS, as the information underlying their travel document has not been provided in advance to CBP.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>NEDS will contain the following information, to the extent provided to CBP by the participating document-issuing authority:

</p><p>&#149; Full Name (first, middle, and last)

</p><p>&#149; Date of birth

</p><p>&#149; Gender

</p><p>&#149; Citizenship

</p><p>&#149; Digital Image (Photograph)

</p><p>&#149; Travel document type, e.g. Enhanced Driver’s License (EDL)

</p><p>&#149; Issuing jurisdiction

</p><p>&#149; Expiration date

</p><p>&#149; Optical character read (OCR) identifier

</p><p>&#149; RFID tag number(s)

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The legal authority for NEDS is the Enhanced Border Security and Visa Reform Act of 2002, Pub. L. 107-173, 116 Stat. 543 (2002), Aviation and Transportation Security Act of 2001, Pub. L. 107-71, 115 Stat. 597 (2001), Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. 108-458, 118 Stat. 3638 (2004), The Immigration and Nationality Act, 8 U.S.C. 1185 and 1354, and The Tariff Act of 1930, as amended, 19 U.S.C. 66, 1433, 1459, 1624 and 2071, as well as the memoranda of understanding/agreement entered into with participating issuing authorities who are providing the data with which NEDS is populated.

</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>CBP collects this information to expedite CBP processing upon an individual’s arrival in and, in certain instances, prior to the individual’s departure from the United States. This information will allow CBP, upon presentation of the travel document at the border, to electronically verify identity and citizenship, determine admissibility and perform law enforcement queries to identify security risks to the United States. This information is maintained in accordance with this system of records notice and applicable memoranda of understanding/agreement with the issuing authorities.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The use of this information is limited, principally to the verification of travel document information used to denote identity and citizenship so as to determine admissibility to the United States. To the extent data derived from NEDS is subsequently transferred to other systems of record (e.g., upon presentment of a travel document in conjunction with a border crossing), that data may be used in a manner consistent with the system of records notice published for the receiving system of records.

</p><p>In consideration of privacy, CBP has limited the sharing of NEDS data to the statutory disclosures permitted under 5 U.S.C. 552a(b) of the Privacy Act, and has chosen not to publish routine uses pursuant to 5 U.S.C. 522a(b)(3). This provides an individual possessing an approved travel document, such as EDL, whose data is shared with CBP prior to crossing the border with a similar level of privacy protection as the individual whose data is shared with CBP at the time of such crossing.

</p><p>Disclosure to consumer reporting agencies:

</p><p>None.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>STORAGE:

</p><p>The data is stored electronically at the CBP Data Center for current data and offsite at an alternative data storage facility for historical logs and system backups.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The data is retrievable by name, optical character recognition identifier, RFID tag number, or personal identifier from an electronic set of data.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All NEDS records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include all of the following: Restricting access to those with a "need to know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data communications.

</p><p>NEDS information is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This handbook establishes a comprehensive program, consistent with federal law and policy, to provide complete information security, including directives on roles and responsibilities, management policies, operational policies, and application rules, which will be applied to component systems, communications between component systems, and at interfaces between component systems and external systems.

</p><p>One aspect of the DHS comprehensive program to provide information security involves the establishment of rules of behavior for each major application, including NEDS. These rules of behavior require users to be adequately trained regarding the security of their systems. These rules also require a periodic assessment of technical, administrative and managerial controls to enhance data integrity and accountability. System users must sign statements acknowledging that they have been trained and understand the security aspects of their systems. System users must also complete annual privacy awareness training to maintain current access.

</p><p>NEDS transactions are tracked and can be monitored. This allows for oversight and audit capabilities to ensure that the data is being handled consistent with all applicable federal laws and regulations regarding privacy and data integrity. Data exchange, which will take place over an encrypted network between CBP and other DHS components that may be authorized to have access to NEDS data, is limited and confined only to those entities that have a need for the data in the performance of official duties.








</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>NEDS data is subject to a retention requirement. The information collected and maintained in NEDS is used for border crossing purposes and is retained in NEDS for the duration of the validity of the travel document, that is from the date of issuance by the issuing authority until the date of expiration on the document, or, to the extent more restrictive, in accordance with the terms of any memorandum of understanding/agreement between CBP and the issuing authority. Information contained in NEDS will be retained and updated as information is provided by the issuing authority, so as to ensure timeliness, relevancy, accuracy, and completeness.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>DHS allows persons (including foreign nationals) to seek administrative access under the Privacy Act to information maintained in NEDS. To determine whether NEDS contains records relating to you, write to the CBP Customer Service Center (Rosslyn VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at <i>http://www.cbp.gov.xp.cgov/travel/customerservice.</i>

</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for notification or access must be in writing and should be addressed to the CBP Customer Service Center (Rosslyn, VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at <i>http://www.cbp.gov.xp.cgov/travel/customerservice.</i> Requests should conform to the requirements of 6 CFR part 5, Subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS and can be found at <i>http://www.dhs.gov.</i> The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a general description of the records sought and must include the requester’s full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.

</p><p>While DHS provides this mechanism for seeking notification and access to such information, requesters are encouraged in the first instance to contact the authority which issued the travel document to request access to this information, as DHS may nonetheless be required to coordinate any release with such authorities.

</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Requests to amend records must be in writing and should be addressed to the CBP Customer Service Center (Rosslyn, VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at <i>http://www.cbp.gov.xp.cgov/travel/customerservice.</i> Requests should conform to the requirements of 6 CFR part 5, subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS and can be found at <i>http://www.dhs.gov/foia.</i> The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a general description of the records sought and must include the requester’s full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.

</p><p>If individuals are uncertain what agency handles the information, they may seek redress through the DHS Traveler Redress Program ("TRIP") (See 72 FR 2294, dated January 18, 2007). TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs--such as, airports, seaports and train stations or at U.S. land borders. Through TRIP, a traveler can request correction of erroneous information stored in other DHS databases through one application. Redress requests should be sent to: DHS Traveler Redress Inquiry Program (TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at <i>http://www.dhs.gov/trip.</i>

</p><p>Additionally, while DHS provides this mechanism for contesting records, requesters are encouraged in the first instance to contact the authority which issued the travel document to request access to this information, as DHS may nonetheless be required to coordinate any requests with such authorities.

</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains certain data received on individuals who have chosen to obtain a travel document that is designated by the Secretary of Homeland Security as denoting identity and citizenship for purposes of entering the United States and has been issued by an authority which has provided CBP with advance information from its relevant travel document database.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="cbp9" toc="yes">
<systemNumber>/CBP-009</systemNumber>
<subsection type="systemName">Electronic System for Travel Authorization (ESTA).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. The data may be retained on the classified networks but this does not change the nature and
character of the data until it is combined with classified information.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the operational system at CBP Headquarters in Washington, DC and at CBP field offices.
Records are replicated from the operational system and maintained on the DHS unclassified and classified networks.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include foreign nationals who seek to enter the United States by
air or sea under the VWP.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Full Name (First, Middle, and Last);
</p><p>&#149; Date of birth;
</p><p>&#149; Gender;
</p><p>&#149; Email address;
</p><p>&#149; Phone number;
</p><p>&#149; Travel document type (e.g., passport), number, issuance date, expiration date and issuing country;
</p><p>&#149; Country of Citizenship;
</p><p>&#149; IP address;
</p><p>&#149; ESTA application number;
</p><p>&#149; Department of Treasury Pay.gov Payment Tracking Number (i.e., confirmation of payment; absence of payment
confirmation will result in a "not cleared" determination);
</p><p>&#149; Country of Birth;
</p><p>&#149; Date of Anticipated Crossing;
</p><p>&#149; Airline and Flight Number;
</p><p>&#149; City of Embarkation;
</p><p>&#149; Address while visiting the United States (Number, Street, City, State);
</p><p>&#149; Whether the individual has a communicable disease, physical or mental disorder, or is a drug abuser or
addict;
</p><p>&#149; Whether the individual has been arrested or convicted for a moral turpitude crime, drug possession or use,
or has been sentenced for a period longer than five years;
</p><p>&#149; Whether the individual has engaged in espionage, sabotage, terrorism or Nazi activity between 1933 and
1945;
</p><p>&#149; Whether the individual is seeking work in the U.S.;
</p><p>&#149; Whether the individual has been excluded or deported, or attempted to obtain a visa or enter U.S. by fraud
or misrepresentation;
</p><p>&#149; Whether the individual has ever detained, retained, or withheld custody of a child from a U.S. citizen
granted custody of the child;
</p><p>&#149; Whether the individual has ever been denied a U.S. visa or entry into the U.S., or had a visa cancelled,
and, if so, the location and date of that denial or cancellation;
</p><p>&#149; Whether the individual has ever asserted immunity from prosecution;
</p><p>&#149; Any change of address while in the U.S.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title IV of the Homeland Security Act of 2002, 6 U.S.C. 201 <i>et seq.;</i> the INA, as amended, including 8
U.S.C. 1187(a)(11) and (h)(3), and implementing regulations contained in Part 217, title 8, Code of Federal Regulations;
and the Travel Promotion Act of 2009, Public Law 111-145, 22 U.S.C. 2131.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain a record of nonimmigrant aliens who want to travel to the
United States under the VWP, and to determine whether applicants are eligible to travel to the United States under the
VWP by vetting their information against various security and law enforcement databases and identifying high-risk
applicants. This vetting includes consideration of IP address, along with the other application data.
</p><p>The Department of Treasury Pay.gov tracking number (associated with the payment information provided to Pay.gov and
stored in the Credit/Debit Card Data System, DHS/CBP-003--Credit/Debit Card Data System (CDCDS), 76 Fed. Reg.
67755 (November 2, 2011)) will be used to process ESTA and third party administrator fees and to reconcile issues
regarding payment between ESTA, CDCDS, and Pay.gov. Payment information will not be used for vetting purposes and is
stored in a separate system (CDCDS) from the ESTA application data.
</p><p>DHS maintains a replica of some or all of the data in the operating system on the unclassified and classified DHS
networks to allow for analysis and vetting consistent with the above stated purposes and this published notice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3). Any disclosure of information must be made consistent with the official duties of the person making the
disclosure. The routine uses are as follows:
</p><p>A. To the Department of Justice (DOJ), including the United States Attorney Offices, or other federal agency
conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or
necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to a written inquiry from that congressional
office made pursuant to a Privacy Act waiver from the individual to whom the record pertains.
</p><p>C. To NARA or the General Services Administration pursuant to records management inspections being conducted under the
authority of 44 U.S.C. 2904 and 2906 and for records that NARA maintains as permanent records.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations.
</p><p>H. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital health interests of a data subject or other persons (e.g., to
assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable
disease or to combat other significant public health threats; appropriate notice will be provided of any identified
health threat or risk);
</p><p>I. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information
pertinent to the investigation;
</p><p>J. To a federal, state, tribal, local, international, or foreign government agency or entity for the purpose of
consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in
connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of
verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual;
</p><p>K. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security to assist in countering such
threat, or to assist in anti-terrorism efforts;
</p><p>L. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements;
</p><p>M. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property;
</p><p>N. To the carrier transporting an individual to the United States, but only to the extent that CBP provides
information that the ESTA status is not applicable to the traveler, or, if applicable, that the individual is authorized
to travel, not authorized to travel, pending, or has not applied.
</p><p>O. To the Department of Treasury’s Pay.gov, for payment processing and payment reconciliation purposes.
</p><p>P. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to
a subpoena, or in connection with criminal law proceedings;
</p><p>Q. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in the operational system as well as on the unclassified and
classified network or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on
magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be retrieved by any of the data elements supplied by the applicant. The Pay.gov payment
tracking number may be used to track the amount of payment associated with an ESTA application and to reconcile payment
discrepancies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information stored. Access to the computer system containing the records is limited to those individuals
who have a need to know the information for the performance of their official duties and who have appropriate clearances
or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Application information submitted to ESTA generally expires and is deemed "inactive" two years after
the initial submission of information by the applicant. In the event that a traveler’s passport remains valid for less
than two years from the date of the ESTA approval, the ESTA travel authorization will expire concurrently with the
passport. Information in ESTA will be retained for one year after the ESTA travel authorization expires. After this
period, the inactive account information will be purged from online access and archived for 12 years. Data linked at any
time during the 15-year retention period (generally 3 years active, 12 years archived), to active law enforcement lookout
records, CBP matches to enforcement activities, and/or investigations or cases, including ESTA applications that are
denied authorization to travel, will remain accessible for the life of the law enforcement activities to which they may
become related. NARA guidelines for retention and archiving of data will apply to ESTA and CBP continues to negotiate
with NARA for approval of the ESTA data retention and archiving plan. Records replicated on the unclassified and
classified networks will follow the same retention schedule.
</p><p>Payment information is not stored in ESTA, but is forwarded to Pay.gov and stored in CBP’s financial processing
system, CDCDS, pursuant to the DHS/CBP-018, CDCDS system of records notice.
</p><p>In those instances where a VWP traveler’s ESTA data is used for purposes of processing their application for admission
to the United States, the ESTA data will be used to create a corresponding admission record in the DHS/CBP-016 Non-
Immigrant Information System (NIIS). This corresponding admission record will retained in accordance with the NIIS
retention schedule, which is 75 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue
NW., Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system only collects information pertaining to persons in nonimmigrant status, that is, persons who are not
covered by the protections of the Privacy Act at the time they provide their information. However, given the importance
of providing privacy protections to international travelers, DHS has decided to administratively apply the privacy
protections and safeguards outlined in this notice to all international travelers subject to ESTA.
</p><p>Applicants may access their ESTA information to view and amend their applications by providing their ESTA number,
birth date, and passport number. Once they have provided their ESTA number, birth date, and passport number, applicants
may view their ESTA status (authorized to travel, not authorized to travel, pending) and submit limited updates to their
travel itinerary information. If an applicant does not know his/her application number, he/she can provide his or her
name, passport number, date of birth, and passport issuing country to retrieve his/her application number.
</p><p>In addition to using the ESTA system directly to access information provided to DHS/CBP, individuals may submit
requests and receive information maintained in this system as it relates to data submitted by or on behalf of a person
who travels to the United States and crosses the border, as well as the resulting determination (authorized to travel,
pending, or not authorized to travel). However, the Secretary of Homeland Security has exempted portions of this system
from certain provisions of the Privacy Act related to providing the accounting of disclosures to individuals, because it
is a law enforcement system. CBP will, however, consider individual requests to determine whether or not information may
be released. In processing requests for access to information in this system, CBP will review not only the records in the
operational system but also the records that were replicated on the unclassified and classified networks, and based on
this notice provide appropriate access to the information.
</p><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Headquarters or component FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW.,
Building 410, STOP-0655, Washington, DC 20528. Requests under the Privacy Act and FOIA specifically for CBP should
be addressed to: U.S. Customs and Border Protection (CBP), Freedom of Information Act (FOIA) Division, 1300 Pennsylvania
Avenue NW., Washington, DC 20229.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. &#167; 1746, a law that permits statements
to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain
forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov
</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may
be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system obtains information from the online ESTA application submitted by the applicant. This information is
processed by the Automated Targeting System (ATS) to identify terrorists or threats to aviation and border security, and
TECS (for matches to persons identified to be of law enforcement interest), and the vetting result of "authorized
to travel," "not authorized to travel," or "pending" is maintained in ESTA. "Pending
" will be resolved to "authorized to travel" or "not authorized to travel" based on further
research by CBP. Pay.gov provides the Pay.gov tracking number once payment information has been forwarded to it and
processed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to information maintained in the system as it relates to data
submitted by or on behalf of a person who travels to visit the United States and crosses the border, nor shall an
exemption be asserted with respect to the resulting determination (authorized to travel, pending, or not authorized to
travel). Information in the system may be shared with law enforcement and/or intelligence agencies pursuant to the above
routine uses. The Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all routines
uses. Disclosing the fact that a law enforcement or intelligence agency has sought and been provided particular records
may affect ongoing law enforcement activities. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from
Sections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this
information. Further, DHS will claim exemption from Section (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5
U.S.C. 552a(k)(2) as is necessary and appropriate to protect this information.
</p></xhtmlContent></subsection></section>
<section id="cbp9" toc="yes">
<systemNumber>/CBP-009</systemNumber>
<subsection type="systemName">U.S. Customs and Border Protection--009 Nonimmigrant Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This computer database is located at the U.S. Customs and Border Protection (CBP) National Data Center. Computer
terminals are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of the
Department of Homeland Security and other locations at which DHS authorized personnel may be posted to facilitate DHS’s
mission. Terminals may also be located at appropriate facilities for other participating government agencies that have
obtained system access pursuant to a Memorandum of Understanding.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system are nonimmigrant aliens entering and departing the U.S.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>NIIS is a dataset residing on the CBP Information Technology (IT) platform and in paper form. It contains arrival
and departure information collected from foreign nationals entering and departing the U.S. on such forms as the I-
94, I-94W, or through interviews with CBP officers. This information consists of the following data elements, where
applicable:
</p><p>&#149; Full Name (first, middle, and last);
</p><p>&#149; Date of birth;
</p><p>&#149; E-mail address, as required;
</p><p>&#149; Travel document type (e.g., passport information, permanent resident card, etc.), number, issuance date,
expiration date and issuing country;
</p><p>&#149; Country of citizenship;
</p><p>&#149; Date of crossing both into and out of the U.S.;
</p><p>&#149; Scanned images linked through the platform;
</p><p>&#149; Airline and flight number;
</p><p>&#149; City of embarkation;
</p><p>&#149; Address while visiting the U.S.;
</p><p>&#149; Admission number received during entry into the U.S.;
</p><p>&#149; Whether the individual has a communicable disease, physical or mental disorder, or is a drug abuser or
addict;
</p><p>&#149; Whether the individual has been arrested or convicted for a moral turpitude crime, drugs, or has been
sentenced for a period longer than five years;
</p><p>&#149; Whether the individual has engaged in espionage, sabotage, terrorism, or Nazi activity between 1933 and
1945;
</p><p>&#149; Whether the individual is seeking work in the U.S.;
</p><p>&#149; Whether the individual has been excluded or deported, or attempted to obtain a visa or enter the U.S. by
fraud or misrepresentation;
</p><p>&#149; Whether the individual has ever detained, retained, or withheld custody of a child from a U.S. citizen
granted custody of the child;
</p><p>&#149; Whether the individual has ever been denied a U.S. visa or entry into the U.S., or had a visa cancelled
(if yes, when and where);
</p><p>&#149; Whether the individual has ever asserted immunity from prosecution; and
</p><p>&#149; Any change of address while in the U.S.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; The legal authority for NIIS comes from 8 U.S.C. 1103, 8
U.S.C. 1184, Intelligence Reform and Terrorism Prevention Act of 2004, Public Law 108-458, The Immigration and
Nationality Act, 8 U.S.C. 1354, and the Homeland Security Act of 2002, Public Law 107-296.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>NIIS is a repository of records for persons arriving in or departing from the U.S. as nonimmigrant visitors and
is used for entry screening, admissibility, and benefits purposes. The system provides a central repository of contact
information for such aliens while in the U.S. and also captures arrival and departure information for determination of
future admissibility.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or settlement negotiations, or in
response to a subpoena from a court of competent jurisdiction.
</p><p>I. To third parties during the course of a law enforcement 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><p>J. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p><p>K. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>L. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations, for purposes of assisting such agencies or organizations in preventing exposure to or transmission of a
communicable or quarantinable disease or for combating other significant public health threats.
</p><p>M. To Federal and foreign government intelligence or counterterrorism agencies or components where CBP becomes aware
of an indication of a threat or potential threat to national or international security, or where such use is to assist in
anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person
making the disclosure.
</p><p>N. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>O. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law
</p><p>DISCLOSURE TO CONSUMER REPORTING AGENCIES:</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data is stored electronically at the CBP and DHS Data Center for current data and offsite at an alternative
data storage facility for historical logs, system backups and in paper form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be searched on a variety of data elements including name, addresses, place and date of entry or
departure, or country of citizenship as listed in the travel documents used at the time of entry to the U.S. An admission
number, issued at each entry to the U.S. to track the particular admission, may also be used to identify a database
record.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All NIIS records are protected from unauthorized access through appropriate administrative, physical, and
technical safeguards. These safeguards include all of the following: restricting access to those with a "need to
know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting
data communications.
</p><p>NIIS information is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This
handbook establishes a comprehensive program, consistent with federal law and policy, to provide complete information
security, including directives on roles and responsibilities, management policies, operational policies, and application
rules, which will be applied to component systems, communications between component systems, and at interfaces between
component systems and external systems.
</p><p>One aspect of the DHS comprehensive program to provide information security involves the establishment of rules of
behavior for each major application, including NIIS. These rules of behavior require users to be adequately trained
regarding the security of their systems. These rules also require a periodic assessment of technical, administrative and
managerial controls to enhance data integrity and accountability. System users must sign statements acknowledging that
they have been trained and understand the security aspects of their systems. System users must also complete annual
privacy awareness training to maintain current access.
</p><p>NIIS transactions are tracked and can be monitored. This allows for oversight and audit capabilities to ensure that
the data is being handled consistent with all applicable federal laws and regulations regarding privacy and data
integrity.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>NIIS data is subject to a retention requirement. The information collected and maintained in NIIS is used for
entry screening, admissibility, and benefits purposes and is retained for seventy five (75) years from the date obtained.
However, NIIS records that are linked to active law enforcement lookout records, CBP matches to enforcement activities,
and/or investigations or cases will remain accessible for the life of the law enforcement activities to which they may
become related. The current disposition for paper copy is 180 days from date of departure.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Information Technology, U.S. Customs and Border Protection Headquarters, 1300
Pennsylvania Avenue, NW., Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Mint Annex,
Washington, DC 20229.
</p><p>When seeking records about yourself from this system of records or any other CBP system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information CBP may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains certain data received on individuals, passengers and crewmembers that arrive in, depart from,
or transit through the U.S. This system also contains information collected from carriers that operate vessels, vehicles,
aircraft and/or trains that enter or exit the U.S. and from the individuals upon crossing the U.S. border.
</p><p>Basic information is obtained from individuals, the individual’s attorney/representative, CBP officials, and other
federal, state, local, and foreign agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to information maintained in the system that is collected from a
person or submitted on behalf of a person, if that person, or his or her agent, seeks access or amendment of such
information.
</p><p>This system, however, may contain information related to an ongoing law enforcement investigation because the
information regarding a person’s travel and border crossing was disclosed to appropriate law enforcement in conformance
with the above routine uses. As such pursuant to 5 U.S.C. 552 a (j)(2) and (k)(2), DHS will claim exemption from (c)(3),
(e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information.

</p></xhtmlContent></subsection></section>
<section id="cbp10" toc="yes">
<systemNumber>/CBP-010</systemNumber>
<subsection type="systemName">Persons Engaged in International Trade in Customs and Border Protection Licensed/Regulated Activities.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC and in field
offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include importers, brokers, carriers, sureties; officers/owners,
employees, associates of customs bonded carriers, drivers of motor vehicles, licensed cartmen, licensed lightermen,
individuals and firms who have applied for or hold a license as a bonded cartman or lighterman, individuals employed by
cartmen or lightermen, present and past container station operators and warehouse proprietors and their employees,
including those who require an investigation, licensed customs brokers, employees of customs brokers, individuals or
firms who have applied for a broker’s license, airport and airline employees with access to the CBP controlled area of a
terminal, and employees of vessel agents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Addresses and notification of change of address;
</p><p>&#149; Personal characteristics;
</p><p>&#149; Photograph or other biometrics;
</p><p>&#149; History of past employment;
</p><p>&#149; Previous five years residences,
</p><p>&#149; Alias;
</p><p>&#149; Citizenship;
</p><p>&#149; Military records;
</p><p>&#149; Criminal record other than traffic violations;
</p><p>&#149; Use of narcotic drugs;
</p><p>&#149; Organization’s name;
</p><p>&#149; Copies of bonds, entries, bills, and data center listings;
</p><p>&#149; Location of business records;
</p><p>&#149; Status reports of individuals’ application including issuance, denial or renewal;
</p><p>&#149; Copies of incoming and outgoing correspondence relating to persons engaged in international trade in CBP
licensed/regulated activities;
</p><p>&#149; Requests for written approval to employ persons who have been convicted of a felony;
</p><p>&#149; Applications for cartmen/lightermen licenses and identification cards;
</p><p>&#149; Applications and approvals/denials of bonds to act as container station operator or warehouse proprietor;
</p><p>&#149; Reports of investigations;
</p><p>&#149; Fingerprint cards;
</p><p>&#149; Information regarding proposed administrative disciplinary action against customs brokers for violation of
the regulations governing the conduct of their business; and
</p><p>&#149; Determinations as to whether CBP issued or did not issue a particular license or permit and the type of
license or permit.
</p><p><i>Authority for maintenance of the system:</i>
</p><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive Order 9373; 19 U.S.C. 1484, 1485, 1498, 1499, 1509,
1551, 1551a, 1555, 1556, 1565, 1624, and 1641; 19 CFR parts 19, 111, 112, 113, 141, 142, 148, and 163..
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain records on persons engaged in international trade in CBP
licensed/regulated activities. These records include identifying information as well as the results of background checks
or official vetting performed to ensure that CBP’s approval of the individuals’ right to perform the licensed or
regulated activity is appropriate.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS or any component in his/her official capacity;
</p><p>3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS or CBP collected the records.
</p><p>B. To a congressional office in response to an inquiry from that congressional office made at the request of the
individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS or CBP suspects or has confirmed that the security or confidentiality of information in the system of records
has been compromised;
</p><p>2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies
upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS or CBP, 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 DHS/CBP officers and employees.
</p><p>G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena form a court of competent jurisdiction.
</p><p>J. To third parties during the course of a law enforcement investigation or background check 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><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual’s name or organization’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>&#149; Carrier records are retained by CBP for six years after the death of the licensee or revocation in
accordance with the CBP, Records Control Manual, Schedule 6, Custody of Merchandise, Item 2.
</p><p>&#149; Broker files and records of broker’s employees are retained by CBP for six years after the death of the
licensee or revocation in accordance with the CBP, Records Control Manual, Schedule 6, Custody of Merchandise, Item 2.
These files are periodically updated and removed to an inactive file, as necessary.
</p><p>&#149; Cartmen and lightermen files are reviewed annually at which time cancelled identification cards are
removed. Closed CBP Form 3078s (Application for Identification Card) may also be removed, but normally are held for
approximately three years in case a new application is received from the same company or transferred to another company
after investigation.
</p><p>&#149; Container station operator files are disposed of in accordance with the CBP Records Control Manual,
Schedule 6, Custody of Merchandise Records, Item 10.
</p><p>&#149; Records on warehouse proprietor and vessel agent employees are maintained by the organization for the
duration of the individual’s employment and retained by CBP for six years after the death of the licensee or revocation
in accordance with the CBP, Records Control Manual, Schedule 6, Custody of Merchandise, Item 2.
</p><p>&#149; Records on drivers are maintained in an active file until revoked or cancelled. After revocation or
cancellation, the information folder is placed in an inactive file for five years, and then disposed of in accordance
with the General Services Administration Disposal Manual.
</p><p>&#149; Information on proprietor bonded warehouse operators and employees is retained on file until Customs
bonded operations cease and are discontinued, and then maintained in an inactive file for three years. Final disposition
is in accordance with the General Services Administration Disposal Manual.
</p><p>&#149; Files on brokers, carriers, and sureties are maintained for six years after death of licensee or
revocation in accordance with the CBP Records Control Manual. In accordance with the Records Control Manual, Schedule 9
Entry Processing, files on importers are maintained in connection with the respective entry of merchandise for eight
years after liquidation of the entry, which is the final determination of classification and duty relating to the
imported merchandise by CBP.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Commercial Targeting and Enforcement, Office of International Trade, U.S. Customs and Border
Protection, Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from certain aspects of the notification, access, and
amendment requirements of the Privacy Act. CBP will review each request to determine whether or not notification, access,
or amendment should be provided. Individuals seeking notification of and access to any record contained in this system of
records, or seeking to contest its content, may submit a request in writing to CBP’s FOIA Officer, 1300 Pennsylvania
Avenue, NW., Mint Annex, Washington, DC 20229.
</p><p>When seeking records about yourself from this system of records or any other CBP system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information CBP may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained by authorized Customs forms or electronic formats from individuals and/or companies
incidental to the conduct of foreign trade and required by the Customs Service in administering the tariff laws and
regulations of the United States. Individuals; organizations; DHS/CBP; correspondence; investigation reports and
supporting materials; applications for bonds and licenses, and other DHS/CBP memoranda.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system pursuant to exemption 5 U.S.C. 552a(j)(2) of the
Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g). Additionally, the Secretary has exempted this system pursuant to 5
U.S.C. 552a(k)(2) of the Privacy Act from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
</p></xhtmlContent></subsection></section>
<section id="cbp11" toc="yes">
<systemNumber>/CBP-011</systemNumber>
<subsection type="systemName">DHS/CBP-011 TECS.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified; Law Enforcement Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This computer database is located at the U.S. Customs and Border Protection National Data Center in the
Washington DC area. TECS will be migrated to other DHS Datacenters. Computer terminals are located at CBP sites and ports
throughout the United States and at CBP Headquarters, Washington, DC, as well as appropriate facilities under the
jurisdiction of the U.S. Department of Homeland Security (DHS) and other locations at which officers of DHS may be posted
or operate to facilitate DHS’s mission of homeland security. Terminals may also be located at appropriate facilities for
other participating government agencies pursuant to agreement.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>&#149; Violators or suspected violators of laws enforced or administered by DHS (some of whom have been
apprehended by officers of DHS);
</p><p>&#149; Individuals who are suspected of, or who have been arrested for, thefts from international commerce;
</p><p>&#149; Convicted violators of laws enforced or administered by DHS and/or drug laws in the United States and
foreign countries;
</p><p>&#149; Persons with outstanding warrants--Federal or state;
</p><p>&#149; Victims of any violation of the laws enforced or administered by DHS;
</p><p>&#149; Owners, operators and/or passengers of vehicles, vessels or aircraft traveling across U.S. borders or
through other locations where CBP maintains an enforcement or operational presence;
</p><p>&#149; Persons traveling across U.S. borders or through other locations where CBP maintains an enforcement or
operational presence and who are determined to be related to a law enforcement context;
</p><p>&#149; Persons identified by Center for Disease Control (CDC), U.S. Health and Human Services as "No Boards
" because of a highly contagious communicable disease through the Advance Passenger Information System in
connection with trying to board an aircraft to travel internationally;
</p><p>&#149; Individuals who have been issued a CBP detention or warning;
</p><p>&#149; Individuals who may pose a threat to the United States; and
</p><p>&#149; Individuals who have been given access to TECS for authorized purposes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Various types of information from a variety of Federal, state, local, and foreign sources, which contribute to
effective law enforcement and counterterrorism efforts, may be maintained in this system of records. Records include, but
are not limited to, records pertaining to known or suspected violators, wanted persons, persons of interest for law
enforcement and counterterrorism purposes, reference information, regulatory and compliance data. Information about
individuals includes, but is not limited to full name, alias, date of birth, address, physical description, various
identification numbers (e.g., social security number, alien number, I-94 number, seizure number), details and
circumstances of a search, arrest, or seizure, case information such as merchandise and values, methods of theft.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 5 U.S.C. 301; Homeland Security Act of 2002, Pub. L. 107-296; the Tariff Act of 1930, as amended;
Title 18, United States Code, Chapter 27; the Immigration and Nationality Act.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to track individuals who have violated or are suspected of violating a law or
regulation that is enforced or administered by CBP, to provide a record of any inspections conducted at the border by
CBP, to determine admissibility into the United States, and to record information regarding individuals, firms, and
organizations to whom DHS/CBP has issued detentions and warnings. Additionally, this system of records covers individuals
who have been given access to TECS for authorized purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS or any component in his/her official capacity;
</p><p>3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS or CBP collected the records.
</p><p>B. To a congressional office in response to an inquiry from that congressional office made at the request of the
individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS or CBP suspects or has confirmed that the security or confidentiality of information in the system of records
has been compromised;
</p><p>2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies
upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS or CBP, 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 DHS/CBP officers and employees.
</p><p>G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or settlement negotiations, or in
response to a subpoena from a court of competent jurisdiction.
</p><p>I. To third parties during the course of a law enforcement 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><p>J. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p><p>K. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>L. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations, for purposes of assisting such agencies or organizations in preventing exposure to or transmission of a
communicable or quarantinable disease or for combating other significant public health threats.
</p><p>M. To Federal and foreign government intelligence or counterterrorism agencies or components where CBP becomes aware
of an indication of a threat or potential threat to national or international security, or where such use is to assist in
anti-terrorism efforts and disclosure is appropriate in the proper performance of the official duties of the person
making the disclosure;
</p><p>N. To the news media and the public, with the approval of the DHS Chief Privacy Officer in consultation with counsel,
as appropriate, when there exists a legitimate public interest in the disclosure of the information or when disclosure is
necessary to preserve confidence in the integrity of CBP or is necessary to demonstrate the accountability of CBP’s
officers, employees, or individuals covered by the system, except to the extent it is determined that release of the
specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>O. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The data is stored electronically at the National Data Center and other DHS Data Centers for current data and
offsite at an alternative data storage facility for historical logs and system backups.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The data is retrievable by name, address, unique identifiers or in association with an enforcement report or
other system document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records are protected from unauthorized access through appropriate administrative, physical, and technical
safeguards. These safeguards include all of the following: restricting access to those with a "need to know";
using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data
communications.
</p><p>TECS also monitors source systems for changes to the source data. The system manager, in addition, has the capability
to maintain system back-ups for the purpose of supporting continuity of operations and the discrete need to isolate and
copy specific data access transactions for the purpose of conducting security incident investigations. TECS information
is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This handbook establishes a
comprehensive information security program.
</p><p>Access to TECS is controlled through a security subsystem, which is used to grant access to TECS information on a
"need-to-know" basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The majority of information collected in TECS is used for law enforcement and counterterrorism purposes. Records
in the system will be retained and disposed of in accordance with a records schedule to be approved by the National
Archives and Records Administration.
</p><p>The retention period for information maintained in TECS is seventy-five (75) years from the date of the collection of
the information or for the life of the law enforcement matter to support that activity and other enforcement activities
that may become related. TECS collects information directly from authorized users.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Information Technology, Passenger Systems Program Office, U.S. Customs and
Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, CBP will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to CBP’s FOIA
Officer, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.
</p><p>When seeking records about yourself from this system of records or any other CBP system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information CBP may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains investigatory material compiled for law enforcement and counterterrorism purposes whose
sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g).
Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the
limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
In addition, to the extent a record contains information from other exempt systems of records, CBP will rely on the
exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="cbp12" toc="yes">
<systemNumber>/CBP-012</systemNumber>
<subsection type="systemName">U.S. Customs and Border Protection--012 Closed Circuit Television System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, D.C. and in field
offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include individuals involved in incidents or disturbances
related to a DHS/CBP inspection while attempting to enter the U.S.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Date of Birth;
</p><p>&#149; Citizenship;
</p><p>&#149; Port of entry;
</p><p>&#149; Method of entry, including vehicle information;
</p><p>&#149; Date of entry;
</p><p>&#149; Time of entry;
</p><p>&#149; Search records, including the incident that required a secondary inspection, and items found during the
inspection; and
</p><p>&#149; Audio-video cassette recording of the persons being escorted into, inside, and out of the secondary areas
of the port of entry.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; and the Federal Records Act, 44 U.S.C. 3101; 41 CFR Part 102; Homeland Security Act of 2002, Public
Law 107-296, Section 1512, 116 Stat. 2310 (November 25, 2002); the immigration laws, including 8 U.S.C. 1222-
1225 and 1357; the customs laws, including 19 U.S.C. 2, 482, 1433, 1434, 1459, 1461, 1484, 1499, 1581, 1582; 6 U.S.C 202,
231; the agriculture laws, including 7 U.S.C. 8303, 8304, 8307.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to record individuals who are sent to secondary when attempting to enter the U.S.,
or who are involved in an incident or disturbance while within CBP controlled space at the border. This record system
will allow DHS/CBP to videotape persons being escorted within a port of entry.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS or any component in his/her official capacity;
</p><p>3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS or CBP collected the records.
</p><p>B. To a congressional office in response to an inquiry from that congressional office made at the request of the
individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS or CBP suspects or has confirmed that the security or confidentiality of information in the system of records
has been compromised;
</p><p>2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies
upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS or CBP, 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 DHS/CBP officers and employees.
</p><p>G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>I. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law.
</p><p>J. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
or component decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other
benefit when disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>L. To third parties during the course of a law enforcement 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><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or any component or is necessary to demonstrate the accountability of DHS or
a component’s officers, employees, or individuals covered by the system, except to the extent it is determined that
release of the specific information in the context of a particular case would constitute an unwarranted invasion of
personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual’s name or date and time of the recording.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to this computer system containing the records in this system
is limited to those individuals who have a need to know the information for the performance of their official duties and
who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All recordings with incidents are retained for six months. Those on which some action may be taken are retained
for one year or until the close of the case. The electronic media used to make recording can be reused. Therefore, after
the above stated retention period, CBP may reuse the electronic media and thus erase the previous recording.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Port Directors, U.S. Customs and Border Protection, U.S. Customs and Border Protection Headquarters, 1300
Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from certain aspects of the notification, access, and
amendment requirements of the Privacy Act. CBP will review each request to determine whether or not notification, access,
or amendment should be provided. Individuals seeking notification of and access to any record contained in this system of
records, or seeking to contest its content, may submit a request in writing to CBP’s FOIA Officer, 1300 Pennsylvania
Avenue, NW., Mint Annex, Washington, DC 20229.
</p><p>When seeking records about yourself from this system of records or any other CBP system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe CBP would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual verifying that individual’s identity and certifying his/her agreement for you to access his/her
records.
</p><p>Without this bulleted information CBP may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Audio-video recording of persons being escorted within the port of entry.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g).
Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the
limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
</p></xhtmlContent></subsection></section>
<section id="cbp13" toc="yes">
<systemNumber>/CBP-013</systemNumber>
<subsection type="systemName">Seized Assets and Case Tracking System (SEACATS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This computer database is located at the U.S. Customs and Border Protection National Data Center in the
Washington, DC area. Computer terminals are located at CBP sites and ports throughout the United States and at CBP
Headquarters, Washington, DC as well as appropriate facilities under the jurisdiction of the U.S. Department of Homeland
Security (DHS) and other locations at which officers of DHS may be posted or operate to facilitate DHS’s mission of
homeland security. Terminals may also be located at appropriate facilities for other participating government agencies
pursuant to agreement. Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC
and in field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include current and former violators and alleged or otherwise
suspected violators of Custom, immigration, agriculture or other laws and regulations administered or enforced by
DHS/CBP, and related parties involved in, or affected by, an inquiry concerning the violation of Customs, immigration,
agriculture or other law enforced or administered by DHS/CBP. This system includes:
</p><p>&#149; Persons who are believed to be involved in activities which constitute, or may develop into, possible
violation of Customs, immigration, agriculture or other laws administered or enforcement by DHS/CBP.
</p><p>&#149; Persons who smuggle, or are suspected of smuggling, merchandise or contraband, including narcotics and
other illegal drugs, into the U.S.;
</p><p>&#149; Vessels, aircraft and other conveyances that have been used in connection or with or found in violation of
Customs, immigration, agriculture or other laws and regulations enforced or administered by DHS/CBP;
</p><p>&#149; Individuals and businesses fined, penalized, or forced to forfeit merchandise because of violations of
Customs, immigration, agriculture and/or other laws administered or enforced by DHS/CBP;
</p><p>&#149; Individuals and businesses who have filed false invoices, documents, or statements that result in a
violation of Customs, immigration, agriculture or other laws and regulations administered or enforced by DHS/CBP;
</p><p>&#149; Individuals and businesses who have filed supplemental petitions for relief from fines, penalties, and
forfeitures assessed for violations of the laws and regulations administered or enforced by DHS/CBP;
</p><p>&#149; Owners, claimants, and other interested parties to seized property;
</p><p>&#149; Purchasers of forfeited property;
</p><p>&#149; Individuals to whom prohibited merchandise is addressed; and
</p><p>&#149; Individuals who assist in the enforcement of customs, navigation, immigration, agriculture and other laws
administered or enforced by DHS/CBP.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Business name;
</p><p>&#149; Aliases;
</p><p>&#149; Social security number;
</p><p>&#149; Physical description of the individual;
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Occupation;
</p><p>&#149; Violator’s previous record;
</p><p>&#149; Driver’s license;
</p><p>&#149; Passport number;
</p><p>&#149; Entry documentation;
</p><p>&#149; Personal identifying number, such as informant number;
</p><p>&#149; Case number or seizure number;
</p><p>&#149; Vessel name, including registration number;
</p><p>&#149; Aircraft name and tail number;
</p><p>&#149; License Plate Number;
</p><p>&#149; Type of violation/suspected violation;
</p><p>&#149; Description of violation/alleged violation, including circumstances surrounding the violation/alleged
violation, including section of law violated or alleged to have been violated;
</p><p>&#149; Date and place of violation/alleged violation;
</p><p>&#149; On-site disposition actions, such as whether a seizure was made, an item was detained, or inspection
occurred;
</p><p>&#149; Sender of the seized or detained goods;
</p><p>&#149; Intended recipient of the seized or detained goods;
</p><p>&#149; Parties entitled to legal notice or who are legally liable;
</p><p>&#149; Bond information;
</p><p>&#149; Notices;
</p><p>&#149; Investigative reports and disposition of fines, penalties, and forfeitures;
</p><p>&#149; Memoranda;
</p><p>&#149; Petitions and supplemental petitions;
</p><p>&#149; Recommendations pertaining to litigation;
</p><p>&#149; Referrals to Department of Justice;
</p><p>&#149; Notes from officers related to a DHS/CBP action;
</p><p>&#149; Case information pertaining to violation;
</p><p>&#149; Actions taken by DHS/CBP;
</p><p>&#149; Documents relating to the internal review and consideration of the request for relief and decision
thereon;
</p><p>&#149; Property description;
</p><p>&#149; Estimated foreign value of merchandise;
</p><p>&#149; Duty;
</p><p>&#149; Domestic value of merchandise;
</p><p>&#149; CBP Port code;
</p><p>&#149; Delivery to seizure clerk; and
</p><p>&#149; Applicants for awards of compensation and determination of such applications.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; the immigration laws, including 8 U.S.C. 1221, 1321-
1328, 8 CFR parts 270, 274, 280; the Customs laws, including 18 U.S.C. 542, 545 and 19 U.S.C. 66, 1436, 1497, 1509, 1592,
1593a, 1594, 1595a, 1618, 1619, 1624, 1703 and, 19 CFR parts 1623, 171 and 172; the agriculture laws, including 7 U.S.C.
8303, 8304, 8307; Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to (1) document individuals and businesses who violated, or are alleged to have
violated, Custom, immigration, agriculture and other laws and regulations enforced or administered by DHS/CBP; (2)
collect and maintain records on fines, penalties, and forfeitures; and (3) collect and maintain records of individuals
who have provided assistance with respect to identifying or locating individuals who have or are alleged to have violated
Customs, immigration, agriculture and other laws and regulations enforced or administered by DHS/CBP.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS or any component in his/her official capacity;
</p><p>3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS or CBP collected the records.
</p><p>B. To a congressional office in response to an inquiry from that congressional office made at the request of the
individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS or CBP suspects or has confirmed that the security or confidentiality of information in the system of records
has been compromised;
</p><p>2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies
upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS or CBP, 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 DHS/CBP officers and employees.
</p><p>G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>J. To third parties during the course of a law enforcement 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><p>K. To a consumer reporting agency in accordance with section 3711(3) of Title 31.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or any component is necessary to demonstrate the accountability of DHS or a
component’s officers, employees, or individuals covered by the system, except to the extent it is determined that release
of the specific information in the context of a particular case would constitute an unwarranted invasion of personal
privacy.
</p><p>M. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law.
</p><p>N. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Yes, when appropriate and in accordance with section 3711(3) of Title 31.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual’s name; business name; vessel name; aircraft name; case number; year and CBP
port code; identification codes; identifying number; date of violation; type of violation; name of the person to which
seized items are addressed; case or seizure number by fiscal year; and phone number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records related to a law enforcement action; or that are linked to an alleged violation of law or regulation, or
are matches or suspected matches to enforcement activities, investigations or cases (i.e., administrative penalty actions
or criminal prosecutions), will remain accessible until the conclusion of the law enforcement matter and any other
enforcement matters or related investigative, administrative, or judicial action to which it becomes associated plus five
years. Records associated with a law enforcement matter, where all applicable statutes of limitation have expired prior
to the conclusion of the matter, will be retained for two years following the expiration of the applicable statute of
limitations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Customs and Border Protection, Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from notification, access, and amendment because of
the law enforcement nature of the information. However, CBP will review requests on a case by case and release
information as appropriate. Individuals seeking notification of and access to any record contained in this system of
records, or seeking to contest its content, may submit a request in writing to CBP’s FOIA Officer, 1300 Pennsylvania
Avenue, NW., Mint Annex, Washington, DC 20229. Specific FOIA contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other CBP system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information CBP may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, including individuals petitioning for relief of fines, penalties, and forfeitures; DHS/CBP
employees, including DHS/CBP employees who prepare Customs Form 5955a (Notice of Penalty or liquidated Damages Incurred
and Demand for Payment) and Customs Form 151 (Search/Arrest/Seizure Report) at the time and place where the violation
occurred; Information and representations supplied by importers, brokers and other agents pursuant to the entry and
processing of merchandise or in the clearing of individuals or baggage through Customs. Also included is information
gathered pursuant to DHS/CBP investigations of suspected or actual violations of Customs, immigration, agriculture and
other laws enforced or administered by DHS/CBP, regulations, recommendations, and information supplied by other agencies;
Port Director of CBP who has jurisdiction over fines, penalties, and forfeitures; penalty notices; Search/Arrest/Seizure
Reports transmitted to the Fines, Penalties, and Forfeitures Office by ports and stations within the area; and mail
shipments.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g).
Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the
limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
In addition, to the extent a record contains information from other exempt systems of records, CBP will rely on the
exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="cbp14" toc="yes">
<systemNumber>/CBP-014</systemNumber>
<subsection type="systemName">Regulatory Audit Archive System (RAAS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC and in field
offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include persons licensed as a customs broker, employees of a
customs broker, clients, and other persons engaged in international trade who are identified in an audit report.
Additionally, individuals who have been given access to RAAS for authorized purposes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name, including names of officers of customs broker firms or other business entities engaged
in international trade and identified as a subject of an audit or related to the scope of an audit;
</p><p>&#149; Audit reports of subject accounts and records;
</p><p>&#149; Correspondence with the subject of the audits and such audit reports;
</p><p>&#149; Congressional inquiries concerning customs brokers or other audit subjects and disposition made of such
inquiries; and
</p><p>&#149; License and permit numbers and dates issued and district or port covered.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; 19 U.S.C. 1508, 1509, 1641; and 19 CFR parts 111, 143, and
163.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain records on the regulatory audits of customs brokers. These
audits are part of CBP’s continuing oversight of Customs Brokers, who are licensed by CBP, pursuant to 19 U.S.C. 1641, to
act as agents for importers in the entry of merchandise and payment of duties and fees. The system also maintains the
records of audits conducted on other persons or business entities engaged in international trade.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS or any component in his/her official capacity;
</p><p>3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS or CBP collected the records.
</p><p>B. To a congressional office in response to an inquiry from that congressional office made at the request of the
individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS or CBP suspects or has confirmed that the security or confidentiality of information in the system of records
has been compromised;
</p><p>2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies
upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS or CBP, 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 DHS/CBP officers and employees.
</p><p>G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>J. To third parties during the course of a law enforcement 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><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual’s name or audit report file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to this computer system containing the records in this system
is limited to those individuals who have a need to know the information for the performance of their official duties and
who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Regulatory Audit files are retained for 10 years, and then placed in General Service Administration long-term
archival storage.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Office of Regulatory Audit, Customs and Border Protection Headquarters, 1300 Pennsylvania
Avenue, NW., Mint Annex, Washington, DC 20229.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Mint Annex,
Washington, DC 20229.
</p><p>When seeking records about yourself from this system of records or any other CBP system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information CBP may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in these files originates in connection with customs broker audits and audits of other
persons engaged in international commerce conducted by the regulatory audit staffs. The audits may be supplemented with
information furnished by the Office of the Chief Counsel or its field offices, Office of International Trade, Office of
Regulations and Rulings, and the Office of Investigations, U.S. Immigration and Customs Enforcement. These audits include
examinations of brokers, importers, and other persons, who are engaged in international trade, business records,
including data maintained in support of client customs business.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="cbp15" toc="yes">
<systemNumber>/CBP-015</systemNumber>
<subsection type="systemName">Automated Commercial System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the CBP Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: CBP employees and individuals involved in the import
trade.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social Security Number (SSN), if collected;
</p><p>&#149; Address;
</p><p>&#149; CBP employee names;
</p><p>&#149; CBP employee SSN;
</p><p>&#149; Importer of record number, which can be the IRS Employer Identification Number (EIN), SSN, or a Customs-
assigned number;
</p><p>&#149; Importer name and address;
</p><p>&#149; Type of importation bond;
</p><p>&#149; Importation bond expiration date;
</p><p>&#149; Surety code;
</p><p>&#149; Violation statistics;
</p><p>&#149; Protest information;
</p><p>&#149; Customhouse broker number;
</p><p>&#149; Customhouse name;
</p><p>&#149; Customhouse address;
</p><p>&#149; Bond agent name;
</p><p>&#149; Bond agent SSN;
</p><p>&#149; Surety code (non-SSN);
</p><p>&#149; Surety name;
</p><p>&#149; Customs bond information;
</p><p>&#149; Liquidator identification (non-SSN);
</p><p>&#149; Foreign Manufacturer/Shipper identification code;
</p><p>&#149; Foreign Manufacturer/Shipper name;
</p><p>&#149; Foreign Manufacturer/Shipper address;
</p><p>&#149; Carrier names;
</p><p>&#149; Carrier codes (non SSN) (Standard Carrier Agent Code (SCA) for vessel carriers, International Air
Transport Association (IATA) for air carriers);
</p><p>&#149; Manufacturer (or supplier) name;
</p><p>&#149; Seller name;
</p><p>&#149; Buyer name;
</p><p>&#149; Ship to party name;
</p><p>&#149; Container stuffing location;
</p><p>&#149; Consolidator (stuffer);
</p><p>&#149; Foreign trade zone applicant identification number;
</p><p>&#149; Consignee number(s);
</p><p>&#149; Country of origin;
</p><p>&#149; Commodity HTSUS number;
</p><p>&#149; Booking party;
</p><p>&#149; Foreign port of unlading;
</p><p>&#149; Place of delivery; and
</p><p>&#149; Ship to party.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>19 U.S.C. 66, 1431, 1448, 1481, 1484, 1505, 1514 and 1624, section 203 of the Security and Accountability for
Every (SAFE) Port Act of 2006 and section 343(a) of the Trade Act of 2002, as amended by the Maritime Transportation
Security Act of 2002.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to track, control, and process all commercial goods imported into the United
States, and to improve CBP’s ability to identify high-risk shipments so as to prevent smuggling and ensure cargo safety
and security. As part of CBP identifying high risk shipments for border security and counterterrorism purposes, the
system includes information relating to individuals and their relationship to the merchandise as documented in the
Importer Security Filing (ISF).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS/CBP determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS/CBP collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>H. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>I. To the Bureau of the Census to provide information on foreign trade data.
</p><p>J. To a Federal agency, pursuant to the International Trade Data System Memorandum of Understanding, consistent with
the receiving agency’s legal authority to collect information pertaining to and/or regulate transactions in international
trade.
</p><p>K. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>L. To a Federal, State, local, tribal, territorial, foreign, or international agency, maintaining civil, criminal or
other relevant enforcement information or other pertinent information, which has requested information relevant to or
necessary to the requesting agency’s or the bureau’s hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>N. To third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>O. To the Department of Justice, the United States Attorney’s Office, or a consumer reporting agency for further
collection action on any delinquent debt when circumstances warrant;
</p><p>P. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law;
</p><p>Q. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility;
</p><p>R. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the of life or property; and
</p><p>S. To a consumer reporting agency related to owing the U.S. Government money in accordance with 15 U.S.C 1681 <i>et
seq.</i>
</p><p>Disclosure to consumer reporting agencies:
</p><p>Yes, in accordance with the provision of 15 U.S.C. 1681 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records that are stored electronically are stored on magnetic disc, tape, digital media, and CD-
ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by identification codes and/or name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Importer Security Filing is retained for fifteen years from date of submission unless it becomes linked to
active law enforcement lookout records, CBP matches to enforcement activities, and/or investigations or cases (<i>i.e.</i
>, specific and credible threats; individuals, and routes of concern; or other defined sets of circumstances) for which
it will remain accessible for the life of the law enforcement matter to support that activity and other enforcement
activities that may become related. All other records are maintained for a period of six years from the date of entry.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Automated Systems, CBP Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229 is
responsible for all data maintained in the files.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Washington, DC
20229. If an individual believes more than one component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA,
<i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained by authorized Customs forms or electronic formats from individuals and/or companies
incidental to the conduct of foreign trade and required by CBP in administering the tariff laws and regulations of the
United States.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Information in the system may be shared with law enforcement and/or intelligence agencies pursuant to the above
routine uses. The Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all routines
uses. Disclosing the fact that a law enforcement or intelligence agencies has sought particular records may affect
ongoing law enforcement or intelligence activity. As such pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), DHS will claim
exemption from (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect
this information.
</p></xhtmlContent></subsection></section>
<section id="cbp17" toc="yes">
<systemNumber>/CBP-017</systemNumber>
<subsection type="systemName">Analytical Framework for Intelligence (AFI).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive, Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained within the Information Technology system called the Analytical Framework for Intelligence
(AFI) at the CBP Headquarters in Washington, DC, field offices, and in locations overseas where users are stationed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>1. Persons who are the subject of, related to, or associated with the subject of a finished intelligence product.
</p><p>2. Persons whose information is responsive to a request for information (RFI).
</p><p>3. Persons whose information is maintained in CBP systems described under the "Record Source Categories"
below that are being indexed by AFI, such as:
</p><p>A. Persons, including operators, crew and passengers, who seek to, or do in fact, enter, exit, or transit through the
United States or through other locations where CBP maintains an enforcement or operational presence.
</p><p>B. Crew members traveling on commercial aircraft that fly over the United States.
</p><p>C. Persons who are employed in or who engage in any form of trade, the transit of goods intended to cross the United
States border, or other commercial transaction related to the importation or exportation of merchandise.
</p><p>D. Persons who serve as booking agents, brokers, or other persons who provide information on behalf of persons seeking
to enter, exit, or transit through the United States, or to enter, exit or transit goods through the United States.
</p><p>E. Owners of vehicles that cross the border.
</p><p>F. Persons whose data was received by the Department as the result of a memorandum of understanding or other
information sharing agreement or arrangement because the information is relevant to the border security mission of the
Department.
</p><p>G. Persons who were identified in a narrative report, prepared by an officer or agent, as being related to or
associated with other persons who are alleged to be involved in, who are suspected of, or who have been arrested for
violations of the laws enforced or administered by DHS.
</p><p>H. Persons who are alleged to be involved in, who are suspected of, who have been arrested for, or who are victims of
violations of the laws enforced or administered by DHS.
</p><p>I. Persons with outstanding wants and warrants.
</p><p>J. Persons associated with matches to threshold targeting rules.
</p><p>K. Persons who may pose a national security, border security, or criminal threat to the United States.
</p><p>L. Persons who seek to board an aircraft to travel internationally who have been identified by the Centers for Disease
Control and Prevention (CDC), U.S. Health and Human Services, as "No Boards" because of a highly contagious
communicable disease.
</p><p>M. Persons traveling across U.S. borders or through other locations where CBP maintains an enforcement or operational
presence and who have a nexus to a law enforcement action.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>AFI uses information from a variety of federal and commercial systems. If additional data is ingested and that
additional data does not require amendment of the categories of records in this SORN, the PIA for AFI will be updated to
reflect that information. The updated PIA can be found at <i>www.dhs.gov/privacy.</i> Information from such source
systems is incorporated into AFI’s five general categories of records:
</p><p>(1) <i>Finished intelligence products:</i> Intelligence products refer to tactical, operational, and strategic law
enforcement intelligence products (hereinafter referred to as intelligence products). They include intelligence products
that analysts have created based on their research and analysis of the source data contained in AFI and published in the
system to make available as appropriate throughout CBP and DHS.
</p><p>(2) <i>Requests for information (RFIs) and tasks and responses:</i> This includes requests for information or tasks
(generic requests for work to be performed) that have been submitted through AFI. AFI will also store the responses to
RFIs and those responses will fall in the same category of records as the RFIs unless the AFI analyst determines that a
response should be converted to a finished intelligence product and makes it available more broadly.
</p><p>(3) <i>Projects:</i> This includes projects created in AFI where an analyst can store source data for visualization
and analysis and also share that information with other designated users. Projects may also contain analyst-compiled data
from the source data described below and unfinished intelligence products that have not yet been published.
</p><p>(4) <i>Index data:</i> AFI ingests subsets or portions of data from the CBP and DHS systems described in "Record
Source Categories" and creates an index of the searchable data elements, as described below in "source data.
" This index will indicate which source system records match the search term used, when a response to a query is
compiled.
</p><p>(5) <i>Source data:</i> AFI uses various types of data from CBP systems and other DHS systems as described in the
individual system of records notices noted in "Record Source Categories" below. AFI also uses data from other
federal agency systems and commercial data providers as noted in "Record Source Categories." Data elements
may include but are not limited to:
</p><p>a. Name.
</p><p>b. Alias.
</p><p>c. Addresses.
</p><p>d. Telephone and fax numbers.
</p><p>e. Tax ID number (<i>e.g.,</i> Employer Identification Number (EIN) or Social Security Number (SSN), where available).
</p><p>f. Seizure number.
</p><p>g. Date and place of birth.
</p><p>h. Gender.
</p><p>i. Nationality.
</p><p>j. Citizenship.
</p><p>k. Physical characteristics, including biometrics where available (<i>e.g.,</i> height, weight, race, eye and hair
color, scars, tattoos, marks, fingerprints).
</p><p>l. Familial relationships and other contact information.
</p><p>m. Occupation and employment information.
</p><p>n. Information from documents used to verify the identity of individuals (<i>e.g.,</i> driver’s license, passport,
visa, alien registration, citizenship card, border crossing card, birth certificate, certificate of naturalization, re-
entry permit, military card, trusted traveler cards) including the:
</p><p>i. Type;
</p><p>ii. Number;
</p><p>iii. Date of issuance; and
</p><p>iv. Place of issuance.
</p><p>o. Travel information pertaining to individuals, including:
</p><p>i. Information derived from an Electronic System for Travel Authorization (ESTA) application (where applicable) or I
-94 arrival/departure information, where applicable;
</p><p>ii. Travel itinerary (<i>e.g.,</i> Passenger Name Record (PNR)); Advance Passenger Information System (APIS)
information; and land border records including information submitted in advance of arrival or departure);
</p><p>iii. Date of arrival or departure, and means of conveyance with associated identification (<i>e.g.,</i> Vehicle
Identification Number, year, make, model, registration);
</p><p>iv. Payment information;
</p><p>v. Any admissibility determination; and
</p><p>vi. Law enforcement data associated with an individual which is created by CBP or other government agencies.
</p><p>p. Information pertaining to the importation and exportation of cargo and/or property, including but not limited to
bills of lading, manifests, commodity type, and inspection and examination results
</p><p>q. Identity and geospatial information obtained from commercial systems used to cross reference information contained
in CBP systems
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title II of the Homeland Security Act of 2002 (Pub. L. 107-296), as amended by the Intelligence Reform and
Terrorism Prevention Act of 2004 (Pub. L. 108-458, 118 Stat. 3638); The Tariff Act of 1930, as amended; The
Immigration and Nationality Act ("INA"), 8 U.S.C. 1101, <i>et seq.;</i> the Implementing Recommendations of
the 9/11 Commission Act of 2007 (Pub. L. 110-53); the Antiterrorism and Effective Death Penalty Act of 1996 (Pub.
L. 104-132, 110 Stat. 1214); SAFE Port Act of 2006 (Pub. L. 109-347); Aviation and Transportation Security
Act of 2001 (Pub. L. 107-71); 6 U.S.C. 202.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to enhance DHS’s ability to: Identify, apprehend, and/or prosecute individuals who
pose a potential law enforcement or security risk; aid in the enforcement of the customs and immigration laws, and other
laws enforced by DHS at the border; and enhance United States security.
</p><p>AFI uses data to:
</p><p>(1) Identify individuals, associations, or relationships that may pose a potential law enforcement or security risk,
target cargo that may present a threat, and assist intelligence product users in the field in preventing the illegal
entry of people and goods, or identifying other violations of law;
</p><p>(2) Allow analysts to conduct additional research on persons and/or cargo to understand whether there are patterns or
trends that could identify potential law enforcement or security risks; and
</p><p>(3) Allow finished intelligence product users with a need to know to query or receive relevant finished intelligence
products.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Source data are to be handled consistent with the published system of records notice as noted in "Source
Category Records." Source data that is not part of or incorporated into a finished intelligence product, a response
to an RFI, project, or the index shall not be disclosed out of AFI. The routine uses below apply only to finished
intelligence products, responses to RFIs, projects, and responsive compilations of the index and only as explicitly
stated in each routine use. In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy
Act, all or a portion of the AFI records contained in this system may be disclosed outside DHS as a routine use pursuant
to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>This routine use applies to finished intelligence products, responses to RFIs, projects, and responsive compilations
of the index.
</p><p>B. 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. This routine use applies to finished intelligence
products, responses to RFIs, projects, and responsive compilations of the index.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906 and for records that NARA maintains
as permanent records. This routine use applies to finished intelligence products, responses to RFIs, projects, and
responsive compilations of the index.
</p><p>D. 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. This routine use
applies to finished intelligence products, responses to RFIs, projects, and responsive compilations of the index.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’ efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>This routine use applies to finished intelligence products, responses to RFIs, projects, and responsive compilations
of the index.
</p><p>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 DHS, 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 DHS officers and employees. This routine use
applies to finished intelligence products, responses to RFIs, projects, and responsive compilations of the index.
</p><p>G. To the federal, state, local, tribal, or foreign government agencies or multilateral governmental organizations
that submit an RFI, in order to identify individuals who present a risk to national security or to identify, apprehend,
and/or prosecute individuals who are suspected of violating a law, where DHS has information responsive to the RFI and
has determined that it is appropriate to provide that information in response to the RFI. This routine use applies to all
responses to RFIs.
</p><p>H. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, agreement, or treaty where DHS determines that the information would assist in
the enforcement of civil or criminal laws. This routine use applies only to finished intelligence products.
</p><p>I. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital health interests of a data subject or other persons (<i>e.g.</i> to
assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable
disease or to combat other significant public health threats; appropriate notice will be provided of any identified
health threat or risk). This routine use applies only to finished intelligence products, responses to RFIs, and
responsive compilations of the index.
</p><p>J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or settlement negotiations, or in
response to a subpoena from a court of competent jurisdiction. This routine use applies to all AFI records, which include
finished intelligence products, responses to RFIs, projects, and responsive compilations of the index.
</p><p>K. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information
pertinent to the investigation. This routine use applies only to finished intelligence products.
</p><p>L. To a federal, state, local, tribal, or foreign governmental agency or multilateral governmental organization for
the purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an
individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity
of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose
of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual. This routine use applies only to finished intelligence products and responses to RFIs.
</p><p>M. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations when DHS reasonably believes there to be a threat or potential threat to national or international security
for which the information may be relevant in countering the threat or potential threat. This routine use applies only to
finished intelligence products.
</p><p>N. To a federal, state, tribal, or local agency, or other appropriate entity or individual, or foreign governments, in
order to provide relevant information related to intelligence, counterintelligence, or antiterrorism activities
authorized by U.S. law, Executive Order, or other applicable national security directive. This routine use applies only
to finished intelligence products.
</p><p>O. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or
where the information is relevant and necessary to the protection of life or property. This routine use applies only to
finished intelligence products.
</p><p>P. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant
to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit, or if the information is relevant to a DHS decision concerning the
hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license, grant or other benefit. This routine use applies only
to finished intelligence products.
</p><p>Q. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy. This
routine use applies only to finished intelligence products.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any search term, including name, personal identifier, date, subject matter or other
criteria.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Two principal types of users will access AFI: DHS analysts and DHS
finished intelligence product users. DHS Analysts will use the system to obtain a more comprehensive view of data
available to CBP, and then analyze and interpret that data using the visualization and collaboration tools accessible in
AFI. Finished intelligence product users are officers, agents, and employees of DHS who have been determined to have a
need to know based on their job description and duties. Finished intelligence product users will have more limited access
to AFI, will not have access to the research space or tools, and will only view finished tactical, operational, and
strategic intelligence products that analysts published in AFI. Finished intelligence product users are not able to query
the data from the source systems through AFI. If a finished intelligence product user requires the source data in order
to take action or make a determination, he will be required to go to the source data to ensure that he is receiving the
most accurate data available.
</p><p>Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to
AFI is limited to those individuals who have a need to know the information for the performance of their official duties
and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Source data contained in AFI that has not been incorporated into a finished intelligence product, response to an
RFI, or project will follow the retention schedule set forth in the applicable source data system of records notice, as
noted in "Record Source Categories" below.
</p><p>AFI projects that do not contain PII are retained for 30 years and are then deleted. Projects containing PII must be
recertified annually for up to 30 years or the entire record is purged from the system. Requests for information (RFIs)
and responses to RFIs, excluding finished intelligence products, are retained for 10 years and are then deleted. Finished
intelligence products are retained in accordance with the NARA-approved record retention schedule by first maintaining
the products as active in the system for a period of 20 years, and then transferring the records to the National Archives
for permanent storage and retention. The index is maintained within AFI as a permanent feature. Any changes to source
system records, or the addition or deletion of source system records, will be reflected in corresponding amendments to
the AFI index as the index is routinely updated. Legacy indices that are part of a project, responses to RFI, or finished
intelligence product are maintained as part of those records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Advanced Analytics &amp; Intelligence Systems, Office of Intelligence and Investigative Liaison, U.S.
Customs and Border Protection, Ronald Reagan Building and Director, Targeting and Analysis, Systems Program Office,
Office of Information and Technology, U.S. Customs and Border Protection.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. These exemptions also apply to the extent that
information in this system of records is recompiled or is created from information contained in other systems of records.
To the extent that a record is exempted in a source system, the exemption will continue to apply. However, CBP will
consider individual requests to determine whether or not information may be released. After conferring with the
appropriate component or agency, as applicable, DHS may waive applicable exemptions in appropriate circumstances and
where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which
the information is recompiled or in which it is contained. Additionally, CBP and DHS are not exempting any records that
were ingested or indexed by AFI where the source system of records already provides access and/or amendment under the
Privacy Act. Individuals seeking notification of and access to any record contained in this system of records, or seeking
to contest its content, may submit a request in writing to the Headquarters or CBP’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more
than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief
Privacy Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC
20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA Operations, <i>http://www.dhs.gov</i> or 1-703-235-
0790. In addition you must:
</p><p>&#149; Provide an explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records;
</p><p>&#149; If your request is seeking records pertaining to another living individual, include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>AFI receives records and incorporates portions of records into an index of those records. Records are
incorporated from the following CBP and DHS systems:
</p><p>&#149; ATS (last SORN published at 72 FR 43650 (August 6, 2007));
</p><p>&#149; APIS (last SORN published at 73 FR 68435 (November 18, 2008));
</p><p>&#149; ESTA (last SORN published at 76 FR 67751 (November 2, 2011));
</p><p>&#149; Border Crossing Information (BCI) (last SORN published at 73 FR 43457 (July 25, 2008));
</p><p>&#149; TECS (last SORN published at 73 FR 77778 (December 19, 2008));
</p><p>&#149; Nonimmigrant Information System (NIIS) (last SORN published at 73 FR 77739 (December 19, 2008));
</p><p>&#149; Seized Asset Case Tracking System (SEACATS) (last SORN published at 73 FR 77764 (December 19, 2008));
</p><p>&#149; Department of Homeland Security/All-030 Use of the Terrorist Screening Database System of Records (last
SORN published at 76 FR 39408 (July 6, 2011));
</p><p>&#149; Enterprise Management Information System--Enterprise Data Warehouse (EMIS-EDW), including:
</p><p>a. Arrival and Departure Form (I-94) information from the Nonimmigrant Information System (NIIS) (last SORN
published at 73 FR 77739 (December 19, 2008));
</p><p>b. Currency or Monetary Instruments Report (CMIR) obtained from TECS (last SORN for TECS published at 73 FR 77778
(December 19, 2008));
</p><p>c. Apprehension information and National Security Entry-Exit Program (NSEERS) information from ENFORCE (last SORN
published at 75 FR 23274 (May 3, 2010));
</p><p>d. Seizure information from SEACATS (last SORN published at 73 FR 77764 (December 19, 2008));
</p><p>e. Student and Exchange Visitor Information System (SEVIS) information (last SORN published at 75 FR 412 (January 5,
2010)); and
</p><p>AFI accesses records from the following agencies, but the records are not part of the index:
</p><p>&#149; Department of State;
</p><p>&#149; Department of Justice/FBI;
</p><p>&#149; Department of Treasury; and
</p><p>&#149; Commercial information from commercial data providers and geospatial data providers.
</p><p>Additionally, AFI permits analysts to upload and store any information from any source including public and commercial
sources, which may be relevant to projects, responses to RFIs, or final intelligence products. Accepted requests for
information may come from within or outside DHS where CBP determines it has responsive information and it is consistent
with the purposes of this system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>For index data and source data, as described under Categories of Records, to the extent that a record is exempted
in a source system, the exemption will continue to apply. To the extent there is no exemption for giving access to a
record under the source system, CBP will provide access to the information maintained in AFI.
</p><p>Finished intelligence products, RFIs, tasks, and responses, and projects, as described under Categories of Records,
pursuant to 5 U.S.C. 552a(j)(2) of the Privacy Act, are exempt from the following provisions of the Privacy Act: 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g).
</p><p>Finished intelligence products, RFIs, tasks, and responses, and projects, as described under Categories of Records,
pursuant to 5 U.S.C. 552a(k)(1) and (2), are exempt from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)
(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).</p></xhtmlContent></subsection></section>
<section id="cbp18" toc="yes">
<systemNumber>/CBP-018</systemNumber>
<subsection type="systemName"> </subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, for official use only, law enforcement sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at CBP Headquarters, Washington, DC and field offices in C-TPAT’s Security Link Portal and a CBP
collaborative intranet.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals, including Points of Contact (POC), owners, and others associated with prospective, ineligible, current, or former
C-TPAT business entities; individuals associated with the supply chain of such C-TPAT business entities; and individuals
associated with business entities in foreign governments secure supply chain programs that have been recognized by CBP, through
harmonization, a mutual recognition arrangement, or comparable arrangement, as being compatible with C-TPAT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>At the Application level, information is collected from the applicant about itself and those members of its international supply
chain. Pre-set fields of business-identifying information within the company profile portion of the online application include:
</p><p>&#149; Business Entity Type;
</p><p>&#149; Application Exception Token;
</p><p>&#149; Legal Business Name;
</p><p>&#149; Other Name(s) by which the Business is known (i.e., "Doing Business As"), if applicable;
</p><p>&#149; Business Telephone;
</p><p>&#149; Business Fax;
</p><p>&#149; Business Web site address;
</p><p>&#149; Business history;
</p><p>&#149; Physical Address(es);
</p><p>&#149; Mailing Address(es);
</p><p>&#149; Owner Type: (e.g., Corporation\ Partnership\Sole Proprietor, etc.);
</p><p>&#149; Years in Business;
</p><p>&#149; Number of Employees;
</p><p>&#149; Business Points of Contacts;
</p><p>&#149; First Name;
</p><p>&#149; Last Name;
</p><p>&#149; Title;
</p><p>&#149; Email Address (also used to log in to the Security Link Portal);
</p><p>&#149; Password;
</p><p>&#149; Telephone Number;
</p><p>&#149; Contact Type;
</p><p>&#149; U.S. Social Security Numbers (as volunteered by sole proprietors as their tax identification number);
</p><p>&#149; Internal Revenue Service Business Identification Numbers;
</p><p>&#149; Customs assigned identification numbers (Importers of Record (IOR) number; Manufacturer Identification Numbers (MID)
and Broker/Filer codes, etc.);
</p><p>&#149; Issue Papers, including information regarding whether the applicant is eligible for C-TPAT membership or source
record numbers for such information;
</p><p>&#149; Narrative description of supply chain security procedures for applicant and other entities in applicant’s supply chain;
</p><p>&#149; Validation supporting documentation (e.g., bills of lading; audits--internal &amp; external; proof of background
checks; contractual obligations; via a letter from a senior business partner officer attesting to compliance; statements demonstrating
compliance with C-TPAT security criteria or an equivalent World Customs Organization accredited security program administered by
a foreign customs authority; importer security questionnaire); and
</p><p>&#149; Account Status.
</p><p>Information received from and confirmed to countries with which CBP has a Mutual Recognition Arrangement (MRA) includes:
</p><p>&#149; Legal Business Name;
</p><p>&#149; Other Name(s) by which the Business is known (i.e., "Doing Business As"), if applicable;
</p><p>&#149; Company Type;
</p><p>&#149; Date Partner Certified;
</p><p>&#149; Account Status;
</p><p>&#149; Vetting Status;
</p><p>&#149; Date Validation Completed;
</p><p>&#149; SCSS Name;
</p><p>&#149; Office Assigned Name;
</p><p>&#149; Mutual Recognition Country;
</p><p>&#149; Business identifying numbers, e.g.:
</p><p>&#9675; Standard Carrier Alpha Code (SCAC);
</p><p>&#9675; IOR;
</p><p>&#9675; MID;
</p><p>By Applicant request, information received from, and forwarded to, foreign secure supply chain programs pursuant to a harmonization
program may include, but is not limited to:
</p><p>&#149; Legal Name;
</p><p>&#149; Doing Business As;
</p><p>&#149; Telephone Number;
</p><p>&#149; Fax Number;
</p><p>&#149; Web site;
</p><p>&#149; Owner Type;
</p><p>&#149; Business Start Date;
</p><p>&#149; Number of Employees;
</p><p>&#149; Brief Company History;
</p><p>&#149; Primary Address, Type;
</p><p>&#149; Primary Address, Name;
</p><p>&#149; Primary Address, Country;
</p><p>&#149; Primary Address, Street Address;
</p><p>&#149; Primary Address, City;
</p><p>&#149; Primary Address, State/Province;
</p><p>&#149; Primary Address, Zip/Postal Code;
</p><p>&#149; Mailing Address:
</p><p>&#9675; Type;
</p><p>&#9675; Name;
</p><p>&#9675; Country;
</p><p>&#9675; Street Address;
</p><p>&#9675; City;
</p><p>&#9675; State/Province; and
</p><p>&#9675; Zip/Postal Code.
</p><p>&#149; Primary Contact:
</p><p>&#9675; Email Address;
</p><p>&#9675; Type;
</p><p>&#9675; Salutation;
</p><p>&#9675; First Name;
</p><p>&#9675; Last Name;
</p><p>&#9675; Title; and
</p><p>&#9675; Telephone Number.
</p><p>&#149; Partner Notifications;
</p><p>&#149; Number of Entries;
</p><p>&#149; U.S. Department of Transportation (DOT) Issued Number;
</p><p>&#149; U.S. National Motor Freight Traffic Association Issued;
</p><p>&#149; SCAC;
</p><p>&#149; Dun &amp; Bradstreet Number;
</p><p>&#149; Services Offered;
</p><p>&#149; Driver Sources;
</p><p>&#149; Entries related to harmonization country;
</p><p>&#149; The entire Security Profile (Upon Request):
</p><p>&#9675; Account Number;
</p><p>&#9675; Risking Status;
</p><p>&#9675; MSR Status;
</p><p>&#9675; Validation Type;
</p><p>&#9675; Validation Closed Date;
</p><p>&#9675; Validation Status;
</p><p>&#9675; Validation Type Verification (Government Contact);
</p><p>&#9675; Verification Type Start Date;
</p><p>&#9675; Verification Type: (phone, visit, mutual recognition);
</p><p>&#9675; Verification Visit address;
</p><p>&#9675; Business Type; and
</p><p>&#9675; Harmonization Host Program.
</p><p>&#149; Account Status;
</p><p>&#149; Vetting Status;
</p><p>&#149; Minimum Security Requirements/Security Profile Status;
</p><p>&#149; Validation Status; and
</p><p>&#149; Harmonization Status.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This system and program are authorized by 6 U.S.C. 901 note (Security and Accountability for Every Port Act of 2006 (SAFE Port Act),
including 6 U.S.C. 961-973. Pilot programs enhancing secure supply chain practices related to C-TPAT are also authorized by
Homeland Security Presidential Directive/HSPD-8, "National Preparedness" Section 22 (December 17, 2003).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to verify the identity of C-TPAT partners, determine enrollment level, and provide identifiable
"low risk" entities with fewer random checks and facilitated processing. The information will be cross-referenced with data
maintained in CBP’s other cargo and enforcement databases and will be shared with other law enforcement systems, agencies or foreign
entities, as appropriate, when related to ongoing investigations or operations. Information will be used to analyze, measure, monitor,
report, and enhance business supply chains to permit facilitated processing of C-TPAT partner shipments by CBP.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3). Any disclosure of
information must be made consistent with the official duties of the person making the disclosure. The routine uses are as follows:
</p><p>A. To the Department of Justice (DOJ), including the United States Attorneys Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of
the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity when DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether
maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record,
either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes
criminal, civil, or regulatory violations.
</p><p>H. To appropriate foreign governmental agencies or multilateral governmental organizations pursuant to an arrangement between CBP
and a foreign government or multilateral governmental organization regarding supply chain security.
</p><p>I. To an appropriate federal, state, local, territorial, tribal, or foreign governmental agencies or multilateral governmental
organizations or other appropriate authority or entity when necessary to vet a C-TPAT applicant or validate a C-TPAT
partner.
</p><p>J. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when
DHS reasonably believes there to be a threat or potential threat to national or international security for which the information may be
relevant in countering the threat or potential threat.
</p><p>K. To a federal, state, tribal, or local agency, or other appropriate entity or individual, or foreign governments, in order to
provide relevant information related to intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law,
Executive Order, or other applicable national security directive.
</p><p>L. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to
believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or when the information is
relevant and necessary to the protection of life or property.
</p><p>M. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>N. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant to a requesting
agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant,
or other benefit, or if the information is relevant to a DHS decision concerning the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license,
grant or other benefit.
</p><p>O. To a federal, state, local, tribal, or foreign governmental agency or multilateral governmental organization for the purpose of
consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in connection with
the operations of a DHS component or program; (2) for the purpose of verifying the identity of an individual seeking redress in
connection with the operations of a DHS component or program; or (3) for the purpose of verifying the accuracy of information submitted
by an individual who has requested such redress on behalf of another individual.
</p><p>P. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the
purpose of protecting the vital health interests of a data subject or other persons (e.g., to assist such agencies or organizations in
preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats;
appropriate notice will be provided of any identified health threat or risk).
</p><p>Q. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists
a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the
integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system,
except to the extent it is determined that release of the specific information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the information listed in the categories of records above.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to
know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>CBP is proposing the following retention schedule to the National Archives and Records Administration (NARA): Information stored in
C-TPAT will be retained for the period during which the application is pending decision by CBP and for the period of active
membership of the business entity, plus five years. Where information regarding the possible ineligibility of an applicant for
C-TPAT membership is found, it will be retained in the C-TPAT system for an additional 25 years to assist with future
vetting, or consistent with the applicable retention period for the System of Records from which such information was derived,
whichever is longer.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>C-TPAT Director, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW., Washington, DC 20229; (202) 344-2619.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The C-TPAT Security Link Portal provides access to the information an applicant or partner submitted. The C-TPAT partner
interface allows participants to access and change the information they have provided at any time by accessing their business
identifying information and C-TPAT profile through secure login procedures. C-TPAT Partners access the C-TPAT
Security Link Portal via <i>https://ctpat.cbp.dhs.gov</i>.
</p><p>Through the Security Link Portal, C-TPAT partners have a direct messaging option where they may communicate with their
assigned SCSS if they believe CBP has acted upon inaccurate or erroneously provided information. If this method is unsuccessful and
C-TPAT facilitated processing is denied or removed, within 30 days of notification the entity may make written inquiry regarding
such denial or removal. The applicant should provide as much identifying information as possible regarding the business, in order to
identify the record at issue. C-TPAT participants may provide CBP with additional information to ensure that the information
maintained by CBP is accurate and complete. The submitter will receive a written response to each inquiry. If C-TPAT partnership
is suspended or removed, the business may appeal this decision to CBP HQ, to the attention of the Executive Director, C-TPAT
Program Division: Executive Director, Cargo and Conveyance Security, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW.,
Room 2.2A, Washington, DC 20229.
</p><p>The Secretary of Homeland Security has exempted portions of this system from the notification, access, and amendment procedures of
the Privacy Act because it is a law enforcement system. However, DHS/CBP will consider individual requests to determine whether or not
information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or
seeking to contest its content, may submit a request in writing to the Headquarters or component’s FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one
component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and
Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655,
Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide
your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized
or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization.
While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of
Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the
following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive
records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the business; from CBP systems including, but not limited to, TECS, the Automated Targeting System (ATS),
the Automated Commercial System (ACS); and from public sources. Information is also collected by the SCSS from the C-TPAT
applicant and other businesses during the course of validating the business’s supply chain and from foreign governments and
multilateral governmental organizations with which CBP has entered into MRAs or other arrangements.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to information requested from and provided by the C-TPAT applicant including, but
not limited to, company profile, supply chain information, and other information provided during the application and validation
process. CBP will not assert any exemptions for an individual’s application data and final membership determination in response to a
request from that individual. However, the Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all
routines uses. Disclosing the fact that a law enforcement agency has sought particular records may affect ongoing law enforcement
activities. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from sections (c)(3), (e)(8), and (g) of the Privacy Act
of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS will claim exemption from section (c)(3)
of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to protect this information.
</p><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, all other C-TPAT data, including information regarding the
possible ineligibility of an applicant for C-TPAT membership discovered during the vetting process and any resulting issue
papers, are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8);
(f); and (g). Pursuant to 5 U.S.C. 552a(k)(2), information regarding the possible ineligibility of an applicant for C-TPAT
membership discovered during the vetting process and any resulting issue papers are exempt from 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)
(4)(G), (e)(4)(H),(e)(4)(I); and (f). In addition, to the extent a record contains information from other exempt systems of records,
CBP will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="cbp19" toc="yes">
<systemNumber>/CBP-019</systemNumber>
<subsection type="systemName">DHS/U.S. Customs and Border Protection--019 Air and Marine Operations Surveillance System (AMOSS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, and law enforcement sensitive. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Air and Marine Operations Center (AMOC) in Riverside, California.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>AMOSS contains information on aircraft owners who have registered their aircraft with the Federal Aviation
Administration (FAA), as well as airport managers. AMOSS contains information about individuals suspected of
violating the law or presenting a threat to the United States. AMOSS also contains information about
individuals mentioned in tips from members of the public who call in to report suspicious activity to a tip
line or from law enforcement, as well as contact information for those members of the public or law
enforcement.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records in AMOSS are comprised of the following information:
</p><p>FAA DATA:
</p><p>&#149; Aircraft registration (ownership) information on U.S. registered aircraft, including registrant
name and address, aircraft type, and aircraft identification numbers;
</p><p>&#149; Airport information, including manager name and contact information;
</p><p>&#149; Runway information;
</p><p>&#149; Flight plan/route information;
</p><p>&#149; Special use airspace identification; and
</p><p>&#149; Navigation aids identification.
</p><p>EVENT AND OPERATIONS DATA:
</p><p>&#149; Watch log records of operational activities on the floor of the AMOC;
</p><p>&#149; Event tracking log information on suspects, including: Names, addresses, phone numbers, drivers
licenses, Social Security Numbers, TECS case numbers, information identifying conveyances (including vehicle
type, tail numbers, license plate numbers, etc.) and remarks by Detection Enforcement Officers (DEO);
</p><p>&#149; Event tracking log information on members of the public who call in to a tip line, including:
Names, and phone numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The collection of information in AMOSS is authorized by the following authorities: 6 U.S.C. 202; the Tariff
Act of 1930, as amended, including 19 U.S.C. 1590; 19 U.S.C. 2075(b)(2)(B)(3); the Immigration and Nationality
Act ("INA"), 8 U.S.C. 1101, <i>et seq.,</i> including 8 U.S.C. 1103, 1225, and 1324; the
Illegal Immigration Reform and Immigrant Responsibility Act of 1996, Public Law 104-208, Division C;
Presidential Directive 47/Homeland Security Presidential Directive 16 (NSPD-47/HSPD-16); and DHS
Delegation No. 7010.3 (May 11, 2006).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in AMOSS is used to assist CBP in identifying aircraft, vessels, or vehicles illegally entering
or attempting to enter the United States, making suspicious movements, or otherwise participating in the
smuggling or transshipment of narcotics, illegal contraband, illegal aliens, illegal currency, terrorist
activities, or other suspected or confirmed violations of U.S. customs and/or immigration laws. Information in
AMOSS is also used to assist other foreign, federal, state, and local agencies for law enforcement and general
aviation security purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting
litigation or in proceedings before any court, adjudicative, or administrative body, when it is relevant or
necessary to the litigation and one of the following is a party to the litigation or has an interest in such
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity when DOJ or DHS has agreed to
represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to
records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity
theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or
integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity)
that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm.
</p><p>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 DHS, 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 DHS officers
and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing
a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information,
indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations
and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To federal and foreign government intelligence or counterterrorism agencies or components when DHS
becomes aware of an indication of a threat or potential threat to national or international security, or to
assist in anti-terrorism efforts.
</p><p>I. To an organization or person in either the public or private sector, either foreign or domestic, when
there is a reason to believe that the recipient is or could become the target of a particular terrorist
activity or conspiracy, or when the information is relevant to the protection of life, property, or other vital
interests of a person.
</p><p>J. To third parties during the course of a law enforcement investigation to the extent necessary to obtain
information pertinent to the investigation.
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or
settlement negotiations, or in response to a subpoena from a court of competent jurisdiction.
</p><p>L. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral
governmental organizations when CBP is aware of a need to use relevant data for purposes of testing new
technology and systems designed to enhance border security or identify other violations of law.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with
counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure
is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability
of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that
release of the specific information in the context of a particular case would constitute an unwarranted
invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind
a locked door. The records are stored on magnetic disc, tape, digital media and DVD/CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name or other (alphanumeric) personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize
the risk of compromising the information that is being stored. Access to the computer system containing the
records in this system is limited to those individuals who have a need to know the information for the
performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>CBP has established a 15-year retention schedule beginning on the last date of the record entry or update,
and plans to submit this schedule to NARA for approval.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Information Systems, U.S. Customs and Border Protection, Office of Air and Marine, Air and Marine
Operations Center, Riverside, California.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted portions of AMOSS from the notification, access, and
amendment procedures of the Privacy Act because it is a law enforcement system. CBP will, however, consider
individual requests to determine whether or not information may be released. Moreover, no exemption shall be
asserted with respect to information maintained in the system as it relates to aircraft data collected from the
FAA, aside from the accounting of disclosures with law enforcement and/or intelligence agencies pursuant to the
routine uses in this SORN. Thus, individuals seeking notification of and access to any record contained in this
system of records, or seeking to contest its content, may submit a request in writing to the CBP FOIA Officer,
whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
If an individual believes more than one component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records
your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify
your identity, meaning that you must provide your full name, current address, and date and place of birth. You
must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law
that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific
form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of
Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you
should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component
agency may have responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your
request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records containing PII are obtained from the following sources:
</p><p>(1) Aircraft registration and owner information from the publicly available FAA Registration Database;
</p><p>(2) Airport manager contact information, which is contained in a larger download of airport and aeronautical
navigation data obtained from the FAA National Flight Data Center;
</p><p>(3) Suspect information entered into the AMOC watch or event track logs received from other CBP personnel or
law enforcement agencies; and
</p><p>(4) Information from members of the public who call in to report suspicious activity to a tip line.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption shall be asserted with respect to aircraft data collected from the FAA that is maintained in
AMOSS. However, this FAA data may be shared with law enforcement and/or intelligence agencies pursuant to the
above routine uses. The Privacy Act requires DHS maintain an accounting of the disclosures made pursuant to all
routine uses. Disclosing the fact that a law enforcement or intelligence agency has sought particular records
may affect ongoing law enforcement or intelligence activity. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will
claim an exemption from subsections (c)(3); (e)(8); and (g)(1) of the Privacy Act of 1974, as amended, as is
necessary and appropriate to protect this information. Further, DHS will claim exemption from subsection (c)(3)
of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to
protect this information.
</p><p>The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(j)(2), has exempted all other AMOSS data (non-
FAA source data) from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1),
(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), and (e)(8); (f); and (g). Additionally, the Secretary
of Homeland Security, pursuant to 5 U.S.C. 552a(k)(2), has exempted this non-FAA source data in AMOSS from the
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and
(f). When a record received from another system has been exempted in that source system under 5 U.S.C. 552a(j)
(2), DHS will claim the same exemptions for those records that are claimed for the original primary systems of
records from which they originated and claims any additional exemptions set forth here.
</p></xhtmlContent></subsection></section>
<section id="uscg1" toc="yes">
<systemNumber>/USCG-001</systemNumber>
<subsection type="systemName">Maritime Awareness Global Network (MAGNET).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The computer database is located at U.S. Coast Guard Intelligence Coordination Center, Department of Homeland
Security, National Maritime Intelligence Center, Washington, DC 20395. A redundant capability for continuity of operation
in the event of a primary system failure is located at the Coast Guard Operations System Center, Martinsburg, West
Virginia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>1. Individuals, who are U.S. citizens, lawful permanent residents, and non-citizens, associated with vessels,
facilities, companies, organizations, and ports involved in the maritime sector.
</p><p>2. Individuals identified through observation by and interaction with Coast Guard personnel during Coast Guard
operations that include but not limited to boarding of vessels, conducting aircraft over-flights, and through Field
Intelligence Support team (FIST) sightings and reports.
</p><p>3. Individuals identified during Coast Guard enforcement actions as violating, suspected of violating, or witnessing
the violations of United States (U.S.) laws, international laws, or treaties.
</p><p>4. Individuals associated with vessels or other individuals that are known, suspected, or alleged to be involved in
contraband trafficking, illegal migrant activity (smuggling, trafficking, and otherwise), or terrorist activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>1. <i>Information related to:</i> Individuals associated with vessels, companies, organizations, and ports
involved in the maritime sector and this information may include: Name, nationality, address, telephone number, and
taxpayer or other identification number; date of birth, relationship to vessels and facilities; the individuals’
relationship to other individuals, companies, government agencies, and organizations in MAGNET; individuals involved with
pollution incidents, and violations of laws and international treaties; and casualties.
</p><p>2. Information on individuals who are associated with vessels involved in contraband trafficking, illegal migrant
activity (smuggling, trafficking, and otherwise), or any other unlawful act within the maritime sector, and with other
individuals who are known, suspected, or alleged to be involved in contraband trafficking, illegal migrant activity
(smuggling, trafficking, and otherwise), terrorist activities, or any other unlawful act within the maritime sector.
</p><p>3. Information on individuals, companies, vessels, or entities associated with the maritime industry to include:
vessel owners, vessel operators, vessel characteristics, crewmen, passengers, facility owners, facility managers,
facility employees or any other individuals affiliated with the maritime community. In addition to information on
individuals, commodities handled, equipment, location, certificates, approvals, inspection data, pollution incidents,
casualties, and violations of all laws and international treaties may also be included.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Records Act of 1950, Title 44 U.S.C. 3101; Title 36, Code of Federal Regulations, chapter XII; The
Maritime Transportation Security Act of 2002, Pub L. 107-295 The Homeland Security Act of 2002, Pub L. 107-
296; 5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C. 3717; 46 U.S.C. 12501; 33 U.S.C. 1223.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>MAGNET will assist DHS and the United States Coast Guard in performing its mission of protecting the United
States against potential terrorist threats and respond to natural and man-made disaster by providing Maritime Domain
Awareness. MAGNET has been established to enable the United States Coast Guard and various United States Government
agencies or military services/commands from the Law Enforcement and Intelligence Communities to share multi-source
maritime information that will assist them in the performance of their missions. Most recently these missions have been
expanded and are enumerated through National Security Presidential Directive NSPD 41 and Homeland Security Presidential
Directive HSPD-13 and other federal instruction.
</p><p>MAGNET will provide MDA to the field as well as to USCG strategic planners by aggregating data from existing sources
internal and external to the Coast Guard or DHS. MAGNET will organize and provide the mechanism to display information
such as ship registry, current ship position, crew background, passenger lists, port history, cargo, known criminal
vessels, and suspect lists as such information is collected from various sources.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>MAGNET Records may be disclosed to the following:
</p><p>A. To U.S. Department of Defense and related entities including, but not limited to, the Military Sealift Command and
the U.S. Navy, to provide safety and security information on vessels chartered or operated by those agencies.
</p><p>B. To a Federal State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>C. To the National Transportation Safety Board and its related State counterparts for safety investigation and
transportation safety.
</p><p>D. To the International Maritime Organization (IMO) or intergovernmental organizations, nongovernmental organizations,
or foreign governments in order to conduct joint investigations, operations, and inspections.
</p><p>E. To Federal, State, or local agencies with which the Coast Guard has a Memorandum of Understanding (MOU), Memorandum
of Agreement (MOA), or Inspection and Certification Agreement (ICA) pertaining to marine safety, maritime security,
maritime intelligence, maritime law enforcement, and marine environmental protection activities.
</p><p>F. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p><p>G. 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.
</p><p>H. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>I. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>J. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when: (a) DHS or any component thereof, or (b) any employee of DHS in his/her
official capacity, or (c) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest in such
litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such
records is compatible with the purpose for which DHS collected the records.
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena.
</p><p>L. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>M. To appropriate Federal, state, local, tribal, foreign governmental agencies, multilateral governmental
organizations, and non-governmental or private organizations for the purpose of protecting the vital interests of a data
subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of
a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be
provided of any identified health threat or risk.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored in electronic form in an automated data processing (ADP) system operated and
maintained by the U.S. Coast Guard. Backups are performed daily. Copies of backups are stored at an offsite location.
Personal, Sensitive but Unclassified (SBU), Unclassified, and classified data and records reside commingled with each
other. Classified and non-classified information from member agencies and other sources may be merged into a classified
domain within this data base.
</p><p>Classified information, downloaded from the host and then extracted from the personal computer (PC) workstations and
recorded on paper or electronic media, will be stored at user sites in appropriately classified storage containers or on
secured electronic media.
</p><p>Unclassified information will be stored in accordance with each user sites’ handling procedures. Unclassified
information derived from MAGNET remains U.S. Coast Guard information and is For Official Use Only. Determinations by any
user to further disseminate, in any form, MAGNET derived information to other entities or agencies, foreign or domestic,
must include prior authorization from the executive agent.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name (individual, company, government agency or organization), boat registration number,
documented vessel name/number, Social Security Number, drivers license number, foreign ID number, passport number, VISA
number military ID number, USCG license number, resident alien number, Merchant Mariners License number, or Merchant
Mariner documentation number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies, including the
DHS Information Technology Security Program Handbook. All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized
personnel who have a need-to-know, using locks, and password protection identification features. DHS file areas are
locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p><p>MAGNET falls under the security guidelines of the National Maritime Intelligence Center and has its own approved
System Security Plan which provides that:
</p><p>All classified MAGNET equipment, records and storage devices are located within facilities or stored in containers
approved for the storage of all levels of classified information.
</p><p>All statutory and regulatory requirements pertinent to classified and unclassified information have been identified in
the MAGNET System Security Plan and have been implemented, and
</p><p>Access to records requiring TOP SECRET level is limited strictly to personnel with TOP SECRET or higher level
clearances and who have been determined to have the appropriate "need to know."
</p><p>Access to records requiring SECRET level is limited strictly to personnel with SECRET or higher level clearances and
who have been determined to have the appropriate "need to know".
</p><p>Access to records requiring CONFIDENTIAL level is limited strictly to personnel with CONFIDENTIAL or higher level
clearances and who have been determined to have the appropriate "need to know".
</p><p>Access to any classified records is restricted by login and password protection. The scope of access to any records
via login and password is further limited based on the official need of each individual authorized access. The U.S. Coast
Guard will take precautions in accordance with OMB Circular A-130, Appendix III.
</p><p>The U.S. Coast Guard will operate MAGNET in consonance with Federal security regulations, policy, procedures,
standards and guidance for implementing the Automated Information Systems Security Program. Specific operating rules to
ensure compliance with national policy are reflected in each site’s Standard Operating Procedures. These rules include
specifications that accesses to records containing information on U.S. persons are as follows:
</p><p>Only authorized personnel may access such records.
</p><p>MAGNET transactions that include Privacy Act and Classified data require an active pre-screened account, username and
password and have a unique identifier to differentiate them from other MAGNET transactions. This allows for additional
oversight and audit capabilities to ensure that the data are being handled consistent with all applicable federal laws
and regulations regarding privacy and data integrity.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Dynamic information on vessel position(s) and movement(s) will be stored for not more than ten (10) years but may
be reduced in detail to comply with media storage procedures and requirements. Other information such as characteristics,
identification status and associate records is updated to remain current and is retained for twenty (20) years. The
requirements supporting the collection and storage of data are reviewed regularly. Records will be kept accessible online
for three (3) years then archived offline within MAGNET to support ongoing investigations or law enforcement activities.
</p><p>Audit records, maintained to document access to information relating to specific individuals, are maintained for five
(5) years or the life of the MAGNET whichever is longer. Access to audit records will only be granted to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Homeland Security United States Coast Guard (MAGNET Executive Agent), Intelligence Directorate,
Office of ISR (CG-26), 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsections (j)(2) and (k)(1) and (2) of the Privacy Act.
Nonetheless, DHS will examine each separate request on a case-by-case basis, and, after conferring with the appropriate
component or agency, may waive applicable exemptions in appropriate circumstances and where it would not appear to
interfere with or adversely affect the law enforcement or national security purposes of the systems from which the
information is recompiled or in which it is contained.
</p><p>To determine whether this system contains records relating to you, write to the System Manager identified above. Your
written request should include your name and mailing address. You may also provide any additional information that will
assist in determining if there is a record relating to you if applicable, such as your Merchant Mariner License or
document number, the name and identifying number (documentation number, state registration number, Social Security
Number, International Maritime Organization (IMO) number, etc.) of any vessel with which you have been associated and the
name and address of any facility (including platforms, bridges, deep water ports, marinas, terminals and factories) with
which you have been associated. The request must be signed by the individual, or his/her legal representative, and must
be notarized to certify the identity of the requesting individual pursuant to 28 U.S.C. 1746 (unsworn declarations under
penalty of perjury). Submit a written request identifying the record system and the category and types of records sought
to the Executive Agent.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsections (j)(2) and (k)(1) and (2) of the Privacy Act.
Nonetheless, DHS will examine each separate request on a case-by-case basis, and, after conferring with the appropriate
component or agency, may waive applicable exemptions in appropriate circumstances and where it would not appear to
interfere with or adversely affect the law enforcement or national security purposes of the systems from which the
information is recompiled or in which it is contained.
</p><p>Write the System Manager at the address given above in accordance with the "Notification Procedure".
Provide your full name and a description of the information you seek, including the time frame during which the record(s)
may have been generated. Individuals requesting access to their own records must comply with DHS’s Privacy Act regulation
on verification of identity (6 CFR 5.21(d)). Further information may also be found at <i>http://www.dhs.gov/foia.</i>
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsections (j)(2) and (k)(1) and (2) of the Privacy Act.
A request to amend non-exempt records in this system may be made by writing to the System Manager, identified above, in
conformance with 6 CFR Part 5, Subpart B, which provides the rules for requesting access to Privacy Act records
maintained by DHS.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in MAGNET is gathered from a variety of sources both internal and external to the Coast
Guard. Source information may come from sensors, inspections, boardings, investigations, documentation offices, vessel
notice of arrival reports, owners, operators, crew members, agents, passengers, witnesses, employees, U.S. Coast Guard
personnel, law enforcement notices, commercial sources, as well as other federal, state, local and international agencies
who are related to the maritime sector and/or national security sector.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The records and information in this system are exempt from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (d)(2), (d)(3),
(d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (e)(12), (f), and (g) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2). A Notice of Proposed Rulemaking for exempting this record system has
been promulgated in accordance with the requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c), and (e) and is being
published [in 6 CFR part 5] concurrently with publication of this Notice Establishing a New Systems of Records in the <i>
Federal Register</i>.
</p></xhtmlContent></subsection></section>
<section id="uscg2" toc="yes">
<systemNumber>/USCG-002</systemNumber>
<subsection type="systemName">United States Coast Guard Employee Assistance Program Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Employee Assistance Program case records are maintained by the USCG’s vendor for the Employee Assistance Program.
USCG Headquarters (CG-1112) is the point of contact for access to these records. Reports of USCG active duty
suicidal behavior, work place violence incidents, critical incidents, and sexual assault reports are maintained at USCG
Headquarters by the Office of Work-Life (CG-1112). All other USCG records under this system are located at Work-
Life Offices in Washington, DC and field locations. USCG Headquarters (CG-1112) is the point of contact for access
to these records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All USCG active duty, reserve, and retired active duty and reserve military personnel and their eligible
dependants/individuals who have been referred for assistance or counseling, are being assisted or counseled, or have been
assisted or counseled by the USCG Employee Assistance Program. Eligibility will vary based on status.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Military personnel’s name;
</p><p>&#149; Eligible dependent/individual’s name, if applicable;
</p><p>&#149; Social Security number;
</p><p>&#149; Employee identification number;
</p><p>&#149; Date of birth;
</p><p>&#149; Addresses;
</p><p>&#149; E-mail address;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Job-related information including: job title, rank, duty station, supervisor’s name and telephone number,
documents received from supervisors or personnel regarding work place problems or performance, leave and attendance
records, and workplace-related recommendations made to supervisors as a result of a team meeting;
</p><p>&#149; Counseling and intervention-related information including: notes and documentation of Employee Assistance
Program counselors; records of treatment, including non-clinical educational interventions; counseling referrals; team
reports; records of employee attendance at treatment and counseling programs; prognosis of individuals in treatment or
counseling programs; insurance data; addresses and contact information of treatment facilities; name and address of
individuals providing treatment or counseling or intervention; and Privacy Act notification forms and written consent
forms;
</p><p>&#149; USCG Workplace Violence and related Critical Incident Team records of the Workplace Violence Prevention
Program, maintained by USCG Work-Life personnel. These records may include written reports and recommendations to
leadership personnel regarding alleged work place violence incidents;
</p><p>&#149; USCG Critical Incident Stress Management-related records which may include descriptions of incidents,
consultations, interventions, and may contain personally-identifying information (for the purpose of follow-on contacts
with those thought to be impacted by the critical incident).
</p><p>&#149; USCG Sexual Assault Prevention and Response Program case records maintained by USCG Work-Life personnel.
These records are used to facilitate services for victims and their family members as appropriate. In addition to
information cited above these records may contain Victim Reporting Preference Statement, case notes and safety plan.
Record may also contain descriptions of alleged assaults;
</p><p>&#149; USCG Victim Support Person or Victim Advocate maintained by USCG Work-Life personnel. These are maintained
in conjunction with efforts to provide assistance to victims of crime. Record will contain signed Victim Support Person
or Victim Advocate Statement of Understanding and Victim Support Person or Victim Advocate Supervisor Statement of
Understanding, assignment information, and notes regarding results of screening interview, relevant training received,
and any other information relevant to the Victim Support Person’s or Victim Advocate’s provision of support services to
victims;
</p><p>&#149; USCG Critical Incident Stress Management Peer Volunteers maintained by USCG Work-Life personnel. These
records contain statement of understanding, notes regarding screening interview, record of related training received and
any other information relevant to the peer’s provision of services when deployed after a critical incident;
</p><p>&#149; Case records maintained by USCG Work-Life personnel on USCG Active Duty members who have demonstrated
suicidal behavior. The purpose of these records is to facilitate continuity of care for personnel who have exhibited
suicidal behavior. These records will contain reports regarding each incident and follow-up case notes;
</p><p>&#149; Reports of USCG active duty suicidal behavior incidents, work place violence incidents, critical
incidents, and sexual assaults are maintained by USCG Headquarters (CG-1112). These reports are received from Work-
Life Offices who are responsible for providing services for the related programs described above. Their purpose is to
ensure continuity of care and to identify any systemic issues found in aggregate data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Pub. L. 107-296, 6 U.S.C. 121; Federal Records Act, 44 U.S.C. 3101; 6
CFR part 5; 5 U.S.C. app. 3; 5 U.S.C. 301 and Ch. 41; Executive Order 11348, as amended by Executive Order 12107; and
Executive Order 9397. 5 U.S.C. 7361, 7362, 7901, 7904.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Employee Assistance Program will maintain information gathered by and in the possession of USCG Employee
Assistance Program, an internal agency program designed to assist employees of USCG and, in certain instances, their
eligible dependants/individuals, in regard to a variety of personal and/or work related problems. The program involves
counseling, educational, and consultative services provided through the internal and external Employee Assistance Program
for alcohol, drug, emotional, or behavioral problems, and addresses mandatory and voluntary counseling following exposure
to a traumatic incident, responses to critical incidents that impact employees, and workplace incidents involving actual
violence or the threat of violence and necessary follow up.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of substance abuse records is limited to the parameters set forth in 42 U.S.C. 290dd, 290ee, and
Public Law 100-71, Section 503(e). Accordingly, a Federal employee’s substance abuse records may not be disclosed
without the prior written consent of the employee, unless the disclosure would be one of the following:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by the Department or another agency or entity) or harm to the individual who
relies upon the compromised information;
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>C. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>D. To appropriate State and local authorities to report, under State law, incidents of suspected child abuse or
neglect to the extent described under 42 CFR 2.12.
</p><p>E. To any person or entity to the extent necessary to prevent an imminent and potential crime which directly threatens
loss of life or serious bodily injury.
</p><p>F. To report to appropriate authorities when an individual is potentially at risk to harm himself or herself or
others.
</p><p>G. To medical personnel to the extent necessary to meet a bona fide medical emergency;
</p><p>H. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or
program evaluation provided that employees are individually identified;
</p><p>I. To the employee’s medical review official;
</p><p>J. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment
or is otherwise participating;
</p><p>K. To any supervisory or management official within the employee’s agency having authority to take adverse personnel
action against such employee; or
</p><p>L. Pursuant to the order of a court of competent jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action. <i>See</i> 42 U.S.C. 290dd, 290ee, and Public Law 100-
71, Section 503(e).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by a Military personnel’s, eligible dependant’s/individual’s name. USCG Critical Incident
Stress Management-related records are filed by unit name and are not be retrievable by individual name, rather, by unit
name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed in accordance with National Archives and Records Administration approved
agency Records Schedule, SSIC 1754, item 1 (AUTH: N1-026-07-1, Item1) Employee Assistance Program (EAP)
Coordinator Case Records; if not disclosed under the Privacy Act, records are retained for three years after the client
has ceased contact and then destroyed.
</p><p>Employee Assistance Program client records may contain Department of Transportation-required Substance Abuse
evaluations and USCG Sexual Abuse Prevention and Response Program client records; if not disclosed under the Privacy Act,
these are destroyed with the EAP Coordinator case records three years after the last contact with the client.
</p><p>Employee Assistance Program Coordinator Case Records that are disclosed are retained until five years after the client
has ceased contact or, if later, for five years after last disclosure of information from the record, as authorized by
General Records Schedule 14, item 23.
</p><p>All records will be retained beyond their normal maintenance period until any pending litigation is completed. This
will be true whether or not the client has terminated employment with DHS/USCG. Individual states may require longer
retention. The rules in this system notice should not be construed to authorize any violation of such state laws that
have greater restrictions.
</p><p>Files will be destroyed only after the required period of maintenance, with a witness present, by either (1) an DHS or
USCG Employee Assistance Program Administrator or an Employee Assistance Program Administrator from another organization
that contracts with DHS or USCG for Employee Assistance Program services, or (2) by designated staff of a private or
governmental organization under contract with DHS or USCG to provide document destruction services. The witness must be
trained in the proper handling of records covered by the Privacy Act and 42 CFR part 2.
</p><p>Written records will be destroyed by shredding or burning. Records stored on hard drives will be destroyed using
software tools which ensure the protection of the confidential information by making reconstruction or compromise by
reuse impracticable. Records contained on back-up tapes/diskettes will be disposed by either physically destroying the
tapes/diskettes or by deleting them using software tools which ensure the protection of the confidential information by
making reconstruction or compromise by reuse impracticable.
</p><p>Records located away from the destruction site shall be transferred to the destruction site in the confidential
manner. No other information about Employee Assistance Program clients may be maintained once these files have been
destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-1112, Office of Work-Life, United States Coast Guard Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commandant, CG-1112, Office of Work-Life, United States
Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are retained from the following sources:
</p><p>&#149; USCG Employee Assistance Program: the client, the licensed mental health provider, and collateral sources
and resources intended to help the client.
</p><p>&#149; USCG Workplace Violence and related Critical Incident Team: investigation records, personnel records,
critical incident team assembled to make recommendations to command, subject’s supervisors, and the subject.
</p><p>&#149; USCG Critical Incident Stress Management-related records: Work-Life staff, Peers, Incident commander,
command(s) affected, individuals impacted by incident, other support persons who may be mobilized to assist those
impacted by the event.
</p><p>&#149; USCG Sexual Assault Prevention and Response Program: victim, victim support person, medical personnel
assisting victim, criminal investigations and investigators, and other support personnel intended to assist victim.
</p><p>&#149; USCG Victim Support Persons (VSP): the victim support person, Work-Life staff, VSP’s or Victim Advocate’s
work supervisor, other support persons who may assist in training.
</p><p>&#149; USCG Critical Incident Stress Management Peer Volunteers: Peer, Peer’s supervisor, Work-Life staff, and
other support persons who may assist in training.
</p><p>&#149; Case records maintained by USCG Work-Life personnel on USCG Duty members who have demonstrated suicidal
behavior: the patient, medical personnel, patient’s command, and Work-Life staff and other support persons who may assist
in helping the patient.
</p><p>&#149; Reports of USCG active duty suicidal behavior incidents, work place violence incidents, critical
incidents, and sexual assaults maintained by USCG Headquarters (CG-1112): Work-Life staff and others as described
above under their related programs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg6" toc="yes">
<systemNumber>/USCG-006</systemNumber>
<subsection type="systemName">Great Lakes Registered Pilot and Applicant Pilot Eligibility Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at USCG Headquarters in the Waterways Management Office, Great Lakes Pilotage Branch, (CG
-54122) in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All United States Great Lakes registered pilots who are qualified to perform pilotage duties aboard foreign trade
vessels on the Great Lakes; those individuals seeking selection as an applicant pilot on the Great Lakes records; and
those individuals whose applications were rejected as a pilot on the Great Lakes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system include:
</p><p>&#149; Pilot’s full name, home address, social security number, date and place of birth, height, weight, color of
eyes and hair, citizenship, photograph.
</p><p>&#149; Application for registration;
</p><p>&#149; Renewal of registration;
</p><p>&#149; Annual report of physical examination and drug testing;
</p><p>&#149; Coast Guard license and merchant mariner document data;
</p><p>&#149; Examination and test results for registration; and
</p><p>&#149; Sea service record and other related documentation provided by the pilot or applicant.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 632; the Federal Records Act, 44 U.S.C. 3101; 49 CFR 1.45, 1.46; 46 U.S.C. 9301-
9308.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to assist USCG in meeting its statutory obligation to establish, regulate, and
oversee the operations of a pilotage system on the Great Lakes and to maintain records of individuals who are registered
as Great Lakes pilots to perform pilotage duties aboard foreign trade vessels on the Great Lakes and to maintain
applications of mariners seeking registration as a Great Lakes pilot.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To assist training program needs, retirements, statistical compilations, and negotiations with Canadian authorities
to assure equitable participation by U.S. registered pilots with Canadian registered pilots.
</p><p>I. To an appropriate Federal, state, local, tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other
benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the
request.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and pilot registration number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are Destroyed 6 years after the individual’s license expires, upon death of the individual or when the
individual turns 70 years old, whichever is sooner. (AUTH: N1-26-05-2, Item 1)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-54122, Chief, Pilotage Branch, United States Coast Guard Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commandant, CG-54122, Chief, Great Lakes Pilotage Branch,
United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition, you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual’s original application for U.S. pilot’s registration and individual’s yearly report of medical
examination.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg7" toc="yes">
<systemNumber>/USCG-007</systemNumber>
<subsection type="systemName">United States Coast Guard Special Needs Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at USCG Headquarters in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Coast Guard active duty, reserve, retired active duty, retired reserve, and civilian personnel and their eligible
dependents who have a long-term physical or mental chronic condition that substantially limits one or more of the major
life activities of an individual including professionally diagnosed medical, physical, psychological, and/or educational
disabilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Military or civilian personnel’s name;
</p><p>&#149; Eligible dependent’s name and birth date;
</p><p>&#149; Service member’s, civilian’s or eligible dependents home address, phone numbers, and email information;
</p><p>&#149; Identification number (EMPLID); social security numbers of the service member or civilian personnel are
currently in the case records (we will no longer be asking for those in the new policy, but the numbers will still be in
all of the old files);
</p><p>&#149; Eligible dependent’s diagnosed special need, including copies of medical, educational, and psychological
reports, enrollment forms, correspondence and follow-up, and any other data relevant to the dependent’s individual
special needs’ program files; and
</p><p>&#149; Benefits, including case management activities, and supports and services received related to the special
need.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Public Law 107-296, Federal Records Act, 44 U.S.C. 3101; 6 CFR part 5; 5
U.S.C. 301, and COMNDTINST 1754.7 (series).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer special needs requests of USCG military and civilian personnel to
coordinate the special needs program’s medical care, mental health treatment, and to provide case management for USCG
military and civilian personnel and eligible dependants with special needs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>This system of records contains individually identifiable health information. The Department of Defense Health
Information Privacy Regulation (DoD 6025.18-R) issued pursuant to the Health Insurance Portability and
Accountability Act of 1996, applies to most such health information. Department of Defense 6025.18-R may place
additional procedural requirements on the uses and disclosures of such information beyond those found in the Privacy Act
of 1974 or mentioned in this system of records notice.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To any member of the family when a signed release of information is documented in the case record, in furtherance
of treating the family member with special needs.
</p><p>I. To officials and employees of local and state governments and agencies in the performance of their official duties
pursuant to the laws and regulations governing local control of communicable diseases, preventive medicine and safety
programs, developmental disabilities, and other public health and welfare programs.
</p><p>K. To the federal, state or local governmental agencies when appropriate in the counseling and treatment of
individuals or families with special medical or educational needs, or receiving early intervention or related services.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by a Coast Guard military or civilian personnel’s name and/or identification number
(EMPLID).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Case records are maintained at a decentralized location until the USCG military or civilian personnel is
separated or retired, eligible family member is no longer an eligible dependent, or the eligible dependent is no longer
diagnosed as having a special need. Upon separation or retirement of the USCG military or civilian personnel, the
eligible family member is no longer an eligible dependent, or when the eligible dependent is no longer diagnosed as
having a special need, the record will be transferred to Commandant, CG-1112. After a 3-year retention, the record
is destroyed (N1-026-07-9).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Work-Life, Director of Health, Safety and Work-Life, CG-11, United States Coast Guard,
Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any open record contained in this system of records, or seeking
to contest its content, may submit a request in writing to the Work-Life field office where the case record is
maintained. Individuals seeking notification of and access to any closed record contained in this system of records, or
seeking to contest its content, may submit a request in writing to the Chief, Office of Work-Life, Director of Health,
Safety and Work-Life, CG-11, United States Coast Guard, Washington, DC 20593-0001.
</p><p>When seeking records about yourself or your minor dependent from this system of records or any other USCG system of
records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your
identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your
request, and your signature must either be notarized or submitted by you under 28 U.S.C. 1746, a law that permits
statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you
may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-
431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from medical reports that are provided to the USCG.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg8" toc="yes">
<systemNumber>/USCG-008</systemNumber>
<subsection type="systemName">United States Coast Guard Courts Martial Case Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Headquarters in Washington, DC, and in field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include all USCG active duty, reserve, and retired active duty
and retired reserve military personnel and other individuals who are tried by, or involved with, court martial.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social Security number;
</p><p>&#149; Employee identification number;
</p><p>&#149; Date of birth;
</p><p>&#149; Addresses;
</p><p>&#149; E-mail address;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Job-related information including: Job title, rank, duty station, supervisor’s name and telephone number;
and
</p><p>&#149; Records of trial (contents are in accordance with Article 54 of the Uniform Code of Military Justice and
Rule for Court Martial 1103 which includes charge sheet, exhibits, transcript of trial, sentencing report, arguments, and
various other documents).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 14 U.S.C. 93(e), 632; 10 U.S.C. 815; 10 U.S.C. 865; E.O.
11835; DHS Delegation 0170.1.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document courts martial case files relating to the all USCG active duty,
reserve, and retired active duty and retired reserve military personnel and other individuals who are tried by, or
involved with, court martial.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Courts martial records reflect criminal proceedings ordinarily open to the public; therefore, they are normally
releasable to the public pursuant to the Freedom of Information Act. In addition to those disclosures generally permitted
under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be
disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. &#167;&#167; 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To provide statistical data concerning the number of proceedings held, units holding proceedings, offenses
committed, punishments imposed, and background data of individuals concerned.
</p><p>J. To the Veterans Administration (VA) to assist USCG in determining the individual’s entitlement to benefits
administered by the VA.
</p><p>K. To the confinement facility, if confinement is adjudged, and the confinement facility is not USCG facility.
</p><p>L. To victims and witnesses of a crime for purposes of providing information, consistent with the requirements of the
Victim and Witness Assistance Program, regarding the investigation and disposition of an offense pursuant to USCG
Military Justice Manual, Article 4.B.1.d and subject to any restrictions provided by the Victim and Witness Protection
Act of 1982 (Pub. L. 97-291).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records can be stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrieved alphabetically by the name of the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All General Courts Martial and Special Courts Martial records involving Bad Conduct Discharge are permanent.
Transfer to FRC 2 years after date of final action. Transfer to NARA 10 years after final action. (AUTH: NC1-26
-76-2, Item 384a). Special Courts Martial other than those involving Bad Conduct Discharges are temporary.
Transfer to FRC 2 years after date of final action. Destroy 10 years after date of final action. (AUTH: NC1-26
-76-2, Item 384b). Summary Courts Martial convened after 5 May 1950 are Temporary. Transfer to FRC 2 years
after date of final action. Destroy 10 years after date of final action. (AUTH: NC1-26-76-2, Item
384c(1)). (Records Officer)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-0946, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593
-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commandant, CG-0946, Office of Military Justice, United
States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>USCG investigating officers, military, and civilian personnel. Individual service records from proceedings
conducted. Trial proceedings and subsequent statutory reviews--Court of Military Review, Court of Appeals for the
Armed Services, and Chief Counsel of the USCG.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g).
Pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), this system is exempt from the following provisions of the Privacy Act,
subject to the limitations set forth in those subsections: 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)
(4)(I), and (f).
</p></xhtmlContent></subsection></section>
<section id="uscg10" toc="yes">
<systemNumber>/USCG-010</systemNumber>
<subsection type="systemName">Physical Disability Evaluation System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCG Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All USCG active duty and reserve personnel who are referred for potential separation or retirement for physical
disability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Name;
</p><p>&#149; Social Security Number (SSN) and/or Employee ID (EmpID)
</p><p>&#149; Informal Physical Evaluation Board files;
</p><p>&#149; Formal Physical Evaluation Board files;
</p><p>&#149; International Classification of Diseases code (ICD);
</p><p>&#149; Physical Review Council files;
</p><p>&#149; Physical Disability Appeal Board files; and
</p><p>&#149; Physical Disability Board of Review files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 632; the Federal Records Act, 44 U.S.C. 3101; 10 U.S.C. Chapter 61.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document physical disability evaluation proceedings and ensure equitable
application of the provisions of Title 10, United States Code, Chapter 61, which relates to the separation or retirement
of military personnel by reason of physical disability.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p>For records of identity, diagnosis, prognosis, or treatment of any client/patient, irrespective of
whether or when he/she ceases to be a client/patient, maintained in connection with the performance of any alcohol or
drug abuse prevention and treatment function conducted, requested, or directly or indirectly assisted by any department
or agency of the United States, shall, except as provided therein, be confidential and be disclosed only for the purposes
and under circumstances expressly authorized in 42 U.S.C. 290dd-2. This statute takes precedence over the Privacy
Act of 1974 to the extent that disclosure is more limited. The Routine Uses set forth below do not apply to this
information. However, access to the record by the individual to whom the record pertains is governed by the Privacy Act.
</p><p>A. To medical personnel to the extent necessary to meet a bona fide medical emergency;
</p><p>B. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or
program evaluation provided that employees are individually identified;
</p><p>C. To the employee’s medical review official;
</p><p>D. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment
or is otherwise participating;
</p><p>E. To any supervisory or management official within the employee’s agency having authority to take adverse personnel
action against such employee; or
</p><p>F. Pursuant to the order of a court of competent jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action. <i>See</i> 42 U.S.C. 290dd, 290ee, and Public Law 100-
71, Section 503(e).
</p><p><b>Note:</b> For all other records besides those noted above, this system of records contains individually identifiable
health information. The Health Insurance Portability and Accountability Act of 1996, applies to most of such health
information. Department of Defense 6025.18-R may place additional procedural requirements on the uses and
disclosures of such information beyond those found in the Privacy Act of 1974 or mentioned in this system of records
notice. Therefore, routine uses outlined below may not apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To Department of Veterans Affairs for assistance in determining the eligibility of individuals for benefits
administered by that agency and available to U.S. Public Health Service or the Department of Defense medical personnel in
connection with the performance of their official duties.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The electronic versions of records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, social security number, employee identification number, command, date, and the
diagnosis or International Classification of Diseases (ICD) code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are transferred to National Personnel Records Center, Military Personnel Records NPRC (MPRC) three years
after last activity. Records are destroyed 50 years from the date of the latest document in the record. (AUTH: NC1-
26-82-5, Item 2a2).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commander, U.S. Coast Guard, Personnel Command CGPC--MS 7200, 4200 Wilson Boulevard, Suite 1100, Arlington,
Virginia 20598-7200.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commander, U.S. Coast Guard, Personnel Command CGPC--MS
7200, 4200 Wilson Boulevard, Suite 1100, Arlington, Virginia 20598-7200.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov/FOIA</i> or 1-866-431-0486. In addition you
should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in records developed through proceedings of administrative bodies listed in "Categories of
records" above.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg11" toc="yes">
<systemNumber>/USCG-011</systemNumber>
<subsection type="systemName">Military Personnel Health Records System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at USCG Headquarters in Washington, DC, in field locations, and at USCG health care
facilities at which USCG military personnel or eligible dependents receive treatment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Active duty, reserve, retired active duty, reserve USCG military personnel or their eligible dependents, USCG
Academy cadets, auxiliary while performing Coast Guard duties, members of foreign military services, federal employees
assigned to USCG vessels, seamen, non-federally employed civilians aboard USCG vessels and civilians receiving physical
exams prior to entry into the USCG.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Military personnel’s name;
</p><p>&#149; Eligible dependant’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Employee ID;
</p><p>&#149; Date of Birth;
</p><p>&#149; Medical History;
</p><p>&#149; Records of medical and dental treatment, for example x-rays, physical examinations, psychological
examinations;
</p><p>&#149; Records containing due date for physical/dental and eye examinations, inoculations, screening tests and
results of actions required by USCG or other Federal, State or local government or agency; and
</p><p>&#149; Records concerning line of duty determination and eligibility for disability benefits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301: The Federal Records Act, 44 U.S.C. 3101; Departmental Regulations; 10 U.S.C. 1071-1107;
Medical and Dental Care; 14 U.S.C. 93(a)(17); 14 U.S.C. 632: Functions and powers vested in the Commandant.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To determine normal duty rotations, suitability of members for overseas assignments, develop automated
information relating to medical readiness in wartime and contingence operations, determine eligibility for disability,
and to maintain health care records as a function of general health maintenance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:
</p><p>For records of identity, diagnosis, prognosis, or treatment of any client/patient, irrespective of whether or when
he/she ceases to be a client/patient, maintained in connection with the performance of any alcohol or drug abuse
prevention and treatment function conducted, requested, or directly or indirectly assisted by any department or agency of
the United States, shall, except as provided therein, be confidential and be disclosed only for the purposes and under
circumstances expressly authorized in 42 U.S.C. 290dd-2. The results of a drug test of civilian employees may be
disclosed only as expressly authorized under 5 U.S.C. 7301. Theses statutes take precedence over the Privacy Act of 1974
to the extent that disclosure is more limited. However, access to the record by the individual to whom the record
pertains is governed by the Privacy Act. The Routine Uses set forth below do not apply to this information.
</p><p>Note:
</p><p>For other records than those mentioned in the note above, this system of records contains individually identifiable
health information. The Health Insurance Portability and Accountability Act of 1996, applies to most of such health
information. Department of Defense 6025.18-R may place additional procedural requirements on the uses and
disclosures of such information beyond those found in the Privacy Act of 1974 or mentioned in this system of records
notice. Therefore, routine uses outlined below may not apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To Federal, State, or local governments and agencies to compile statistical data for research and auditing; to
provide quality assurance; to report medical conditions and other data required by law; to aid in preventive health and
communicable disease control programs.
</p><p>I. To the Accreditation Association for Ambulatory Health Care, Inc. to evaluate health care provided, personnel, and
facilities for professional certification and hospital accreditation; to provide quality services.
</p><p>J. To the Department of Defense to analyze the results of communicable diseases, to ensure uniformity of record
keeping, and to centralize production of reports for all uniformed services.
</p><p>K. To the Department of Defense or other Federal, State, or local governments and agencies for casualty identification
purposes.
</p><p>L. To the Social Security Administration and Veterans Administration for use in determining an individual’s
entitlement to benefits administered by those agencies.
</p><p>M. To the Public Health Service, Department of Defense, or Veterans Administration medical personnel or to personnel
or facilities providing care to eligible beneficiaries under contract in connection with medical treatment of
individuals.
</p><p>N. To the Department of Health and Human Services for purposes of the Federal Medical Care Recovery Act. Records are
available to the Public Health Service or Department of Defense medical personnel in connection with medical treatment of
individuals at the Public Health Service or Department of Defense facilities.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and sponsor’s social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individual who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>A. Active Duty Personnel: Individual medical files are retained at the military personnel’s unit or healthcare
facility at which the military personnel receives care for so long as individual is assigned to the particular area. When
the military personnel is reassigned, the individual medical file is transferred to the new duty station upon
reassignment of military personnel. Upon separation or retirement, the medical file is incorporated into DHS/USCG-
005 Military Services Personnel.
</p><p>B. Retired Personnel: military personnel medical files are retained at the medical facility for a period of 6 years
from date of last activity. Six years after the last report, the files are transferred to National Personnel Records
Center (Military Personnel Records), 9700 Page Blvd, St. Louis, MO 63132.
</p><p>C. Dependents: dependent’s medical files are retained at the medical treatment facility for period of 6 years from
date of last activity. Transferred to new duty station of sponsor upon written request of dependent. Records not
transferred are forwarded to National Personnel Records Center, CPR, 111 Winnebago Street, St. Louis, MO 63118 six years
after last activity.
</p><p>D. Reserve Personnel: reservist medical files are retained in custody of the reserve group or unit, or healthcare
facility at which the member receives care for so long as the reservist is assigned to the particular area. When the
reservist is reassigned, the medical file is transferred to the new reserve group or unit or district commander as
appropriate. Upon separation or retirement, the medical file is incorporated into Official USCG Reserve Service Record
System, DHS/USCG-028.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-11, United States Coast Guard Headquarters, Director, Health and Safety Directorate, 2100
2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant (CG-611), 2100 2nd St., SW., Attn: FOIA
Coordinator, Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted to you under 28 U.S.C. 1746, a law that permits statements to be made under penalty
or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose
from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you
should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Medical facilities where beneficiaries treated or examined; investigations resulting from illness or injury; the
individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg12" toc="yes">
<systemNumber>/USCG-012</systemNumber>
<subsection type="systemName">Request for Remission of Indebtedness.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Active duty enlisted USCG personnel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name; employee ID number (EMPLID), command name, and command address.
</p><p>&#149; Individual’s Leave and Earning Statement (LES), including home address.
</p><p>&#149; Correspondence submitted to the USCG, such as leave and earning statements, letters or notices of
indebtedness, financial worksheets, travel orders, or other documents related to the cause for indebtedness;
</p><p>&#149; Requests for endorsements;
</p><p>&#149; Correspondence submitted by the enlisted member, as appropriate;
</p><p>&#149; Research material on the individual’s file;
</p><p>&#149; Paneling action;
</p><p>&#149; Commandant’s decision.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; 14 U.S.C. 461, 632.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to aid USCG in making determinations whether an active duty enlisted member is
eligible to have the indebtedness to the U.S. Government forgiven, or a portion of the indebtedness pursuant to 14 U.S.C.
461, based on the best interests of the individual and the Government.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for five years past the date of the final adjudication.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Management Directorate, G-WP, United States Coast Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant (CG-611), 2100 2nd St., SW., Attn: FOIA
Coordinator, Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals covered by this system of records and Coast Guard Officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg13" toc="yes">
<systemNumber>/USCG-013</systemNumber>
<subsection type="systemName">United States Coast Guard Marine Information for Safety and Law Enforcement (MISLE).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, but Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard (USCG) Headquarters in Washington, DC, the USCG
Operations Systems Center, Kearneysville, WV, and other field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals with established relationship(s) and/or associations with vessels and marine transportation
facilities and activities regulated by the USCG. Specifically, vessel owners, operators, charterers, masters, crew and/or
agents, mortgagees, lien claimants, vessel builders, facility owners, managers or employees, individuals who own,
operate, or represent marine transportation companies and other individuals who come in contact with the USCG through its
law enforcement, marine safety, investigation, and environmental activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Name of individual, vessel, or facility;
</p><p>&#149; Home and work addresses;
</p><p>&#149; Phone numbers;
</p><p>&#149; Facility number, involved party identification number, social security number, drivers license number,
Immigration and Naturalization Service number, military identification number, U.S. Coast Guard license number, cellular
number, foreign seaman’s booklet number, resident alien number, merchant mariners license or documentation number, tax
payer identification number;
</p><p>&#149; Casualty case number;
</p><p>&#149; Pollution incident case number;
</p><p>&#149; Date of incident;
</p><p>&#149; Civil penalty case number;
</p><p>&#149; Biometric information through photographs including height, weight, eye color and hair color;
</p><p>&#149; Videos;
</p><p>&#149; Information on vessels and vessel characteristics including: Vessel identification data, registration
data, port visits, inspection data, documentation data, port safety boarding, casualties, pollution incidents, and civil
violations if applicable and associated information (data pertaining to people or organizations associated with vessels);
</p><p>&#149; Information on marine transportation facilities including: Name, identification number, location,
commodities handled, equipment certificates, approvals, inspection reports, pollution incidents, casualties, violations
of U.S. laws, and data pertaining to people or organizations associated with those facilities;
</p><p>&#149; For owners, operators, agents, and crew members: Statements submitted by USCG relating to boarding,
investigations as a result of a pollution and/or casualty incident, as well as any violations of United States law, along
with civil penalty actions taken as a result of such violations. Such reports could contain names of passengers on
vessels, as well as witnesses to such violations.
</p><p>&#149; Narratives, reports and documents by USCG personnel describing their activates on vessels and within
facilities including incident reports, violations of laws and international treaties,
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C 89a, 93(a) and (c), 632; 16 U.S.C 1431; The Federal Records Act, 33 U.S.C 1223; 33 U.S.C.
1228; 44 U.S.C. 3101; 46 U.S.C. 3717; 46 U.S.C. 12501; 46 U.S.C. 12119; 12502; 46 CFR par 67.1 <i>et seq.;</i> 49 CFR
1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to establish a safety, security and law enforcement performance history of vessels,
facilities, people and organizations engaged in marine transportation, including enforcement action, that can be used to
identify and address safety, security and environmental risks and to establish vessel eligibility for documentation as a
U.S. flag vessel.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To Federal and State safety enforcement agencies, including, but not limited to, the Maritime Administration, U.S.
Department of Transportation, and National Transportation Safety Board, to access historical data that may assist in
safety investigations and improve transportation safety.
</p><p>I. To Federal, State, and local environmental agencies, including, but not limited to, the U.S. Environmental
Protection Agency, to access historical data that may improve compliance with U.S. laws relating to environmental
protection.
</p><p>J. To the United States Department of Commerce and National Technical Information Service (NTIS) to provide the
characteristics of vessels documented by the USCG and owner information. This information is the same as that published
in the annual publication "Merchant Vessels of the United States" (also known as the "blue
book"). This information is distributed electronically and is sold to the public.
</p><p>K. To Federal and State numbering and titling officials to access information for improving the tracking, registering,
and titling of vessels.
</p><p>L. To the U.S. Department of Defense and related entities, including, but not limited to, the Military Sealift Command
and U.S. Navy, to access data on safety information regarding vessels chartered by those agencies.
</p><p>M. To other Federal and State agencies not listed above, including, but not limited to, the U.S. Census Bureau, U.S.
Department of Labor, and U.S. Department of Commerce, to access historical data for improving general statistical
information.
</p><p>N. To the International Maritime Organization or intergovernmental organizations, nongovernmental organizations, or
foreign governments in order to conduct joint investigations, operations, and inspections;
</p><p>O. To Federal, State, or local agencies with which the U.S. Coast Guard Memorandum or Understanding, Memorandum of
Agreement, or Inspection and Certification Agreement pertaining to Marine Safety, Maritime Security, Maritime Law
Enforcement, and Marine Environmental Protection activities.
</p><p>P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or in paper form in file cabinets, in file rooms, in secure
facilities behind a locked door. Electronic records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of individual, vessel, or facility, facility number, involved party
identification number, social security number, drivers license number, Immigration and Naturalization Service number,
military identification number, U.S. Coast Guard license number, cedula number, foreign seaman’s booklet number, resident
alien number, merchant mariners license or documentation number, tax payer identification number person or organization
name, casualty case number, pollution incident case number, date of incident, civil penalty case number, USCG unit
entering data or incident location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated and paper systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system and paper files containing the records
in this system is limited to those individuals who have a need to know the information for the performance of their
official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely because the records schedules are currently pending. A copy of this system has
been transferred to the National Archives and Records Administration permanent records collection. The following records
schedule has been proposed:
</p><p>A. Notifications associated with a Case or Activity are considered historically important and so are maintained
permanently by the National Archives. USCG will transfer the records to the National Archives at least every five years
after the close of a case or activity. In some cases, information may transferred prior to the five years.
</p><p>B. Notifications not associated with a Case or Activity are maintained for five years and then destroyed or deleted.
Information collected by MISLE is stored for a minimum of five years after the record is created, after which the
information will be retained, archived or destroyed in accordance with the MISLE Records Schedule approved by the
National Archives and Records Administration. All system hardware and data is stored at OSC, Kearneysville, WV. Backups
are performed daily. Copies of backups are stored at an off-site location.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>United States Coast Guard, Operations Systems Management Division, CG-635, 2100 2nd Street, SW.,
Washington, DC 20593-0001; Boating Safety Division, CG-5422; United States Coast Guard National Vessel
Documentation Center, 792 T J Jackson Drive, Falling Waters, WV 25419.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant (CG-611), 2100 2nd St., SW., Attn: FOIA
Coordinator, Washington, DC 20593-0001. Specific FOIA contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or subscribed to pursuant to 28 U.S.C. 1746, a law that permits statements to be made under
penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this
purpose form the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>All information entered into the MISLE is gathered from USCG boarding, USCG inspections, and USCG documentation
offices, vessel notice of arrival reports in the course of normal routine business. This information is gathered from the
owners, operators, crew members, agents, passengers, witnesses, other government agencies and United States Coast Guard
personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional, the Secretary of Homeland
Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="uscg14" toc="yes">
<systemNumber>/USCG-014</systemNumber>
<subsection type="systemName">United States Coast Guard Military Pay and Personnel System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at USCG Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include active and reserve service applicants and prospective
applicants, civilian personnel, active duty, reserve, retired active duty and retired reserve USCG military personnel and
their annuitants and dependents, separated military personnel, USCG auxiliary members, USCG exchange workers, and
contractor personnel. Also included are active duty and retired National Oceanic and Atmospheric Administration (NOAA)
Officers and their annuitants and dependents, as well as Officers of the Commissioned Corps of the U.S. Public Health
Service (PHS) and their annuitants and dependents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Employee identification number;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Gender;
</p><p>&#149; Minority designation and nationality;
</p><p>&#149; Marital status;
</p><p>&#149; Limited medical related information to include dates of physical examinations, color blindness,
immunizations, weight and body mass index (and compliance to standards);
</p><p>&#149; Other HIPAA related/protected data;
</p><p>&#149; Addresses;
</p><p>&#149; Total current monetary earnings, including overtime, computed to the nearest dollar;
</p><p>&#149; Number of hours worked;
</p><p>&#149; Leave accrual rate;
</p><p>&#149; Leave requests and balances;
</p><p>&#149; Health and life insurance requests and eligibility;
</p><p>&#149; Payroll deduction requests;
</p><p>&#149; Information for the purpose of validating legal requirements for garnishment of wages;
</p><p>&#149; Salary rate;
</p><p>&#149; Cash awards;
</p><p>&#149; Retirement withholdings;
</p><p>&#149; Background information to include work experience;
</p><p>&#149; Education records, including: highest level achieved; specialized education or training obtained in and
outside of military service; non-traditional education support records; achievement and aptitude test results; academic
performance records; correspondence course rate advancement records; military performance records; admissions processing
records; grade reporting records; academic status records; and transcript maintenance records;
</p><p>&#149; Military duty assignments;
</p><p>&#149; Ranks held;
</p><p>&#149; Allowances;
</p><p>&#149; Personnel actions such as promotions, demotions, or separations;
</p><p>&#149; Record of instances of Uniform Code of Military Justice infractions;
</p><p>&#149; Performance evaluations;
</p><p>&#149; Background investigation, and security clearance information;
</p><p>&#149; Government credit card status;
</p><p>&#149; Individual’s desires for future assignments, training requested, and notations by assignment officers;
</p><p>&#149; Information for determinations of waivers and remissions of indebtedness to the U.S. government;
</p><p>&#149; Travel claims, transportation claims, government bills of lading, and applications for shipment of
household effects;
</p><p>&#149; USCG housing records, including: housing surveys, computer data summaries, and correspondence from the
individual seeking housing;
</p><p>&#149; Information regarding IT training, IT system accounts, roles, permissions; and
</p><p>&#149; Names, dates of birth, addresses, social security numbers, and gender of annuitants and dependents of
active duty, reserve, and retired active duty and reserve military members.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 5 U.S.C. 5501-5597; 10 U.S.C. 1043, 1147; 14 U.S.C.
92(I) 92(r), 93(g), 475, 512, 620, 632, 645, 681, 687; 37 U.S.C. 406; 42 U.S.C. 213, 253; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer the USCG active duty, reserve, and retired active duty and retired
reserve military pay and personnel system. To accomplish personnel accountability for USCG affiliated personnel in a
natural or man-made disaster or when directed by the USCG Commandant. The USCG may also collect information about Service
members and their dependents and civilian employees and their dependents as well as all personnel assigned to USCG for
regular performance of duties including Officers of the Commissioned Corps of the U.S. PHS and personnel in exchange or
reimbursable positions (per COOP requirements for personnel accountability), and for needs assessment as a result of the
natural or man-made disaster.
</p><p>The USCG may also use this accountability data for accountability and assessment reporting exercises. The system is
also used to administer USCG civilian personnel formal USCG training course management, security clearance data,
competency, and accomplishment data as well as tracking IT training, IT system accounts, roles, and permissions for
military, civilian, and contractor personnel. Additionally, the system is used to provide necessary information to the
Department of Commerce (DOC) for NOAA Officers and to Department of Health and Human Services (HHS) for Officers of the
Commissioned Corps of the U.S. PHS to administer their respective pay and personnel system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p>This system of records contains individually identifiable health information. The HIPAA of 1996, applies
to most of such health information. DoD 6025.18-R may place additional procedural requirements on the uses and
disclosures of such information beyond those found in the Privacy Act of 1974 or mentioned in this system of records
notice. Therefore, routine uses outlined below may not apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the Department of Treasury (DOT) for the purpose of disbursement of salary, U.S. Savings Bonds, allotments, or
travel claim payments.
</p><p>I. To appropriate insurance agencies/companies for the purpose of health and life insurance requests and eligibility.
</p><p>J. To the DOC and HHS to administer their respective pay and personnel systems for NOAA Officers and Officers of the
Commissioned Corps of the PHS, respectively.
</p><p>K. To Federal, State, and local government agencies to disclose earnings and tax information, including the Internal
Revenue Service (IRS) and the Social Security Administration (SSA).
</p><p>L. To DoD and Veterans Administration (VA) for determinations of benefit eligibility for military members and their
dependents.
</p><p>M. To DoD for manpower and readiness planning.
</p><p>N. To the Comptroller General for the purpose of processing waivers and remissions.
</p><p>O. To an individual’s spouse, or person responsible for the care of the individual concerned when the individual to
whom the record pertains is mentally incompetent, critically ill, or under other legal disability for the purpose of
assuring the individual is receiving benefits or compensation they are entitled to receive.
</p><p>P. To a requesting government agency, organization, or individual the home address and other relevant information on
those individuals who, it is reasonably believed, might have contracted an illness, been exposed to, or suffered from a
health hazard while a member of government service.
</p><p>Q. To other government agencies for the purpose of earnings garnishment.
</p><p>R. To DoD for the purpose of preparing the Register of Officers and Register of Reserve Officers, which is provided to
all USCG officers.
</p><p>S. To education institutions or training facilities for purposes of enrollment and verification of employee attendance
and performance.
</p><p>T. To DoD for the purpose of preparing for and during actual emergencies, exercises or COOP tests for the purpose of
responding to emergency situations or to allow emergency service.
</p><p>U. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, CD-ROM, and DVD.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, social security number, or employee identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies as well as those of the USCG. A defense in depth strategy has been
employed. Overlapping and complimentary management, operational and technical security controls have been implemented and
followed to minimize the risk of compromising the confidentiality or adversely impacting the integrity of the information
that is being stored, processed, and/or transmitted. Access to the computer system(s) containing the records in this
system is limited to those individuals who have a verified need to know the information for the performance of their
official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with General Records Schedule (GRS) 9, Item 1c and 3, travel and transportation of household
effects records are temporary and are destroyed seven years after the period covered by account.
</p><p>In accordance with NC1-26-76-2, item 359 and NC1-26-80-4, item 151, PHS
Commissioned Officer Corps staffing and recruiting records are temporary and are transferred to the PHS Commission
Personnel Operation Division upon completion of the USCG assignment.
</p><p>In accordance with NC1-26-76-2, items 559 and 561 and NC1-26-80-4, item 338b,
military training and education records are temporary, including training courses and related material, school and
training files containing correspondence, reports and related paper on USCG and Navy schools and trainee index cards.
These records are destroyed when five years old. In accordance with GRS 2, item 29 b, civilian training education records
are destroyed after five years.
</p><p>In accordance with NC1-26-80-4, items 338b, 338c, 338d and 338e, class folders containing military
personal and service history, muster card files, and recruit training record cards are destroyed when one year old.
</p><p>In accordance with N1-330-04-1, item 1, military personnel system (Official Military Personnel File
(OMPF)) records are permanent and folders are transferred to the National Personnel Records Center (NPRC) six months
after separation. OMPF records are transferred to NARA 62 years after the date of retirement or separation.
</p><p>In accordance with NC1-26-76-2, items 583a and 584a and N1-330-04-1, item 1,
officer selection and appointment system records, officer candidates and direct commission program application for
selected applicants are filed in the OMPF.
</p><p>In accordance with NC1-26-76-2, item 583b, non-selected officer candidate applicant’s records are
destroyed six months after deadline dates for class which application is made.
</p><p>In accordance with NC1-26-79-2, item 584b, non-selected direct commission program applicants records
are destroyed one year from date of board by which considered.
</p><p>In accordance with NC1-26-80-4, item 337b, Officer Candidates School and direct commission officer
applicant files containing copies of applications for appointment in the USCG reserve, interviews, reports, and medical
examination are destroyed when one year after period covered by account.
</p><p>In accordance with NC1-26-76-2, item 587, applicant files are destroyed one year after the period
covered by account.
</p><p>In accordance with GAO-SCHED/5/1 and NC1-26-80-4, item 99d, military pay records are destroyed
56 years after the period covered by account.
</p><p>In accordance with SSIC 7400, item 1 and NC1-26-76-2, items 184 and 99s, military personnel FICA
wage credit, federal income tax listings, leave and earnings statements and pay records are microfilmed and retained
onsite for four years, then archived at the Federal Record Center, and destroyed 50 years after the period covered by
account.
</p><p>In accordance with GRS 15, item 3, USCG family housing records are temporary and destroyed two years after the period
covered by account.
</p><p>In accordance with GRS 25, item 1a, outside employment of active duty USCG personnel records are temporary and
destroyed when three years old or when superseded or obsolete, whichever is later.
</p><p>Duplicate magnetic copies of the pay and personnel record are retained at an offsite facility for a useful life of
seven years.
</p><p>In accordance with GRS 24, item 61, information regarding IT training, IT system accounts, roles, permissions,
Automatic Identification System user access authorization/revocation, and password files are destroyed one year after
user account is terminated, password altered, or when no longer needed for investigative or security purposes.
</p><p>Paper records for waivers and remissions are retained on site and destroyed six years three months after the
determination.
</p><p>In accordance with GRS 2, item 18, paper records to determine legal sufficiency for garnishment are destroyed six
years three months after the period covered by account when the member separates from service or garnishment is
terminated. Federal employee records are destroyed three years after garnishment is terminated.
</p><p>Records concerning congressional correspondence are maintained indefinitely because they have been determined to be of
historical value.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For active duty military personnel, civilian personnel, and separated personnel of the USCG: Chief, Office of
Personnel, USCG Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For USCG reserve military personnel
and retired USCG reserve military personnel waiting pay at age 60: Chief, Office of Reserve Affairs, USCG Headquarters,
2100 2nd Street, SW., Washington, DC 20593-0001. For USCG waivers and remissions: Chief, Personnel Services
Division, Office of Military Personnel, USCG Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For
records used to determine legal sufficiency for garnishment of wages and pay records: Commanding Officer, USCG, Personnel
Services Center, 444 SE., Quincy Street, Topeka, KS 66683-3591. For data added to the decentralized data segment
the commanding officer, officer-in-charge of the unit handling the military personnel’s pay and personnel record, or
Chief, Administrative Services Division for individuals whose records are handled by USCG Headquarters 2100 2nd Street,
SW., Washington, DC 20593-0001.
</p><p>For active and reserve service applicants and prospective applicants: Commanding Officer, USCG Recruiting Command,
STOP 7500, 2300 Wilson Blvd. Suite 500, Arlington, VA 20598-7500.
</p><p>For retired active USCG military personnel and their annuitants and dependents: Commanding Officer, USCG, Personnel
Services Center, 444 SE., Quincy Street, Topeka, KS 66683-3591.
</p><p>For USCG auxiliary members: Director of Auxiliary, USCG, 2100 2ND ST, SW., STOP 7581, Washington, DC 20593-7581.
</p><p>For USCG exchange workers: Commandant (G-WPX), USCG Exchange System, CGES &amp; MWR Headquarters, 870 Greenbrier
Circle, Greenbrier Tower II, Suite 502, Chesapeake, VA 23320-2681.
</p><p>For contractor personnel: Commandant (USCG-9), USCG Headquarters, 1900 Half Street, SW., Washington, DC 20593.
</p><p>For NOAA members: National Oceanic and Atmospheric Administration, Commissioned Personnel Division, 11400 Rockville
Pike, Rockville, MD 20852.
</p><p>For Officers of the Commissioned Corps: U.S. Public Health Service Office of Commissioned Corps Operations, 1100
Wootton Parkway, Suite 100, Rockville, MD 20852.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to: For active duty military personnel of the USCG: Chief, Office of
Personnel, USCG Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For USCG reserve military personnel
and retired USCG reserve military personnel awaiting pay at age 60: Chief, Office of Reserve Affairs, USCG Headquarters,
2100 2nd Street, SW., Washington, DC 20593-0001. For USCG waivers and remissions: Chief, Personnel Services
Division, Office of Military Personnel, USCG Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For
records used to determine legal sufficiency for garnishment of wages and pay records: Commanding Officer, USCG, Personnel
Services Center, 444 SE., Quincy Street, Topeka, KS 66683-3591. For data added to the decentralized data segment
the commanding officer, officer-in-charge of the unit handling the individual’s pay and personnel record, or Chief,
Administrative Services Division for individuals whose records are handled by USCG Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593-0001.
</p><p>For NOAA members: National Oceanic and Atmospheric Administration, Commissioned Personnel Division, 11400 Rockville
Pike, Rockville, MD 20852.
</p><p>For Officers of the Commissioned Corps: U.S. Public Health Service, Office of Commissioned Corps Operations, 1100
Wootton Parkway, Suite 100, Rockville, MD 20852. If an individual believes more than one component maintains Privacy Act
records, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-(866) 431
-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, USCG personnel officials, NOAA personnel officials, DoD, PHS personnel officials, previous
employers, educational institutions, court records, and test results.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg15" toc="yes">
<systemNumber>/USCG-015</systemNumber>
<subsection type="systemName">United States Coast Guard Legal Assistance Case Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>&#149; Military personnel of the armed forces who are on active duty (including reservists on active duty or
scheduled for deployment).
</p><p>&#149; Military personnel and former military personnel entitled to retired or retainer pay or equivalent pay.
</p><p>&#149; Officers of the commissioned corps of the Public Health Service who are on active duty or entitled to
retired or equivalent pay.
</p><p>&#149; Dependents of military personnel (including dependents of reservists on active duty or scheduled for
deployment) and retired military personnel described above.
</p><p>&#149; Other persons authorized by The Judge Advocate General.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name, rank, employee identification number (EMPLID), date of birth, duty station, telephone
numbers, work and home addresses;
</p><p>&#149; Case number;
</p><p>&#149; Information concerning the personal matters handled by these offices for clients (e.g. executing wills,
power of attorney, separation/divorce, landlord/tenant issues, consumer issues).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 10 U.S.C. 1044; and Commandant Instruction 5801.4E.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to facilitate the provisions of legal assistance to eligible clients seeking
personal legal assistance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS, subject to attorney ethical
requirements regarding confidentiality and privilege, as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved alphabetically by name or case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed or deleted 3 years after case is closed or when no longer needed by an attorney’s state
bar, whichever is later. (AUTH: N1-26-06-3, Item 1)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-094, Office of Judge Advocate General (JAG), United States
Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant, CG-094, Office of Judge Advocate General
(JAG), United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. Specific FOIA
contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained directly from the client involved and during any subsequent investigation by the legal
officer on behalf of the client.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg16" toc="yes">
<systemNumber>/USCG-016</systemNumber>
<subsection type="systemName">United States Coast Guard Adjudication and Settlement of Claims System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include active duty, reserve, retired active duty, and retired
reserve military personnel who submit a claim against USCG relates to disputes concerning monetary matters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number or employee ID Number (EMPLID);
</p><p>&#149; Leave and earnings statements; and
</p><p>&#149; Other related information regarding claims arising out of disputes concerning amounts of pay received.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 5512-5514; 10 U.S.C. 939, 1442, 1453, 2774-2775; 14 U.S.C. 461; 31 U.S.C. 3716; 37
U.S.C. 1007; the Federal Records Act, 44 U.S.C. 3101; Debt Collection Act of 1982, Public Law 97-276, Section 124;
Debt Collection Improvement Act of 1996, Public Law 104-132; Federal Claims Collection Standards, 31 CFR Chapter
IX.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to adjudicate and settle claims related to such activities as salary claims,
overpayments resulting from travel and transportation entitlement, claims from spouses, former spouses or widows of
military personnel involving an annuity, and other similar activities when submitted by USCG active duty, reserve, and
retired active duty and retired reserve military personnel.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including Unites States Attorney Offices) or other Federal agencies conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice of DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To authorized officials of the Internal Revenue Service, General Accountability Office (GAO), and the Civil Service
Commission, as required, to address salary claims submitted by USCG military and civilian personnel.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by claimant’s name, employee ID (EMPLID), or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individual who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained until adjudication and settlement. Most submissions are retained for present setting value,
as required. Records are retained for 10 years, 3 months after the year in which the Government’s right to collect first
accrued. (AUTH: GRS 6, Item 10b(2)(a)) ( Records Officer).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant (CG-12), United States Coast Guard, 2100 2nd Street SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant (CG-611), 2100 2nd St., SW., Attn: FOIA
Coordinator, Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted to you under 28 U.S.C. 1746, a law that permits statements to be made under penalty
of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose
from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you
should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual, USCG payroll offices, legal staff, investigators, Director of Personnel and Management, Comptroller
General, GAO, and congressional correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg17" toc="yes">
<systemNumber>/USCG-017</systemNumber>
<subsection type="systemName">Federal Medical Care Recovery Act.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at USCG Headquarters in Washington, DC, in field locations, and at USCG health care
facilities at which the USCG military personnel or eligible dependent receives treatment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include active duty, reserve, and retired active duty, retired
reserve, and their eligible dependents. Also included are insurance company employees, related legal staff, the alleged
tortfeasor. Finally, individuals such as Search and Rescue victims, employees, volunteers, or others who are provided
emergency care by the USCG.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Military personnel’s name;
</p><p>&#149; Eligible dependent’s name;
</p><p>&#149; Social Security number;
</p><p>&#149; Gender;
</p><p>&#149; Date of birth;
</p><p>&#149; Case number;
</p><p>&#149; Insurance company’s name and representative’s name;
</p><p>&#149; Legal firm’s name and legal representative’s name;
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Correspondence, memoranda, and related documents concerning potential and actual FMCRA claims;
</p><p>&#149; Police reports;
</p><p>&#149; Witness statements;
</p><p>&#149; Court documentation;
</p><p>&#149; Basic contact information for insurance companies, legal staff, and tortfeasor;
</p><p>&#149; Copies of medical and dental treatment provided to the individual subject of the claim;
</p><p>&#149; Copies of medical bills associated with civilian care provided at government expense; and
</p><p>&#149; Automated data processing (ADP) records containing identifying data on individuals, unit of assignment and
address, home address, the amount of the claim, the amount paid to the government on the claim, dates of correspondence
sent, due dates of reply, claim number, date claim opened, and date claim closed.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 14 U.S.C. 632.; 10 U.S.C. 1095, Uniformed Services Medical
and Dental Care; 42 U.S.C. 2651 <i>et seq.</i>, Federal Medical Care Recovery Act. 3 CFR 25.131, 133.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain FMCRA claims for the government.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p>For records of identity, diagnosis, prognosis, or treatment of any client/patient, irrespective of
whether or when he/she ceases to be a client/patient, maintained in connection with the performance of any alcohol or
drug abuse prevention and treatment function conducted, requested, or directly or indirectly assisted by any department
or agency of the United States, shall, except as provided therein, be confidential and be disclosed only for the purposes
and under circumstances expressly authorized in 42 U.S.C. 290dd-2. The results of a drug test of civilian employees
may be disclosed only as expressly authorized under 5 U.S.C. 7301. These statutes take precedence over the Privacy Act of
1974 to the extent that disclosure is more limited. The Routine Uses set forth below do not apply to this information.
However, access to the record by the individual to whom the record pertains is governed by the Privacy Act.
</p><p>A. To medical personnel to the extent necessary to meet a bona fide medical emergency;
</p><p>B. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or
program evaluation provided that employees are individually identified;
</p><p>C. To the employee’s medical review official;
</p><p>D. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment
or is otherwise participating;
</p><p>E. To any supervisory or management official within the employee’s agency having authority to take adverse personnel
action against such employee; or
</p><p>F. Pursuant to the order of a court of competent jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action. See 42 U.S.C. 290dd, 290ee, and Public Law 100-71,
Section 503(e).
</p><p><b>Note:</b> For all other records besides those noted above, this system of records contains individually identifiable
health information. The Health Insurance Portability and Accountability Act of 1996 applies to most of such health
information. Department of Defense 6025.18-R may place additional procedural requirements on the uses and
disclosures of such information beyond those found in the Privacy Act of 1974 or mentioned in this system of records
notice. Therefore, routine uses outlined below may not apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To attorneys and insurance companies involved in settling and litigating claims pursuant to Health Information
Portability and Accountability Act.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, social security number, case number, or address of military personnel or eligible dependent. Records can
also be retrieved by attorney’s or other parties’ names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained at USCG Headquarters for 2 years; transferred to a Federal Records Center and retained for
an additional 4 years, for a total of 6 years, and destroyed thereafter. (AUTH: GRS 1, Item 19.)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Human Resources Management, United States Coast Guard, Headquarters, 2100 2nd Street, SW., Washington, DC 20593
-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Human Resources Management, United States Coast Guard,
Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>From the individual, or if a minor, the parent or guardian, and witnesses. Medical facilities (USCG, Department
of Defense, Uniformed Services Treatment Facility, or Civilian Facility) where beneficiaries are treated. Injury
investigations. Attorneys and insurance companies involved in the claim.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="uscg18" toc="yes">
<systemNumber>/USCG-018</systemNumber>
<subsection type="systemName">Exchange System (CGES) and Morale, Well-being and Recreation (MWR) Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system Include eligible patrons of CGES and MWR including active duty
members and their dependents, members of the reserves and their dependents, military cadets of Services academies and
their families, commissioned officers of the Public Health Service, and their dependents, commissioned officers of the
National Oceanic and Atmospheric Administration on active duty, armed forces retirees from active duty and their
dependents, armed forces retires from the reserves with/without pay and their dependents, honorably discharged veterans
with 100 percent service-connected disability and their dependents, Medal of Honor recipients and their dependents,
former spouses who have not remarried, but were married to a military member for at least 20 years while the military
member was on active duty of the armed forces and their dependents, orphans of a military member when not adopted by new
parents under 21 years old or 23 years old if they are in full-time study, DHS and DoD civilian employees and their
dependents, other U.S. Federal employees, medical personnel under contract to the Coast Guard or DoD, when residing on an
installation, military personnel of foreign nations and their dependents when on orders from the U.S. Armed Forces, paid
members of the American Red Cross, Young Men’s Christian Association, United Services Organization and other private
organizations when assigned to and serving with the U.S. Armed Forces, DHS/DoD contract personnel, Reserve Officers
Training Corps cadets, former prisoners of war and spouses of current POWs or service members missing in action and their
family members, nonappropriated and appropriated funded foreign nationals, and other civilian members as authorized.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Payroll and personnel records;
</p><p>&#149; Accounting records for MWR loans;
</p><p>&#149; Listing of bad checks;
</p><p>&#149; Job applications;
</p><p>&#149; Correspondence regarding use of CGES and MWR programs and facilities;
</p><p>&#149; Membership applications as applicable for the use of any facilities;
</p><p>&#149; Investigatory reports involving damage to facilities or abuse of privileges to utilize facilities; and
</p><p>&#149; Financial accounting documentation supporting sales, accounts payable, accounts receivable as examples for
the CGES/MWR program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 5 U.S.C. 2105; 10 U.S.C. 1146, 1587; 14 U.S.C. 632; the Federal Records Act, 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system to administer programs that provide for the mission readiness and retention of Coast
Guard personnel and other authorized users; to document the approval and conduct of specifics contests, shows,
entertainment programs, sports activities/competitions, and other MWR-type activities and events sponsored or sanctioned
by the Coast Guard. Information is used for registration; reservations; track participation; pass management; report
attendance; record sales transactions; maintain billing for individuals; collect payments; collect and report time and
attendance of employees; process credit cards, personal checks, and debt cards; create and manage budgets; order and
receive supplies and services; provide child care services reports; track inventory, and issue catered event contracts.
Information will be used to market and promote similar MWR-type activities conducted by Services’ MWR programs, to
provide a means of paying, recording, accounting, reporting, and controlling expenditures and merchandise inventories
associated with retail operations, rentals, and activities such as bingo games.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Letters of authorization for Coast Guard MWR/CGES activities are destroyed 3 years after disestablishment of the
activity. Records and supporting documents for administration of Coast Guard MWR/CGES activities including bank
statements, check registers, cash books, cancelled checks, property and stock records, expenditure vouchers, purchase
orders, vendors’ invoices, payroll and personnel records, daily activity records, guest registration cards, food and
beverage cost control sheets, petty cash vouchers, reports and related papers are destroyed 6 years and 3 months after
the period covered by the account. Credit cards receipts are destroyed in accordance with retention requirements issued
by the card processing agency and ranges from 6 months to 2 years. GRS 2, item 1-31.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-1, Assistant Commandant for Human Resources, United States Coast Guard Headquarters, 2100
2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commandant, CG-1, Assistant Commandant for Human Resources,
United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual record subject, previous employees, employment agencies, civilian and military investigative reports,
and general correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg19" toc="yes">
<systemNumber>/USCG-019</systemNumber>
<subsection type="systemName">Non-Federal Invoice Processing System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Maintenance and Logistics Command Atlantic in Norfolk,
VA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include active duty, reserve, and retired members of the
uniformed services and their eligible dependents, as well as non-Federal health care providers that have rendered
services to eligible beneficiaries.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Social security number of dependent’s sponsor;
</p><p>&#149; Tax identification number of dental provider
</p><p>&#149; Correspondence, memoranda, and related documents concerning potential and actual health care invoices for
processing by NIPS;
</p><p>&#149; Dental treatment and related medical records provided to the individual that are the subject of an invoice
for non-Federal health care provided to an eligible beneficiary; and
</p><p>&#149; Automated data processing (ADP) records containing identifying data on individuals including: Units of
assignment and address, home address, and information necessary to process and monitor bills for payment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 10 U.S.C. 1091; 14 U.S.C. 93.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the USCG Non-Federal Invoice Processing System is to maintain an electronic record of dental
invoices for Coast Guard active duty member, reserve, retired, and dependent, so that USCG can pay such invoices.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p>This system of records contains individually identifiable health information. The Health Insurance
Portability and Accountability Act of 1996, applies to most of such health information. Department of Defense 6025.18
-R may place additional procedural requirements on the uses and disclosures of such information beyond those found
in the Privacy Act of 1974 or mentioned in this system of records notice. Therefore, routine uses outlined below may not
apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To healthcare professionals: medical information, including records of healthcare and medical invoices to support a
government claim.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, Social Security number of member or dependents sponsor, or name or tax
identification number of non-Federal healthcare provider.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for one year from date of service; transferred to a Federal Record Center and retained for
an additional 5 years 3 months, and destroyed thereafter. (AUTH: GRS 6, Item 1a)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>United States Coast Guard Maintenance and Logistics Command Atlantic Health and Safety Division (MLC LANT (k)),
300 East Main Street, Suite 1000, Norfolk, VA 23510-9103.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant (CG-611), 2100 2nd St., SW., Attn: FOIA
Coordinator, Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov or 1-866-431-0486.</i> In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>From the individual, individual’s spouse, parent or guardian. Medical facilities (United States Coast Guard,
Department of Defense, uniformed Services Treatment Facility, or non-Federal, provider) where beneficiaries are treated.
From Active Duty and Enlisted Personnel; DHS/USCG-005 Military Services Personnel. From Reserve personnel--the
Official Coast Guard Reserve Service Record System, DHS/USCG-028. Investigations resulting from illness or injury.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg20" toc="yes">
<systemNumber>/USCG-020</systemNumber>
<subsection type="systemName">Substance Abuse Prevention and Treatment Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCG Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include Coast Guard personnel, active duty and reserve receiving
substance abuse screening, those receiving substance abuse treatment (inpatient or outpatient), and those requiring
follow-up or aftercare substance abuse treatment services.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Employee ID Number (EMPLID);
</p><p>&#149; Rate/Rank;
</p><p>&#149; History of substance abuse;
</p><p>&#149; Operation facility code;
</p><p>&#149; Treatment center;
</p><p>&#149; Diagnosis;
</p><p>&#149; Dates of treatment;
</p><p>&#149; Member responses to alcohol screening questions;
</p><p>&#149; Treatment records;
</p><p>&#149; Notes on aftercare; and
</p><p>&#149; Final disposition and type.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 5 U.S.C. 7901; 14 U.S.C. 93(a)(17); 14 U.S.C. 632; 42 U.S.C. 4541; COMDTINST M6200.1A, Coast Guard
Health Promotion Manual.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer the USCG Substance Abuse Prevention and Treatment program, including
to identify alcohol and drug abusers within the USCG; to treat, counsel, and rehabilitate individuals who participate in
the USCG Substance Abuse Program; as a management tool to identify trends, to understand through prevalence samples the
impact on the service, to judge the magnitude of drug and alcohol abuse in the service; and to measure the effectiveness
and efficacy of drug and alcohol prevention efforts in the USCG.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p> For records of identity, diagnosis, prognosis, or treatment of any client/patient, irrespective of
whether or when he/she ceases to be a client/patient, maintained in connection with the performance of any alcohol or
drug abuse prevention and treatment function conducted, requested, or directly or indirectly assisted by any department
or agency of the United States, shall, except as provided therein, be confidential and be disclosed only for the purposes
and under circumstances expressly authorized in 42 U.S.C. 290dd-2. The routine uses set forth below do not apply to this
information. This statute takes precedence over the Privacy Act of 1974 to the extent that disclosure is more limited.
However, access to the record by the individual to whom the record pertains is governed by the Privacy Act.
</p><p><b>Note:</b>  For those records not described above, this system of records contains individually identifiable health
information. The Health Insurance Portability and Accountability Act of 1996, applies to most of such health information.
Department of Defense 6025.18-R may place additional procedural requirements on the uses and disclosures of such
information beyond those found in the Privacy Act of 1974 or mentioned in this system of records notice. Therefore,
routine uses outlined below may not apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where the DOJ or DHS has agreed to represent the employee; or
</p><p>4. the U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office
made at the request of and with the consent of the individual to whom the record pertains in accordance with 42 U.S.C.
290dd-2(g).
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>E. To appropriate State and local authorities to report, under State law, incidents of suspected child abuse or
neglect to the extent described under 42 CFR 2.12 and in accordance with 42 U.S.C. 290dd-2(e).
</p><p>F. To any person or entity to the extent necessary to prevent an imminent and potential crime that directly threatens
loss of life or serious bodily injury.
</p><p>G. To report to appropriate authorities when an individual is potentially at risk to harm himself/herself or others.
</p><p>H. To health care components of the Department of Veterans Affairs furnishing health care to veterans.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual name, EMPLID, or unit operation facility code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individual who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are stored electronically in secure facilities behind a locked door. The records are
stored on an electronic server. Military Substance abuse records are not scheduled. Records will be retained
indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant (CG-11), United States Coast Guard Headquarters, 2100 2nd Street, SW., Stop 7902, Washington, DC
20593.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commandant (CG-11), United States Coast Guard Headquarters,
2100 2nd Street, SW., Stop 7902, Washington, DC 20593.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform to the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address, and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from personnel who submit to drug and alcohol testing, DHS and its components and offices,
and testing and treatment facilities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg21" toc="yes">
<systemNumber>/USCG-021</systemNumber>
<subsection type="systemName">Appointment of Trustee or Guardian for Mentally Incompetent Personnel.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Coast Guard Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include Coast Guard military personnel (regular, reserve, active
duty and retired) and their dependents or survivors who are mentally incompetent and the guardian or trustee.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Guardian trustee’s name and contact information;
</p><p>&#149; Information relating to the mental incompetence of certain Coast Guard personnel, their dependents or
survivors;
</p><p>&#149; Records used to assist USCG officials in appointing guardian trustees to mentally incompetent USCG
personnel.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 10 U.S.C. 1448, 1449; 14 U.S.C. 632; 37 U.S.C. 601-604; 33 CFR 49.05; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain information on mentally incompetent USCG military personnel, their
dependents and survivors to determine eligibility for DHS/USCG benefits such as military retired pay or the Survivor
Benefit Plan for survivors, and the closely-related Veterans Affairs benefits.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note: This system of records contains individually identifiable health information. The Health Insurance
Portability and Accountability Act of 1996, applies to most of such health information. Department of Defense 6025.18
-R may place additional procedural requirements on the uses and disclosures of such information beyond those found
in the Privacy Act of 1974 or mentioned in this system of records notice. Therefore, routine uses outlined below may not
apply to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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 or by the individual’s approved trustee or guardian.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To prospective or approved guardian trustees or appointees, including but not limited to relatives, lawyers, and
physicians or other designated representatives;
</p><p>I. To the Department of Veteran’s Affairs upon request for the determination of eligibility for benefits administered
by that agency.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for five years after action is complete, then destroyed. (AUTH: NC1-26-76-
2, Item 577)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Management Directorate, CG-12, United States Coast Guard Headquarters, 1900 Half St.,
SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to USCG, Commandant (CG-611), 2100 2nd St., SW., Attn: FOIA
Coordinator, Washington, DC 20593-0001.
</p><p>When seeking records about yourself or on behalf of a mentally incompetent person for whom you have been appointed
trustee or guardian from this system of records or any other USCG system of records your request must conform with the
Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide
your full name, current address and date and place of birth. You must sign your request, and your signature must either
be notarized or submitted to you under 28 U.S.C. 1746, a law that permits statements to be made under penalty or perjury
as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the
Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you or an incompetent person
for whom you have been appointed trustee or guardian,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual for you to access his/her
records, you must include a statement from that individual certifying his/her agreement or documentation that confirms
your authority to act on behalf of that individual.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity, lack of compliance with applicable regulations, or insufficient authority to act on
behalf of an incompetent individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Coast Guard officials, legal representatives of individuals and/or individuals concerned, medical personnel, and
complainants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg24" toc="yes">
<systemNumber>/USCG-024</systemNumber>
<subsection type="systemName">United States Coast Guard Auxiliary Database (AUXDATA).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCG Headquarters in Washington, DC, the USCG Operations Systems Center in
Martinsburg, WV, and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>As of January 2011, the Auxiliary had approximately 30,400 members in active status and approximately 7,000
members in retired status (i.e., members who have 15 years of recorded Auxiliary membership but no longer desire to
engage in Auxiliary activities). Categories of individuals covered by this system include all current and former USCG
Auxiliarists, the volunteer workforce element of the USCG. This includes applicants who have submitted requisite
information to the USCG as part of the enrollment process. The enrollment process entails submission of this information,
verification of proper age and U.S. citizenship, and completion of a background check conducted through the Coast Guard
Security Center (SECCEN) and the Office of Personnel Management (OPM). Auxiliary enrollment ends upon disenrollment,
retirement, or death. An Auxiliarist’s AUXDATA records are archived upon the end of their enrollment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Personal information (name, employee identification number, address, birth date, phone number);
</p><p>&#149; Auxiliary qualifications information (formal designations in program disciplines that result from
successful completion of training regimens, for example: class instructor, vessel examiner, boat coxswain, and
certifications and licenses);
</p><p>&#149; Auxiliary activities information (patrols conducted, classes taught); and
</p><p>&#149; Information on facilities (boats, radio stations or aircraft-owned by Auxiliarists as well as facility
identification numbers (e.g. boat license number).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 14 U.S.C. 632, 830, and 831; COMDTINST M16790.1 (series).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is the primary information management tool for the USCG Auxiliary program. As the repository for
personal and activity data for Auxiliarists and the units they comprise, AUXDATA is routinely used at local, regional,
and national USCG levels to measure and monitor the levels of support that the Auxiliary provides to USCG missions and to
recognize Auxiliarists for their service. It also provides an inventory of Auxiliary surface, air, and radio facilities
that are offered to and accepted for use by the USCG.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on tape at the USCG Operations Systems Center in Martinsburg, WV.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information may be retrieved by an individual’s name and employee identification number (EMPLID).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information collected by AUXDATA is stored for a minimum of five years after the record is created, then retained
and destroyed in accordance with Coast Guard Commandant Instruction M5212.12 (series), Information and Life Cycle
Management Manual, approved by the National Archives and Records Administration (NARA).
</p><p>&#149; Personal information (name, employee identification number, address, birth date, phone number) is
destroyed/deleted 30 years after disenrollment or death of a member. (AUTH: N1-26-05-10)
</p><p>&#149; Item 2a Information on facilities (boats, radio stations or aircraft-owned by Auxiliarists as well as
facility identification numbers (e.g. boat license number) destroy/delete data 5 years after facility becomes inactive or
is withdrawn from service. (AUTH: N1-26-05-10) Item 2c(1)
</p><p>&#149; Item 2b Auxiliary qualifications information (formal designations in program disciplines that result from
successful completion of training regimens, for example: Class instructor, vessel examiner, boat coxswain, and
certifications and licenses); Training Management Tool Destroy/Delete data 30 years after disenrollment or death of a
member. (AUTH: N1-26-05-10)
</p><p>&#149; Item 2d Auxiliary activities information (patrols conducted, classes taught); Destroy/Delete data when no
longer needed for administrative use or 5 years after final action is completed. (AUTH: N1-26-05-10)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>United States Coast Guard, Office of Command, Control, Communications, Computers, and Sensors Capabilities (CG
-761), United States Coast Guard, 2100 2nd Street, SW., Washington, DC 20593-0001. United States Coast Guard,
Office of Auxiliary and Boating Safety (CG-542), United States Coast Guard, 2100 2nd Street, SW., Washington, DC
20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to United States Coast Guard, Office of Command, Control,
Communications, Computers, and Sensors Capabilities (CG-761), United States Coast Guard, 2100 2nd Street, SW.,
Washington, DC 20593-0001. United States Coast Guard, Office of Auxiliary and Boating Safety (CG-542), United
States Coast Guard, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from forms completed by USCG Auxiliary members.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg27" toc="yes">
<systemNumber>/USCG-027</systemNumber>
<subsection type="systemName">Recruiting Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained within the Recruiting Analysis and Tracking System (RATS) at the United States Coast Guard
Recruiting Command, Arlington, Virginia, United States Coast Guard Operations Systems Center, Kearneysville, West
Virginia, USCG Headquarters in Washington, DC, and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include records and correspondence pertaining to prospective
applicants, applicants for regular and reserve enlisted and officer programs, and any other individuals who have
initiated correspondence pertaining to enlistment in the United States Coast Guard. This system also covers civilians and
military personnel who have taken the following tests: Armed Services Vocational Aptitude Battery; United States Navy
Officer Qualification Test; OQT; United States Navy and United States Marine Corps Aviation Selection Test, AST; United
States Navy Basic Test Battery (BTB), BTB (retests); the Cooperative Tests for Advanced Electronic Training (AET TESTS);
the 16 Personality Fact Test used for screening of enlisted personnel for recruiting duty; and Professional Examination
for Merchant Mariners.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Individual’s home address;
</p><p>&#149; Date of birth;
</p><p>&#149; Social security number;
</p><p>&#149; Program of interest;
</p><p>&#149; Citizenship;
</p><p>&#149; Marital status;
</p><p>&#149; Race;
</p><p>&#149; Ethnicity;
</p><p>&#149; Gender;
</p><p>&#149; Personal history;
</p><p>&#149; E-mail and phone contact information;
</p><p>&#149; Education;
</p><p>&#149; Test scores, college majors, grades and transcripts;
</p><p>&#149; Professional qualifications;
</p><p>&#149; Adverse or disqualifying information, such as criminal record, medical data, and credit history;
</p><p>&#149; Mental aptitude;
</p><p>&#149; Medical documentation;
</p><p>&#149; Medical waivers;
</p><p>&#149; Physical qualifications;
</p><p>&#149; Character and interview appraisals;
</p><p>&#149; National Agency Checks and certifications;
</p><p>&#149; Service performance;
</p><p>&#149; Advertising responses;
</p><p>&#149; Applicant initiated inquiries;
</p><p>&#149; Congressional or special interests;
</p><p>&#149; Marketing data collected through the USCG recruiting Web site and telephone queries made by prospects; and
</p><p>&#149; Credit report results (per Homeland Security Presidential Directive-12).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 10 U.S.C. 503; 14 U.S.C. 350-373, 632; COMDTINST M1100.2E, Coast Guard Recruiting Manual.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document recruiting efforts and maintain recruiting files for the United States
Coast Guard and United States Coast Guard Reserves. This system also provides test results if an applicant (military or
civilian) applies for an officer program, or is already in the military and is recruited to a training program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other Federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation and one of the following is a party to the litigation or has an interest in
such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, state, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To officials and employees of the Veterans Administration and Selective Service System in the performance of their
official duties related to enlistment and reenlistment eligibility and related benefits.
</p><p>I. To officials and employees of the Department of Defense in the performance of their official duties related to the
qualification of applicants for enlistment or commissioning, and for the analysis of and recordation of military force
levels.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved alphabetically by name and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Completed Coast Guard Selection Test (CGST), including Short Basic Test Battery (SBTB) answer sheets sent to
Coast Guard Institute by Recruiting Offices are destroyed when two years old (SSIC 1500 Item 17a, (NC1-26-80
-4, item 338j(1)) and 17b (NC1-26-80-4, item 338j(2))).
</p><p>Officer candidate files for selected applicants are filed in the permanent Official Military Personnel Folder (SSIC
1100, item 1a, NC1-26-76-2, item 583a) Files for non-selected applicants are destroyed 6 months after
deadline dates for class which application is made (SSIC1100, item 1b, NC1-26-76-2, item 583b) Direct
Commission Programs Applicant files; selected applicants records are filed in the permanent Official Military Personnel
Folder (SSIC 1100, item 2a, NC1-26-79-2, item 584a); Non-selected Applicants files are destroyed 1 year
from date of board by which considered. (SSIC 1100, item 2b, NC1-26-79-2, item 584b) OCS and direct
commission applicant files containing copies of applications for appointment in the Coast Guard Reserve are destroyed
when 1 year old. (SSIC 1100, Item 3b, NC1-26-80-4, item 337b)
</p><p>Recruiting office jackets of successful and unsuccessful applicants for enlistment are destroyed one year after
enlistment or rejection. (SSIC 1100, Item 3a, NC1-26-80-4, item 337a) General information files with
the recruiting and enlistment are destroyed after two years (SSIC 1100 item 4, NC1-26-76-2, Item 587).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commander, United States Coast Guard Personnel Command, 2100 2nd Street, SW., Stop 7801, Washington, DC 20539.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the Commandant (CG-611), U.S. Coast Guard, <i>Attn:</i>
FOIA Coordinator, 2100 2nd Street, SW., Stop 7101, Washington, DC 20593.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from USCG recruiting personnel and administrative staff. Medical personnel or private
physicians providing consultations or patient history. Character and employee references. Educational institutions, staff
and faculty members. Selective Service System. Local, state, and Federal law enforcement agencies. Prior or current
military service records. Members of Congress. Other officials and employees of the Coast Guard, Department of Defense
and components thereof, in the performance of their duties and as specified by current instructions and regulations
promulgated by competent authority. Recruiting officials and individuals being recruited or who have been recruited by
the United States Coast Guard, United States Marine Corps, United States Navy, and the United States Navy Bureau of
Medicine.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscg28" toc="yes">
<systemNumber>/USCG-028</systemNumber>
<subsection type="systemName">United States Coast Guard Family Advocacy Case Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCG Headquarters in Washington, DC, and servicing Work-Life Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include active duty, reserve, and retired active duty and
retired reserve military personnel and their dependents entitled to care at a USCG or other military or dental facility
whose abuse or neglect is brought to the attention of appropriate authorities. Also included are persons suspected of
abusing or neglecting such beneficiaries and persons presenting a need for preventive services.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Individual’s name;
</p><p>&#149; Name of the suspected or confirmed abuser/neglecter or person in need of preventive services;
</p><p>&#149; Employee Identification Number and/or Social Security Number;
</p><p>&#149; Medical records of suspected and confirmed cases of family member abuse or neglect;
</p><p>&#149; Interviews and intake reports;
</p><p>&#149; Investigative reports;
</p><p>&#149; Correspondence;
</p><p>&#149; Family Advocacy Incident Determination Committee reports;
</p><p>&#149; Clinical assessment reports;
</p><p>&#149; State and/or local child protective services reports;
</p><p>&#149; Follow-up and evaluation reports; and
</p><p>&#149; Other supportive data assembled relevant to individual Family Advocacy Program files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 632; the Federal Records Act; 42 U.S.C. 5101, 5102; 44 U.S.C. 3101; COMDTINST 1750.7C.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer the USCG Family Advocacy program, including to maintain records that
identify, monitor, track and provide treatment to alleged offenders, eligible victims and their families of substantiated
spouse/child abuse and neglect; and to manage prevention programs to reduce the incidence of abuse throughout the USCG
military communities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p>Disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act limit access to those
individuals within the Coast Guard who have a "need to know" in order to perform their official duties.
Confidential information contained in Family Advocacy Case Records should generally be limited to the servicing Family
Advocacy Specialist, with access permissible to the Family Advocacy Program Manager and direct supervisor of the Family
Advocacy Specialist, on a "need to know" basis. When direct and complete access to the record is given to any
other personnel within the agency who does not have a "need to know" in order to perform their official
duties, written permission of the service member and any identified adult dependent is required.
</p><p><b>Note:</b> This system of records contains individually identifiable health information. The Health Insurance Portability
and Accountability Act of 1996, applies to most of such health information. Department of Defense 6025.18-R may
place additional procedural requirements on the uses and disclosures of such information beyond those found in the
Privacy Act of 1974 or mentioned in this system of records notice. Therefore, routine uses outlined below may not apply
to such health information.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To Federal, State, or local government or private agencies, or approved researchers for coordination of family
advocacy programs, medical care, mental health treatment, and research into the causes and prevention of family domestic
violence and trends within the USCG.
</p><p>I. To Federal, State, or local governmental agencies when it is deemed appropriate to use civilian resources in
counseling and treating individuals or families involved in child abuse or neglect or spouse abuse; or when appropriate
or necessary to refer a case to civilian authorities for civil or criminal law enforcement; or when a state, county, or
municipal child protective service agency inquires about a prior record of substantiated abuse for the purpose of
investigating a suspected case of abuse.
</p><p>J. To victims and witnesses of a crime for purposes of providing information consistent with the requirements of the
Victim and Witness Assistance Program, regarding the investigation and disposition of an offense.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored electronically on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual’s name, social security number, types of incidents, employee identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system and/or paper files containing the
records in this system is limited to those individuals who have a need to know the information for the performance of
their official duties and who have appropriate clearances or permissions. Those individuals routinely granted full access
are Family Advocacy Program staff. When appropriate, those individuals may share information with persons outside the
Family Advocacy Program, which is generally limited to a summary of the incident; names of individuals involved, when
appropriate; and overview of assessment, disposition and treatment recommendations.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained at the servicing Work-Life Office until the case is closed or the service member is
separated from the Coast Guard. Upon closure of the case or separation of the sponsor, the paper record will be
transferred to Commandant, CG-1112, or retained at the servicing Work-Life Office. The record is retained for five
years from case closure or last date of action. At the end of five years the record is destroyed, except for information
concerning certain minor USCG dependents who are victims of child abuse, neglect, or sexual abuse. These records are
retained until the dependent turns 18 years-old. (AUTH: N1-26-05-8, Items, 1, 2, 3)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, CG-111, Office of Work-Life-WP, Director, Personnel Management Directorate, United States Coast
Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to Commandant, CG-111, Office of Work-Life G-WP,
Director, Personnel Management Directorate, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC
20593-0001.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Reports from medical personnel, educational institutions, law enforcement agencies, public and private health and
welfare agencies, USCG personnel and private individuals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)
(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="uscg29" toc="yes">
<systemNumber>/USCG-029</systemNumber>
<subsection type="systemName">Notice of Arrival and Departure Information (NOAD).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>NOAD information for USCG is collected within the Ship Arrival Notification System (SANS) located at USCG
Operations Systems Center in Kearneysville, WV. NOAD records may be maintained in the SANS, or at computer terminals
located at USCG Headquarters, headquarters units, area offices, sector offices, sector sub-unit offices, and other
locations where USCG authorized personnel may be posted to facilitate DHS’ mission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist of crew members who arrive and depart the U.S. by sea
and individuals associated with a vessel and whose information is submitted as part of a notice of arrival or notice of
departure, including but not limited to vessel owners, operators, charterers, reporting parties, 24-hour contacts,
company security officers and persons in addition to crew who arrive and depart the U.S. by sea.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Records on vessels includes: name of vessel; name of registered owner; country of registry; call
sign; IMO number or, if a vessel does not have an IMO number the official number; name of the operator; name of
charterer; name of classification society.
</p><p>&#149; Records on arrival information pertaining to the vessel includes: names of last five foreign ports or
places visited by the vessel; dates of arrival and departure for last five foreign ports or places visited; for each port
or place of the U.S. to be visited, the name of the receiving facility, the port or place; for the port or place of the
U.S. the estimated date and time of arrival; for the port or place in the U.S. the estimated date and time of departure;
the location (port or place and country) or position (latitude and longitude or waterway and mile marker) of the vessel
at the time of reporting; the name and telephone number of a 24-hour point of contact (POC).
</p><p>&#149; Records on departure information as it pertains to the voyage includes: the name of departing port or
waterways of the U.S., the estimated date and time of departure; next port or place of call (including foreign), the
estimated date and time of arrival; the name and telephone number of a 24-hour POC.
</p><p>&#149; Records on crewmembers include: full name; date of birth; nationality; identification type (for example,
passport, U.S. Alien Registration Card, U.S. Merchant Mariner Document, foreign mariner document, government issued
picture ID (Canada), or government-issued picture ID (U.S.), number, issuing country, issue date, expiration date);
position or duties on the vessel; where the crewmember embarked (list port or place and country); where the crewmember
will disembark.
</p><p>&#149; Records for each individual onboard in addition to crew include: full name; date of birth; nationality;
identification type (for example: passport, U.S. alien registration card, government-issued picture ID (Canada),
government-issued picture ID (U.S.), number, issuing country, issue date, expiration date); U.S. address information; and
from where the person embarked (list port or place and country).
</p><p>&#149; Records related to cargo onboard the vessel include: a general description of cargo other than Certain
Dangerous Cargo (CDC) onboard the vessel (e.g., grain, container, oil, <i>etc.</i>); name of each CDC carried, including
United Nations (UN) number, if applicable; and amount of each CDC carried.
</p><p>&#149; Records regarding the operational condition of equipment required by 33 CFR part 164; the date of issuance
for the company’s document of compliance certificate; the date of issuance of the vessel’s safety management certificate;
the name of the flag administration, or recognized organization(s) representing the vessel flag administration, that
issued those certificates.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 632; 33 U.S.C. 1223, 46 U.S.C. 3717; 46 U.S.C. 12501; Federal Records Act of 1950, Pub.
L. 90-620; The Maritime Transportation Act of 2002, Pub. L. 107-295; The Homeland Security Act of 2002, Pub.
L. 107-296; 33 CFR part 160, 36 CFR chapter XII.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain NOAD information to screen individuals and cargo associated with
vessels entering or departing U.S. waterways for maritime safety, maritime security, maritime law enforcement, marine
environmental protection, and other related purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the U.S. Department of Justice (DOJ) (including U.S. Attorney offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative, or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation: (1) DHS, or (2)
any employee of DHS in his/her official capacity, or (3) any employee of DHS in his/her individual capacity where DOJ or
DHS has agreed to represent said employee, or (4) the U.S. or any agency thereof;
</p><p>B. To a Congressional office, for 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;
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency, organization, or individual for the purposes of performing an audit, or oversight operations as
authorized by law but only such information as is necessary and relevant to such audit or oversight function;
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of a suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors, grantees, experts, consultants, 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, in compliance with the Privacy Act of 1974, as amended;
</p><p>G. To an appropriate federal, state, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure;
</p><p>H. To federal and foreign government intelligence or counterterrorism agencies or components where USCG becomes aware
of an indication of a threat or potential threat to national or international security, or where such use is to assist in
anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person
making the disclosure.
</p><p>I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life, property, or other vital interests of a data subject
and disclosure is proper and consistent with the official duties of the person making the disclosure;
</p><p>J. To appropriate federal, state, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations, for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantined disease or for
combating other significant public health threats; appropriate notice will be provided of any identified health threat or
risk;
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, settlement negotiations, response to a
subpoena, or in connection with criminal law proceedings;
</p><p>L. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information
pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of
the officer making the disclosure;
</p><p>M. To an appropriate federal, state, local, Tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other
benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the
request;
</p><p>N. To appropriate federal, state, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations where USCG is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance border security or identify other violations of law.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>NOAD information is stored electronically in the SANS located at USCG Operations Systems Center in Kearneysville,
WV. USCG uses an alternative storage facility for the SANS historical logs and system backups. Derivative NOAD system
data may be stored on USCG Standard Workstation III computers or USCG unit servers located at USCG Headquarters,
headquarters units, area offices, sector offices, sector sub-unit offices, and other locations where USCG authorized
personnel may be posted to facilitate DHS’ mission.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>NOAD information maintained in the SANS is not retrievable by name or other unique personal identifier. NOAD
information is extracted from the SANS by vessel and then retrieved by name, passport number, or other unique personal
identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>NOAD data in the SANS is safeguarded in accordance with applicable laws, rules, and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include role-based access provisions, restricting access to authorized personnel who have a need-to-know,
using locks, and password protection identification features. USCG file areas are locked after normal duty hours and the
facilities are protected from the outside by security personnel.
</p><p>The system manager, in addition, has the capability to maintain system back-ups for the purpose of supporting
continuity of operations and the discrete need to isolate and copy specific data access transactions for the purpose of
conducting security incident investigations.
</p><p>All communication links with the USCG datacenter are encrypted. The databases are Certified and Accredited in
accordance with the requirements of the Federal Information Security Management Act (FISMA).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with NARA Disposition Authority number N1-026-05-11, NOAD information on vessels
and individuals maintained in the SANS is destroyed or deleted when no longer needed for reference, or after ten years
old, whichever is later. Why does this seem much more general than other retention schedules? Is this consistent with
other discussions of retention?
</p><p>Outputs, which include ad-hoc reports generated for local and immediate use to provide a variety of interested
parties, for example, Captain of the Port and marine safety offices, sea marshals, Customs and Border Patrol, Immigration
and Customs Enforcement with the necessary information to set up security zones, scheduling boarding and inspections
activities, actions for non-compliance with regulations, and other activities in support of USCG’s mission to provide for
safety and security of U.S. ports, will be deleted after five years if they do not constitute a permanent record
according to NARA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, USCG-26, United States Coast Guard Headquarters, 2100 2nd Street SW., Washington, DC 20593
-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS/USCG will consider individual requests
to determine whether or not information may be released. Thus, to determine whether this system contains records relating
to you, write to the System Manager identified above. Your written request should include your name and mailing address.
You may also provide any additional information that will assist in determining if there is a record relating to you if
applicable, such as your Merchant Mariner License or document number, the name and identifying number (documentation
number, state registration number, IMO number, etc.) of any vessel with which you have been associated and the name and
address of any facility (including platforms, deep water ports, marinas, or terminals) with which you have been
associated. The request must be signed by the individual, or his/her legal representative, and must be notarized to
certify the identity of the requesting individual pursuant to 28 U.S.C. 1746 (unsworn declarations under penalty of
perjury). Submit a written request identifying the record system and the category and types of records sought to the
Executive Agent. Request can also be submitted via the FOI/Privacy Acts. See <i>http://www.uscg.mil/foia/</i> for
additional information.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Write to the System Manager at the address given above in accordance with the Notification Procedure."
Provide your full name and a description of the information you seek, including the time frame during which the record(s)
may have been generated. Individuals requesting access to their own records must comply with DHS’s Privacy Act regulation
on verification of identity (6 CFR 5.21(d)). Further information may also be found at <i>http://www.dhs.gov/foia</i> or
at <i>http://www.uscg.mil/foia/.</i>
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification" procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains data received from vessel carriers and operators regarding passengers, crewmembers, and cargo
which arrive in, depart from, transit through the U.S. on a vessel carrier covered by notice of arrival and departure
regulations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system, however, may contain records or information recompiled from or created from information contained in
other systems of records, which are exempt from certain provisions of the Privacy Act. For these records or information
only, in accordance with 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2), DHS will also claim the original exemptions for these
records or information from subsections (c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I),
(5), and (8); (f), and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such
information.
</p></xhtmlContent></subsection></section>
<section id="uscg30" toc="yes">
<systemNumber>/USCG-030</systemNumber>
<subsection type="systemName">United States Merchant Seamen’s Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the National Maritime Center in Martinsburg, WV, the USCG Headquarters in Washington,
DC, the USCG Operations Systems Center in Kearneysville, WV, and in Regional Examination Centers. Archived records are
located at the regional Federal Records Centers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include all current and former United States Merchant Seamen, as
well as applicants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Full name (including maiden name, if applicable);
</p><p>&#149; Employee identification number;
</p><p>&#149; Mailing address;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Phone number(s), include home, work, fax;
</p><p>&#149; E-mail Address;
</p><p>&#149; Next of Kin’s Name, mailing address, phone number and email address;
</p><p>&#149; Country of citizenship;
</p><p>&#149; Social Security number;
</p><p>&#149; Color of eyes, hair, weight and height;
</p><p>&#149; Type of license or certificate for which the individual is applying;
</p><p>&#149; Shipping articles;
</p><p>&#149; Log books;
</p><p>&#149; Seamen’s license records;
</p><p>&#149; Seamen’s biometrics including photographs and fingerprint records;
</p><p>&#149; Disciplinary records;
</p><p>&#149; Security records;
</p><p>&#149; Current state of application, including granted or denied with place and date of issuance;
</p><p>&#149; Information related to narcotics, drinking while under the influence, and conviction records; and
</p><p>&#149; Character references, including full name, contact information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C. 2103, 7302, 7305, 7314, 7316, 7319, 7502, 7701, 8701; 46 CFR 12.02-
25; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The principle purpose of this system is to administer the Commercial Vessel Safety Program to determine domestic
and international qualifications for the issuance of licenses, documents, and staff officer certifications. This includes
establishing eligibility of a merchant mariner’s document, duplicate documents, or additional endorsements issued by the
Coast Guard and establishing and maintaining continuous records of the persons documentation transactions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 3004 and 3006.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To private organizations when considered beneficial to the seaman.
</p><p>I. To other Federal Agencies, such as the Veteran’s Administration, the Social Security Administration, the Internal
Revenue Service, in connection with benefits and services administered by those agencies.
</p><p>J. To any source or potential source from which information is requested in the course of an investigation concerning
the retention of an employee or other personnel action (other than hiring), or the retention of a security clearance,
contract, grant, license, or other benefit, to the extent necessary to identify the individual, inform the source of the
nature and purpose of the investigation, and to identify the type of information requested.
</p><p>K. To designated officers and employees of Federal, State, local or international agencies in connection with the
hiring or continued employment of an individual, the conduct of a suitability or security investigation of an individual,
the grant, renewal, suspension, or revocation of a security clearance, or the certification of security clearances, to
the extent that DHS determines the information is relevant and necessary to the hiring agency’s decision.
</p><p>L. To the Maritime Administration for the purpose of merchant mariner call-ups related to national security.
</p><p>M. To the U.S. Navy for the purpose of verifying the credential status of Navy personnel.
</p><p>N. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C552a(b)(12) may be made from this system to "consumer reporting agencies,
" as defined in the Fair Credit Reporting Act (15 U.S. C. 1681a(f)) or Federal Claims Collection Act of 1982 (31
U.S.C 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper files are stored at a secure, controlled access site managed by either Coast Guard personnel or contract
personnel with oversight from Coast Guard personnel. Electronic records are stored on a secure database server at the
Coast Guard Operation Systems Center. Inactive records are stored by the National Archives and Records Administration at
that agency’s Federal Records Centers facilities.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by individual’s name and identifying number (<i>e.g.</i> Social Security, MMLD assigned
system number or Continuous Discharge Book number) .
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. Paper records related to issuance of Merchant Mariners’ Licenses and
Documents (MMLD) are located in Coast Guard Regional Examination Centers or the National Maritime Center in locked file
cabinets. Access to records is limited to personnel requiring access for their jobs.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records related to issuance of Merchant Mariner Licenses and Documents are held on site for five years past
the last activity with the file. After that time they are then transferred to the Washington National Records Center in
Suitland, MD. As disposition is pending on this system contingent on NARA approval, records are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>United States Coast Guard, National Maritime Center, NMC-4, 100 Forbes Drive, Martinsburg, WV 25404.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to United States Coast Guard, National Maritime Center, NMC-4,
100 Forbes Drive, Martinsburg, WV 25404.
</p><p>When seeking records about yourself from this system of records or any other USCG system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the USCG may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personnel File-seamen, United States Coast Guard officials, other Federal Agencies, and employer. Shipping
Articles--Vessels’ operators, seamen, masters of vessels, State Department, and Coast Guard officials. Training
records--schools certified to provide training for U.S. mariners. Medical records--physicians, hospitals and
other medical providers authorized by mariners to provide this information on their behalf. Disciplinary Records-Coast
Guard Investigating Officers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H),
(I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="uscg60" toc="yes">
<systemNumber>/USCG-060</systemNumber>
<subsection type="systemName">Homeport.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is located at the United States Coast Guard Operations Systems Center, 600 Coast Guard Drive,
Kearneysville, WV 25430-3000.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system of records covers individuals including, but not limited to, representatives of the maritime
industry, members of Area Maritime Security Committees, entities regulated under the maritime Transportation Security
Act, and government officials. These persons may complete on-line forms and/or request an account to provide the
information requested or required by the Coast Guard, access/view sensitive but unclassified information, and participate
in collaboration communities. This system will also cover individuals for whom background screening will be conducted for
the purpose of establishing Coast Guard-approved identification credentials for access to certain regulated facilities.
These individuals include, but are not limited to, facility operators, their employees, and non-employees who require
regular access privileges to such regulated facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>To participate in the Homeport portal for information dissemination and collection, the following personal
information may be included in this record system: Full Name, Company or Organization name, Address, City, State, Zip,
Country, Work Phone, Mobile Phone, 24 Hour Contact Phone, Fax, Pager, E-mail Address, Alternate E-mail Address, Referral
Name/Phone/E-mail Address, Date of Birth, height, weight, and other personal characteristics, if applicable.
</p><p>For Coast Guard members (active duty and civilian personnel), these fields are pre-populated using data from Direct
Access, the Coast Guard’s enterprise human resource system. The following information is being captured from Direct
Access: Employee ID, Billet Control Number (BCN), Grade Level, and Position Number.
</p><p>For purposes of issuing identification credentials for facilities access, the following personal information will be
included: Full Name, Date of Birth, Social Security (optional) Number, and Alien identification number (if applicable).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>50 U.S.C. 191; 46 U.S.C. 3717; 46 U.S.C. 12501; 44 U.S.C. 35 (1) 3507; 33 U.S.C. 1223; 14 U.S.C. 2; 33 CFR part
125
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Homeport is an enterprise tool that will facilitate compliance with the requirements set forth in the Maritime
Transportation Security Act (MTSA) of 2002, by providing secure information dissemination, advanced collaboration,
electronic submission and approval for vessel/facility security plans, and complex electronic and telecommunication
notification capabilities. The collection of personally identifiable information concerning those with access to Homeport
will allow the Coast Guard to validate the suitablility, identity and eligibility of those who request permission and/or
have access to the system. In addition, the system helps ensure national security by collecting information required to
verify maritime workers’ identities and facilitating the validation of maritime workers’ background information. The
system will also assist transportation facilities in managing their security risks and accounting for access of
authorized personnel to transportation facilities and activities.
</p><p>The system can also be used to facilitate communications and therefore aid the Coast Guard’s response to major
incidents, such as maritime casualties and natural disasters.
 </p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
 of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5
 U.S.C. 552a(b)(3) as follows:
</p><p>(A) Where a record, either on its face or in conjunction with other information, indicates a violation or potential
violation of law--criminal, civil or regulatory--the relevant recoreds may be referred to an appropriate
Federal, state, territorial, tribal, local, international, or foreign agency law enforcement authority or other
appropriate agency charged with investigating or prosecuting such a violation or enforcing or implementing such law.
</p><p>(B) To Federal intelligence community agencies and other agencies to further the mission of those agencies relating to
persons who may pose a risk to homeland security.
</p><p>(C) To a Federal, state, local, tribal, territorial, foreign, or international agency, in connection with the hiring
or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that
the information is relevant and necessary to either to the agency’s or the Coast Guard’s decision on the matter.
</p><p>(D) To an organization or individual in either the public or private sector where there is a reason to believe that
the recipient is or could become the target of a particular terrorist activity or conspriacy, to the extent the
information is relevant to the protection of life or property.
</p><p>(E) To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.
</p><p>(F) To international and foreign governmental authorities, in accordance with law and formal or informal international
agreement.
</p><p>(G) To maritime facility personnel or other appropriate individuals when relevant to the individual’s employment,
application, contract, issuance of credentials or clearances, or access to maritime facilities.
</p><p>(H) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which the Coast Guard exercises jurisdiction; or when conducting
litigation, or in proceedings, before any court, adjudicative or administrative body, when: (a) The Coast Guard; or (b)
any employee of the Coast Guard in his/her official capacity; or (c) any employee of the Coast Guard in his/her
individual capacity, where DOJ or the Coast Guard has agreed to represent the employee; or (d) the United States or any
agency thereof, is a party to the litigation, or has an interest in such litigation, and the Coast Guard determines that
the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose
for which the Coast Guard collected the records.
</p><p>(I) To contractors, grantees, experts, consultants, volunteers, or other like persons, when necessary to perform a
function or service related to this system of records for which they have been engaged.
</p><p>(J) To a congressional office from the record of an individual, in response to an inquiry from that congressional
office made at the individual.
</p><p>(K) To the National Archives and Records Administration, or other appropriate Federal agency, pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
 </p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored in electronic form in an automated data processing (ADP) database operated and
maintained by the USCG. Backups are performed daily. Copies of backups are stored at an off-site location.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved from this system by First Name, Last Name, City, State, Captain of the Port Zone, Vessel
Role, Facility Role, Committee Membership, Vessel Association, Case Identification Number, and Facility Association.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Homeport falls under the guidelines of the USCG Operations System Center (OSC) in Kearneysville, WV. This
computer facility has its own approved System Security Plan, which provides that the system will be maintained in a
secure computer room with access restricted to authorized personnel only. Access to the building must be authorized and
is limited. The U.S. Coast Guard will operate Homeport in consonance with Federal security regulations, policy,
procedures, standards and guidance for implementing the Automated Information Systems Security Program. Only authorized
Department of Homeland Security personnel, and authorized U.S. Government contractors conducting system maintenance, may
access Homeport records.
</p><p>Access to records is protected by the use of two-password security and the scope of access for each password is
limited to the official need of each individual authorized access. USCG will ensure that users take precautions in
accordance with OMB Circular A-130, Appendix III (regarding the Computer Security Act of 1987).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>USCG has a proposed record schedule pending with the National Archives and Records Administration (NARA). If
approved, registration information collected by Homeport will be expunged from the system once an account is terminated.
Data related to maritime personnel screening will be retained for two years. Response-associated information, such as
personal data needed for search and rescue purposes, will be retained for 120 days following completion of response
operations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Homeland Security, United States Coast Guard Headquarters, Chief, Office of Information Resources
(G-PRI), 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine if this system contains information on you, you may submit a written request that includes your
name, mailing address, and, if applicable, your merchant mariner license or document number, to the System Manager. For
ease of identification, you should also include the name and identifying number (documentation number, state registration
number, International Maritime Organization (IMO) number, etc.) of any vessel with which you have been associated and the
name and address of any facility (including platforms, bridges, deep water ports, marinas, terminals, and factories) with
which you have been associated. You or your legal representative must sign the request. Send the request to the System
Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedures"  above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedures"  and "Records access procedures,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information entered into Homeport is gathered from registering users, the general public if completing an on-line
form during marine casualty incidents or natural disasters, individuals who are proposed to have access to maritime
facilities, government agencies, and U.S. Coast Guard personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dhs62" toc="yes">
<systemNumber>/USCG-062</systemNumber>
<subsection type="systemName">Law Enforcement Information Database (LEIDB)/Pathfinder.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but unclassified to Classified, Secret.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The computer database is located at U.S. Coast Guard Intelligence Coordination Center, Department of Homeland
Security, National Maritime Intelligence Center, Washington, DC, 20395.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist of:
</p><p>A. Individuals, U.S. citizens, lawful permanent residents, and foreign nationals, associated with vessels, facilities,
companies, and organizations, engaged in commercial and recreational maritime activity on or adjacent to waters subject
to the jurisdiction of the United States.
</p><p>B. Individuals, U.S. citizens, lawful permanent residents, and foreign nationals, identified during enforcement
actions taken by enforcement Officials and employees of the Coast Guard while enforcing United States (U.S.) law,
international law, or treaties.
</p><p>C. Individuals, U.S. citizens, resident aliens, and foreign nationals, directly and indirectly associated with
individuals listed in paragraphs A and B of this section
</p><p>D. Individuals, U.S. citizens, resident aliens, and foreign nationals, directly and indirectly associated with
vessels, maritime facilities and other maritime infrastructure which are known, suspected, or alleged to be involved in
illegal activity (e.g. contraband trafficking, illegal migrant smuggling, or terrorist activity).
</p><p>E. Individuals, U.S. citizens, resident aliens, and foreign nationals, identified during a terrorist screening process
as a possible identity match to a known or suspected terrorist.
</p><p>F. Individuals, U.S. citizens, resident aliens, and foreign nationals, identified in or reasonably believed to be
related to reports submitted by Coast Guard personnel engaged in enforcement boarding’s, safety inspections, aircraft
over-flights or other means of observation, and other Coast Guard operational activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>LEIDB/Pathfinder contains:
</p><p>A. Messages delivered to the system automatically from the Coast Guard Messaging System (CGMS) or the Defense
Messaging System (DMS). Additional data records may be delivered to LEIDB/Pathfinder by Coast Guard Intelligence
personnel through an electronic mail interface.
</p><p>B. Field Intelligence Reports (FIR) generated by any Coast Guard unit that observes or otherwise obtains information
they believe may be relevant to security threats, vulnerabilities or criminal activity.
</p><p>C. Request For Information (RFI) generated by any Coast Guard unit as a request for assistance from the Intelligence
program to better understand a situation.
</p><p>D. Intelligence Information Report (IIR) generated by select Coast Guard units and other government agencies able to
issue a standardized Department of Defense message reporting information relevant to intelligence requirements.
</p><p>E. Situation Reports (SITREPS) generated by Coast Guard operational units engaged in operations providing a status
update to a developing or ongoing operation.
</p><p>F. Operational Status Reports (OPSTAT), generated by Coast Guard operational units to report on operational capability
of personnel, units, and stations.
</p><p>G. Operations Reports (OPREPS) generated by Coast Guard operational units to report the conclusion of an operation.
</p><p>H. Any other operational reports in any format that contain information with intelligence value are also included and
can be transmitted through CGMS or DMS.
</p><p>I. Data records related to known, suspected, or alleged criminals as well as individuals associated with them (e.g.
immigrants being smuggled) to include individuals engaged in terrorist activity in the Maritime domain.
</p><p>J. Data records on facilities and their characteristics including: geographic location, commodities handled,
equipment, certificates, inspection data, pollution incidents, casualties, and violations of all laws and international
treaties, if applicable.
</p><p>K. Data records on individuals associated with facilities and information pertaining to directly and indirectly
related individuals, companies, and organizations associated with those facilities such as owners, operators, managers,
and employees.
</p><p>The above reports may have the following types of biographical information: names, aliases, dates of birth, phone
numbers, addresses, nationality, identification numbers such as A-File Number, Social Security Number, or driver’s
license number, employer, boat registration numbers, and physical characteristics. No biometric data is collected or
maintained.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Records Act of 1950, Title 44 U.S.C. 3101; Title 36, Code of Federal Regulations, chapter XII; The
Maritime Transportation Security Act of 2002, Pub L. 107-295 The Homeland Security Act of 2002, Pub L. 107-
296; 5 U.S.C. 301; 14 U.S.C. 93, 14 U.S.C. 632; 46 U.S.C. 2306, 46 U.S.C. 3717; 46 U.S.C. 12501; 33 U.S.C. 1221 <i>et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>LEIDB/Pathfinder enables Coast Guard Intelligence program personnel to manage Coast Guard message traffic that
contains law enforcement information collected by Coast Guard Officers and employees in the course of their statutory
duties. It also enables analysis of that information to improve the effectiveness and efficiency of Coast Guard mission
performance. The Coast Guard Intelligence Program supports the full range of Coast Guard missions through data collection
and analysis to meet operational Commanders information requirements. One reason for collection is to improve the
awareness of operational Commanders such that they will be optimally positioned to provide services to the public.
Another reason is to assist in the detection, prevention, and mitigation of all unlawful acts that occur within the
maritime environment and to support responses to man made or naturally occurring threats to public safety.  Routine uses
of records maintained in the system, including categories of users and the purposes of such uses:
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3):
</p><p>A. To an appropriate Federal, State, territorial, tribal, local, international, or foreign government intelligence
entity, counterterrorism agency, or other appropriate authority charged with investigating threats or potential threats
to national or international security or assisting in counterterrorism efforts, where a record, either on its face or in
conjunction with other information, identifies a threat or potential threat to national or international security, or DHS
reasonably believes the information may be useful in countering a threat or potential treat, which includes terrorist and
espionage activities, and disclosure is appropriate to the proper performance of the official duties of the person
receiving the disclosure.
</p><p>B. To a Federal State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>C. To appropriate Federal, state, local, tribal, foreign governmental agencies, multilateral governmental
organizations, and non-governmental or private organizations for the purpose of protecting the vital interests of a data
subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of
a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be
provided of any identified health threat or risk.
</p><p>D. To U.S. Department of Defense and related entities including, but not limited to, the Military Sealift Command and
the U.S. Navy, to provide safety and security information on vessels or facilities chartered, leased, or operated by
those agencies.
</p><p>E. To a Federal, State, or local agency responsible for response and recovery operations caused by a man made or
naturally occurring disaster for use in such operations.
</p><p>F. To the National Transportation Safety Board and its related State counterparts for safety investigation and
transportation safety.
</p><p>G. To the International Maritime Organization (IMO), intergovernmental organizations, nongovernmental organizations,
or foreign governments in order to conduct investigations, operations, and inspections pursuant to its authority.
</p><p>H. To Federal, State, or local agencies or foreign government agencies pertaining to marine environmental protection
activities.
</p><p>I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p><p>J. To contractors, grantees, experts, and consultants, performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the Federal Government, when necessary to accomplish a DHS function
related to this system of records.
</p><p>K. To an appropriate federal, state, territorial, tribal, local, international, or foreign law enforcement agency or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>L. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when: (a) DHS or any component thereof, or (b) any employee of DHS in his/her
official capacity, or (c) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest in such
litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such
records is compatible with the purpose for which DHS collected the records.
</p><p>M. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>N. To appropriate agencies, entities, and persons when (1) DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a
result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft
or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the
Department or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond
to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>O. To a federal, state, tribal, local or foreign government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence.
</p><p>Disclosure to consumer reporting agencies:
</p><p>No disclosure.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored in electronic form in an automated data processing (ADP) system operated and
maintained by the U.S. Coast Guard. Backups are performed daily. Copies of backups are stored at an offsite location.
Personal, Sensitive but Unclassified (SBU), Unclassified, and Classified data and records reside commingled with each
other. Classified and non-classified information are merged on a classified domain.
</p><p>Data is stored electronically. Short term data extracts may be in paper or electronic form for the duration of a
specific analytic project or activity. Data extracts are stored in appropriately classified storage containers or on
secured electronic media in accordance with existing security requirements.
</p><p>Extracted unclassified information will be stored in accordance with DHS Management Directive governing the marking,
storage, and handling of unclassified sensitive information. Unclassified information derived from LEIDB/Pathfinder
remains U.S. Coast Guard information and is For Official Use Only. Determinations by any user to further disseminate, in
any form, LEIDB/Pathfinder derived information to other entities or agencies, foreign or domestic, must include prior
authorization from the appropriate supervisor authorized to make such determinations.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information can be retrieved from LEIDB/Pathfinder via text string search submitted in Boolean language query
format. Data records in LEIDB/Pathfinder do not rely on normalization or correlation to manipulate data, there are no
prescribed data fields for LEIDB/Pathfinder data records.
</p><p>Records retrieval through string searches enables data association by any term, including personal identifier.
Unstructured text in a data record can be matched to any other data record. Specifically, information on individuals may
be retrieved by matching individual name, Social Security Number, passport number, or the individual’s relationship to a
vessel (e.g., owner, shipper, consignee, crew member, passenger, etc.). Information may also be an innumerable amount of
non-identifying information such as vessel name, vessel type, port location, port status, etc.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies, including the
DHS Information Technology Security Program Handbook. All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized
personnel who have a need-to-know, using locks, and password protection identification features. Physical locations are
locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p><p>LEIDB/Pathfinder falls under the security guidelines of the National Maritime Intelligence Center (NMIC) and has its
own approved System Security Plan which provides that:
</p><p>All classified LEIDB/Pathfinder equipment, records and storage devices are located within facilities or stored in
containers approved for the storage of all levels of classified information.
</p><p>All statutory and regulatory requirements pertinent to classified and unclassified information have been identified in
the LEIDB/Pathfinder System Security Plan and have been implemented.
</p><p>Access to records requiring SECRET level is limited strictly to personnel with SECRET or higher level clearances and
who have been determined to have the appropriate "need to know".
</p><p>Access to records requiring CONFIDENTIAL level is limited strictly to personnel with CONFIDENTIAL or higher level
clearances and who have been determined to have the appropriate "need to know".
</p><p>Access to all records is restricted by login and password protection. The scope of access to any records via login and
password is further limited based on the official need of each individual authorized access. The U.S. Coast Guard will
take precautions in accordance with OMB Circular A-130, Appendix III.
</p><p>The U.S. Coast Guard will operate LEIDB/Pathfinder in consonance with Federal security regulations, policy,
procedures, standards and guidance for implementing the Automated Information Systems Security Program. Specific Coast
Guard operating rules include Command certification that an individual Officer or employee requires access to
LEIDB/Pathfinder to perform official duties. Individual Officers and employees must certify knowledge of Coast Guard
policies limiting the use of PII and FOUO information. Individual Officers and employees must certify agreement to proper
use of data records contained in LEIDB/Pathfinder and must agree to meet minimum security requirements.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All records, but not including audit records maintained to document user access to information relating to
specific individuals, are maintained within the system for ten (10) years. These records are then destroyed. Audit
records are maintained for five years from the date of last use by any given user then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Homeland Security United States Coast Guard, Assistant Commandant for Intelligence and Criminal
Investigations (CG-2), Office of ISR Systems and Technology, Data Analysis and Manipulation Division (CG-
262), 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsection (j)(2) and (k)(1) and (k)(2) of the Privacy
Act.
</p><p>General inquiries regarding LEIDB/Pathfinder may be directed to Department of Homeland Security United States Coast
Guard, Assistant Commandant for Intelligence and Criminal Investigations (CG-2), Office of ISR Systems and
Technology, Data Analysis and Manipulation Division (CG-262), 2100 2nd Street, SW., Washington, DC 20593-
0001. Submit a written request that includes your name, mailing address, and Social Security number to the above listed
system manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsection (j)(2) and (k)(1) and (k)(2) of the Privacy
Act. Nonetheless, DHS will examine each separate request on a case-by-case basis, and, after conferring with the
appropriate component or agency, may waive applicable exemptions in appropriate circumstances and where it would not
appear to interfere with or adversely affect the law enforcement or national security purposes of the systems from which
the information is recompiled or in which it is contained.
</p><p>Write the FOIA/Privacy Act Officer (CG-611), FOIA/Privacy Act Request at the address given above in accordance
with the "Notification Procedure".
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted to you under 28 U.S.C. 1746, a law that permits statements to be
made under penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms
for this purpose form the Director, Disclosure and FOIA, <i>http://www.dhs.gov/foia</i> or 1-866-431-
0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you, </p><p>&#149; Identify
which component(s) of the Department you believe may have the information about you, </p><p>&#149; Specify when you
believe the records would have been created, </p><p>&#149; Provide any other information that will help the FOIA staff
determine which DHS component agency may have responsive records, </p><p>&#149; If your request is seeking records
pertaining to another living individual, you must include a statement from that individual certifying his/her agreement
for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p><p>Further information may also be found at www.dhs.gov/foia.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsection (j)(2) and (k)(1) and (k)(2) of the Privacy
Act. A request to amend non-exempt records in this system may be made by writing to the System Manager, identified above,
in conformance with 6 CFR Part 5, Subpart B, which provides the rules for requesting access to Privacy Act records
maintained by DHS.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in LEIDB/Pathfinder is gathered from a variety of sources both internal and external to the
Coast Guard. Source information may come from at sea boardings, investigations, vessel notice of arrival reports, U.S.
Coast Guard personnel (both direct observations and interviews of non-Coast Guard personnel), law enforcement notices,
commercial sources, as well as other federal, state, local and international agencies who are related to the maritime
sector and/or national security sector.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2) of the Privacy Act, the records and information in this system are exempt from 5
U.S.C. 552a(c)(3) and (4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g). Pursuant
to 5 U.S.C. 552a(k)(1) and (k)(2) of the Privacy Act the records and information in the system are exempt from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). A Final Rule for exempting this record system has been
promulgated in accordance with the requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c), and (e) and is being published
[in 6 CFR Part 5] concurrently with publication of this re-publication of the system of records notice, and the proposed
rulemaking receiving no public comments.
</p></xhtmlContent></subsection></section>
<section id="oha1" toc="yes">
<systemNumber>/OHA-001</systemNumber>
<subsection type="systemName">Office of Health Affairs--Contractor Occupational Health and Immunization Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records may be maintained at the Directorate of Science and Technology (S&amp;T) Headquarters in Washington, DC
at S&amp;T Laboratories or Federally Funded Research and Development Centers (FFRDC), or by the contracted Competent
Medical Authority, collecting the records on behalf of S&amp;T.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: S&amp;T contractors working at S&amp;T Laboratories
(and other sites); FFRDC contractors; and contractors from other Federal agencies assigned to these S&amp;T entities,
whose occupational health and immunization records are created in support of the S&amp;T’s Laboratory research mission
and occupational health surveillance operations. To note, Federal employees are specifically not covered by this system
because they are covered by the Office of Personnel Management OPM/GOVT-10 <i>Employee Medical File System Records
</i> system (June 19, 2006, 71 FR 35360).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s full name;
</p><p>&#149; Date of birth and age;
</p><p>&#149; Gender;
</p><p>&#149; Work e-mail address;
</p><p>&#149; Work phone number;
</p><p>&#149; Work address;
</p><p>&#149; Organizational affiliation;
</p><p>&#149; Blood type;
</p><p>&#149; Immunization record;
</p><p>&#149; Other relevant occupational health records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The DHS Chief Medical Officer, under 6 U.S.C. 321e is authorized to ensure "internal and external
coordination of all medical preparedness and response activities of the Department", to serve as the Department’s
primary point of contact on medical and health issues, and to perform such other duties relating to the Chief Medical
Officer’s responsibilities as the Secretary may require. DHS Delegation 5001 (to the Assistant Secretary for Health
Affairs (ASHA) and Chief Medical Officer) builds upon the Chief Medical Officer’s statutory authority in 6 U.S.C. 321e by
granting the Chief Medical Officer "the authority to exercise oversight over all medical and public health
activities of" DHS. Section II, DHS Delegation 5001. Additionally, the Delegation authorizes the Chief Medical
Officer to assure an effective coordinated medical response to natural or man-made disasters or acts of terrorism,
including "[s]upporting the National Operations Center, National Response Coordination Center, and Component
leadership to ensure that operations have appropriate medical support, to specifically include coordination of medical
activities for any level of incident with biological or medical consequences."
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to manage, quantify, monitor, and track occupational health and immunization
records of contractors working at S&amp;T Laboratories or FFRDCs, and employees and contractors from other Federal
agencies assigned to those S&amp;T entities created in support of S&amp;T research mission and occupational health
surveillance operations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the Department of Energy when conducting research in collaboration with DHS under an interagency agreement, a
Memorandum of Understanding, or Memorandum of Agreement.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by an individual’s name, date of birth, e-mail address, and/or work telephone number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be maintained in accordance with the National Archives and Records Administration (NARA) approved
General Records System 1, Item 19, which covers forms, correspondence, and other records, including summary records
documenting an individual employee’s medical history, physical condition, and visits to the Government health-facilities,
for non-work related purposes. Occupational health and immunization records maintained at field sites will be retained by
the laboratories contract operators. Records are deleted/destroyed when S&amp;T or laboratory contract operators
determine that they are no longer needed for administrative, legal, audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Directorate of Science and Technology Laboratory Operations and Oversight Manager (202-254-6400),
Directorate of Science and Technology, Department of Homeland Security, Washington, DC 20520.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to S&amp;T’s FOIA Officer, whose contact information can be found at
<i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records your request must conform with the Privacy Act
regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name,
current address and date and place of birth. You must sign your request, and your signature must either be notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer
and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition
you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained by the subject individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ice1" toc="yes">
<systemNumber>/ICE-001</systemNumber>
<subsection type="systemName">Student and Exchange Visitor Information System (SEVIS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records in the SEVIS II application are maintained in electronic form in a government-secured facility located in
Rockville, Maryland and at a contingency site.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: (1) Prospective, current and former nonimmigrants to
the U.S. on an F-1, M-1, or J-1 class of admission and their dependents who have been admitted under an
F-2, M-2, or J-2 class of admission (collectively, F/M/J nonimmigrants); (2) a proxy, parent or
guardian of an F/M/J nonimmigrant; and (3) officials, owners, chief executives, and legal counsel of Student and Exchange
Visitor Program (SEVP)-certified schools and designated exchange visitor sponsors.
</p><p>F nonimmigrants are foreign students pursuing a full course of study in a college, university, seminary, conservatory,
academic high school, private elementary school, other academic institution, or language training program in the U.S.
that SEVP has certified to enroll foreign students. M nonimmigrants are foreign students pursuing a full course of study
in a vocational or other recognized nonacademic institution (e.g., technical school) in the U.S. that SEVP has certified
to enroll foreign students. J nonimmigrants are foreign nationals selected by a sponsor that the Department of State
(DOS) has designated to participate in an exchange visitor program in the U.S.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>Biographical information for F/M/J nonimmigrants and school/sponsor officials used in the creation of SEVIS II user
accounts, specifically names; U.S. domestic address; foreign address (F/M/J nonimmigrants only); date of birth; birth
country and city; country of citizenship; country of legal permanent residence; username; e-mail addresses; the DHS-
assigned Immigrant Identification Number (IIN); Alien Registration Number (A-Number) (for school/sponsor officials
who are U.S. lawful permanent residents only); National Identity Number (for F/M/J nonimmigrants only); and passport
information (number, issuing country, expiration date). This information would also be collected for any proxy, parent or
guardian for an F/M/J nonimmigrant who is unable to create their own account due to age (under 13 years old), disability,
or other reasons. The proxy, parent, or guardian would first need to create their own SEVIS II account before they could
create an account for the F/M/J nonimmigrant.
</p><p>F-1, M-1, or J-1 nonimmigrant educational and financial information, specifically program of study;
school registration information; program completion or termination information; transfer information; leave of absence
information and study abroad; extensions; change of education level; student ID number; I-901 fee payment
information; and financial information (for F/M nonimmigrants, financial information includes data on source of funds
--personal or school, and average annual cost--tuition, books, fees, and living expenses; for J nonimmigrants
financial information includes total estimated financial support, financial organization name and support amount).
</p><p>F/M/J nonimmigrant status and benefit information, specifically the DHS-assigned Fingerprint Identification Number
(for individuals 14 years of age and older); U.S. visa number, issuing country, expiration date; class of admission;
immigrant benefit application information (primarily reinstatement, employment authorization, 212e waiver, <i>etc.</i>);
and arrival and departure information (port of entry, date of entry/exit).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 104-208, Illegal Immigration Reform and Immigrant Responsibility Act of 1996; Public Law 106
-215, Immigration and Naturalization Service Data Management Improvement Act of 2000; Public Law 106-396,
Visa Waiver Permanent Program Act of 2000; Public Law 107-56, USA PATRIOT Act; and Public Law 107-173,
Enhanced Border Security and Visa Entry Reform Act of 2002. The collection of information is mandated by 8 CFR 214.2 (f),
(j), (m), 8 CFR 214.3, 8 CFR 214.4, and 22 CFR part 62.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to track F, M and J nonimmigrants and their dependents during their stay
in the U.S. This system allows DHS and DOS to administer the student and exchange visitor programs by certifying and
designating schools and sponsors and ensuring their ongoing compliance with Federal requirements and regulations. The
system also enables DHS and DOS to monitor the progress and status of lawfully admitted F/M/J nonimmigrants residing in
the United States, to ensure they comply with the obligations of their U.S. admittance, and to maintain a history of
their status-related activities. The system is used to identify and act on potential compliance violations by schools,
sponsors, and F/M/J nonimmigrants. The system is also used to support other homeland security and immigration activities,
such as deciding F/M/J nonimmigrants’ requests for immigration benefits and for admission to the U.S. Finally, the system
supports the analysis of information in the system for law enforcement, reporting, management, and other mission-related
purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation: (1) DHS or any
component thereof; (2) any employee of DHS in his/her official capacity; (3) any employee of DHS in his/her individual
capacity where DOJ or DHS has agreed to represent the employee; or (4) the United States or any agency thereof; is a
party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and
necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the
records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>I. To a court, magistrate, administrative tribunal, opposing counsel, parties, and witnesses, in the course of a civil
or criminal proceeding before a court or adjudicative body when (a) DHS or any component thereof; or (b) any employee of
DHS in his or her official capacity; or (c) any employee of DHS in his or her individual capacity where the agency has
agreed to represent the employee; or (d) the United States, where DHS determines that litigation is likely to affect DHS
or any of its components, is a party to litigation or has an interest in such litigation, and DHS determines that use of
such records is relevant and necessary to the litigation, provided however that in each case, DHS determines that
disclosure of the information to the recipient is a use of the information that is compatible with the purpose for which
it was collected.
</p><p>J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings.
</p><p>K. To an attorney or representative who is acting on behalf of an individual covered by this system of records for use
in any proceeding before the Executive office for Immigration Review.
</p><p>L. To clerks and judges of courts exercising naturalization jurisdiction for the purpose of filing petitions for
naturalization and to enable such courts to determine eligibility for naturalization or grounds for revocation of
naturalization.
</p><p>M. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health threat or
risk.
</p><p>N. To foreign governments for the purpose of providing information about their citizens or permanent residents, or
family members thereof, during local or national disasters or health emergencies.
</p><p>O. To the U.S. Treasury Department and its contractors for the purpose of facilitating and tracking Student and
Exchange Visitor Program fee payments made by F/M/J nonimmigrants.
</p><p>P. To certified schools and designated exchange visitor sponsors participating in the Student and Exchange Visitor
Program for the purpose of certification and designation, enrollment and monitoring of F/M/J nonimmigrants, audit,
oversight, and compliance enforcement.
</p><p>Q. To the U.S. Department of State for the purpose of visa issuance to F/M/J nonimmigrants; the operation of its
Exchange Visitor Program; or the enforcement of and investigation into its visa and Exchange Visitor Program laws,
regulations, and requirements.
</p><p>R. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.
</p><p>S. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
for SEVIS II or other systems supporting the Student and Exchange Visitor Program.
</p><p>T. To appropriate Federal, State, local, Tribal, or foreign government agencies or multinational government
organizations where DHS desires to exchange relevant data for the purpose of developing new software or implementing new
technologies for the purposes of data sharing to enhance the efficiency of the Student and Exchange Visitor Program or
homeland security.
</p><p>U. To a Federal, State, Tribal, local, international, or foreign government agency or entity for the purpose of
consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in
connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of
verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>V. 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.
</p><p>W. To a Federal State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>X. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by Immigration Identification Number, name and school, name and citizenship country,
name and entry detail, name and date of birth, and passport number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Inputs will be deleted after the data has been transferred to the master file and verified. The master file will
be retained for 75 years. System outputs are deleted or destroyed when no longer needed for agency business. Once SEVIS
II terminates a non-government SEVIS II user account, the system retains user information for 75 years from the date of
last transaction. Government user audit information will be retained for seven years. At this time, SEVP envisions
destroying their SEVIS audit records seven years after the date SEVIS II is fully operational. The data from the legacy
SEVIS will be retained for seven (7) years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>ITMB Chief, ICE Student and Exchange Visitor Program, 2450 Crystal Drive, Tower 1 9th Floor, Arlington, VA 22201.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, ICE will consider requests to determine
whether or not information may be released. Thus, individuals seeking notification of and access to any record contained
in this system of records, or seeking to contest its content, may submit a request in writing to the Headquarters or
component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts.
" If an individual believes more than one component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained directly from individuals who create a SEVIS II account (F/M/J nonimmigrants; parents,
proxies and guardians; and school and sponsor officials, owners, chief executives, and legal counsel. Status information
about F/M/J nonimmigrants is also obtained from schools and sponsors. Records are also obtained from other Federal agency
information systems, including the DHS Arrival and Departure Information System (ADIS); the DHS Automated Biometric
Identification System (IDENT); U.S. Treasury Department’s I-901 Web portal; DOS’s Consular Consolidated Database
(CCD); and USCIS’s Computer-Linked Application Information Management System 3 Mainframe (CLAIMS 3).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Certain portions or all of these records may be exempt from disclosure pursuant to 5 U.S.C. 552a(k)(2).
</p><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G) and (H),
and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). These exemptions apply only to the extent that records in the
system are subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="ice2" toc="yes">
<systemNumber>/ICE-002</systemNumber>
<subsection type="systemName">ICE Pattern Analysis and Information Collection.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive But Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Department of Homeland Security Immigration and Customs Enforcement Headquarters data facilities are located
in the Virginia suburbs of Washington, DC, with continuity of operations sites in remote locations within the continental
United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>A. Individuals or entities who are associated with investigations, inspections, apprehensions, detentions,
patrols, removals, examinations, naturalizations, intelligence production, legal proceedings, or other operations that
implement and enforce the Immigration and Nationality Act (INA) (8 U.S.C. 1101 <i>et seq.</i>) and related treaties,
statutes, orders, and regulations.
</p><p>B. Individuals or entities who are associated with investigations, inspections, apprehensions, detentions, law
enforcement intelligence production, legal proceedings or other operations that implement and enforce immigration- and
customs-related laws, specifically those found in Titles 8, 19, and 31 of the United States Code.
</p><p>C. Individuals who are respondents, representatives, or witnesses in administrative, civil penalty, or forfeiture
proceedings, or defendants, representatives or witnesses in criminal prosecution or extradition proceedings under
immigration or customs-related laws or regulations.
</p><p>D. Associates of the above individuals and entities who are sources of information relevant to an investigation.
</p><p>E. Individuals wanted by other law enforcement agencies, including Federal, State, local, tribal, foreign and
international, or individuals who are the subject of inquiries, lookouts, or notices by another agency or a foreign
government.
</p><p>F. Individuals, including U.S. Citizens, Lawful Permanent Residents, immigrants and non-immigrants who apply for
immigration benefits and/or any form of automated or other expedited inspection for verifying eligibility to cross the
borders into the United States.
</p><p>G. Non-United States citizens and Non-Lawful Permanent Residents who present themselves for entry into and/or exit
from the United States, including individuals subject to the requirements and processes of US-VISIT. Individuals
covered under US-VISIT include those who are not United States citizens at the time of entry or exit or who are
United States citizens or Lawful Permanent Residents who have not identified themselves as such at the time of entry or
exit.
</p><p>H. Individuals unlawfully present in the United States to include persons who have failed to maintain a valid
immigration status as well as persons who are otherwise unlawfully present in the United States.
</p><p>I. Nationals of countries that threaten to wage war, or are at war with the United States, and individuals required to
register as agents of foreign governments in the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records come directly from information collected from individuals during DHS or federal enforcement encounters,
from information provided by individuals when applying for U.S. immigration benefits or temporary admission to the U.S.,
or from persons entering or leaving the U.S. Analyzed records include biographical data; biometric identifiers, including
fingerprints and photographs; and information or data related to the individual subject’s case, including immigration
history, alien registration, and other identification or record numbers. The system maintains records used to show
relationships across all categories of records. These records include:
</p><p>A. Information collected from individuals during a DHS enforcement encounter or investigation, including, but not
limited to: Names, aliases, dates of birth, phone numbers, addresses, nationality, identification numbers such as A-File
Number, Social Security Number, or driver’s license number, and physical characteristics. This information is maintained
in the Treasury Enforcement Communications System (TECS), last published October 18, 2001, 66 FR 52984 and in the DHS
Enforcement Operational Immigration Records (ENFORCE) system, last published DHS/ICE-CBP-CIS-001-
03, ENFORCE/IDENT March 20, 2006, 71 FR 13987;
</p><p>B. Information collected about individuals during a DHS enforcement encounter or investigation, or provided by other
State, local, tribal Federal, or foreign law enforcement or other relevant agencies, including, but not limited to:
Names, aliases, nationality, dates of birth, phone numbers, addresses, affiliations, identification numbers such as A
-File Number, Social Security Number, or driver’s license number, or physical characteristics. This information is
maintained in TECS;
</p><p>C. Biographic information such as names, aliases, dates of birth, phone numbers, addresses, nationality,
identification numbers such as A-File Number, Social Security Number, or driver’s license number, and immigration
violation information obtained from the DHS ENFORCE or successor systems;
</p><p>D. Biographic information such as names, aliases, dates of birth, phone numbers, addresses, nationality,
identification numbers such as A-File Number, Social Security Number, or driver’s license number, and descriptive
information obtained from U.S. Citizenship and Immigration Services (USCIS) immigration benefits applications and
application review findings;
</p><p>E. Information obtained from other Federal or foreign law enforcement agencies about individuals known or reasonably
suspected to be or to have been engaged in conduct constituting, in preparation for, in aid of, or related to terrorism;
</p><p>F. Biographic information and other information such as name, address, and phone number obtained from commercial data
providers for individuals identified as prospective leads or suspects in active investigations; and
</p><p>G. Biographic information such as names, aliases, dates of birth, phone numbers, addresses, nationality,
identification numbers such as A-File Number, Social Security Number, or driver’s license number, and descriptive
information obtained from U.S. Customs and Border Protection (CBP) encounters at Ports of Entry during border crossings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 8 U.S.C. 1103; 8 U.S.C. 1225(d)(3); 8 U.S.C. 1324(b)(3); 8 U.S.C. 1357(a); 8 U.S.C. 1360(b); 19
U.S.C. 1; and 19 U.S.C. 1509.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the ICEPIC system is to provide the information technology infrastructure products and services
that enable investigators and analysts within ICE and other DHS components to recognize non-obvious person, address, and
organizational relationships within existing DHS records systems, and to develop timely, actionable leads needed to
accomplish ICE law enforcement and counter-terrorism mission objectives. All ICEPIC activity is predicated on ongoing and
valid law enforcement investigations. Current manual and automated processes for research, collation, organization,
validation, and analysis of the information in numerous DHS alien registration, entry, intelligence, lookout, and
enforcement systems can accomplish similar objectives, but are cumbersome, time-consuming, and error-prone. ICEPIC will
provide a reliable, responsive, and secure system to support production of actionable leads and law enforcement
intelligence for DHS components and other Federal entities, as appropriate and in conformance with this system of records
notice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under the Privacy Act, 5 U.S.C. 552a(b), all or a portion of
the records or information contained in this system may be disclosed to authorized entities, as is determined to be
relevant and necessary, outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which ICE exercises jurisdiction, or when conducting litigation
or in proceedings before any court, adjudicative or administrative body, when: (a) DHS; or (b) any employee of DHS in
his/her official capacity; or (c) any employee of ICE in his/her individual capacity, where DOJ or DHS has agreed to
represent the employee; or (d) the United States, or any agency thereof, is a party to the litigation or has an interest
in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which DHS collected the records.
</p><p>B. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of domestic and foreign civil or criminal laws.
</p><p>C. To U.S. agencies of the national intelligence community or through established liaison channels to selected foreign
governments where analysis of the records indicates a potential or confirmed threat of terrorist activity justifying
further analysis or investigation.
</p><p>D. 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. Those provided
information under this routine use are subject to the same Privacy Act limitations as are applicable to DHS officers and
employees.
</p><p>E. To the National Archives and Records Administration (NARA) or other Federal agencies pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>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 DHS, when necessary to accomplish an agency function
related to this system of records. Those provided information under this routine use are subject to the same Privacy Act
limitations as are applicable to DHS officers and employees.
</p><p>G. To appropriate Federal, State, tribal, local, or foreign law enforcement, intelligence, and regulatory agencies,
foreign governments, and international law enforcement organizations, for example: the Department of Defense; the
Department of State; the Department of the Treasury; the Central Intelligence Agency; the Selective Service System; the
United Nations; and INTERPOL; as well as to other individuals and organizations during the course of an investigation by
DHS or the processing of a matter under DHS’s jurisdiction, or during a proceeding within the purview of the immigration
and nationality laws, when DHS deems that such disclosure is necessary to elicit information required to accomplish the
purposes described in this paragraph.
</p><p>H. To an appropriate Federal, State, tribal, local, or foreign government agency or organization, or international
organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence, but only when the disclosure is appropriate to the proper performance of the official duties of the person
receiving the disclosure.
</p><p>I. To an appropriate Federal, State, local, tribal, or foreign government agency, international organization, or
private organization where the President or the Secretary of the Department of Homeland Security has declared an event to
be a National Special Security Event, if the information is relevant and necessary to a requesting agency’s decision
concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or
other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit, but only when disclosure is appropriate to the proper
performance of the official duties of the person making the request, and;
</p><p>J. To appropriate agencies, entities, and persons when (1) DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) DHS has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud,
harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another
agency or entity) that rely upon the compromised information, or harm to the individual; and (3) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically at one or more ICE data centers that are located in secure facilities. The
records are stored on magnetic disc, tape, digital media, and optical media, and may also be retained in hard copy format
in secured file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data are retrievable by an individual’s name, Social Security Number, A-File Number, or other unique
identifier, as well as by non-identifying information such as address or date of entry into the United States.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws and policies, including the DHS
information technology security policies and the Federal Information Security Management Act (FISMA). All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know, using locks, and password
protection features. The system is also protected through a multi-layer security approach. The protective strategies are
physical, technical, administrative and environmental in nature, which provide access control to sensitive data, physical
access control to DHS facilities, confidentiality of communications, authentication of sending parties, and personnel
screening to ensure that all personnel with access to data are screened through background investigations commensurate
with the level of access required to perform their duties. The system also maintains a real-time auditing log of
individuals who access and update the system. Audit logs are reviewed and analyzed for unauthorized and inappropriate
system usage. DHS will investigate instances of unauthorized or inappropriate access or use of the system and take
appropriate disciplinary actions where violations have occurred.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The National Archives Records Administration has not yet approved a retention schedule for this system of
records. Because a history of Federal law enforcement interactions with persons and organizations is essential to
detecting criminal and terrorist patterns of behavior and locating leads in current investigations, ICE has proposed to
retain records in ICEPIC for ten (10) years from ICE’s last use of the individual’s data, and then archive the
information for an additional five (5) years. After the five (5) year period, information will be destroyed unless it has
become relevant to a legal action, at which point the retention schedule would reset.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Unit Chief, Program Management Oversight, Mission Support, Office of Investigations, U.S. Immigration and Customs
Enforcement, 425 I Street, NW., Washington, DC 20536, telephone: (202) 307-6201.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j) and (k), this system of records may not be accessed by members of the public for
purposes of determining if the system contains a record pertaining to a particular individual. Nonetheless persons may
seek access to records maintained in ICEPIC as outlined in the Record Access Procedures section below. Requests for such
access will be reviewed on a case-by-case basis.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>ICEPIC is exempt from record access procedures pursuant to 5 U.S.C. 552a(j) and (k). Nonetheless persons may seek
access to records maintained in ICEPIC by contacting U.S. Immigration and Customs Enforcement Freedom of Information Act
Office, 800 North Capitol Street, NW., Room 585, Washington, DC 20536. Individuals must submit their request and use the
form found at <i>http://www.ice.gov/doclib/g-639.pdf</i>. Requests for such access will be reviewed on a case-by-case
basis to ensure that the records meet the requirements set out by the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G) and (H), and (f) pursuant to 5 U.S.C.
552a(j)(2), (k)(2); however, requests for amendment of records may be reviewed on a case-by-case basis. Follow the
"Record Access Procedures" noted above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in the system is obtained from DHS investigators, other DHS law enforcement officers, other
Federal, State, foreign and tribal law enforcement and intelligence agencies, public records, commercial data
aggregators, and immigration and alien admission records systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g). Pursuant to 5
U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set
forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). In addition, to the extent a
record contains information from other exempt systems of records, ICE will rely on the exemptions claimed for those
systems.
</p></xhtmlContent></subsection></section>
<section id="ice3" toc="yes">
<systemNumber>/ICE-003</systemNumber>
<subsection type="systemName">General Counsel Electronic Management System (GEMS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records in GEMS are maintained in electronic form at the U.S. Immigration and Customs Enforcement headquarters in
Washington, DC and at field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: (1) Individuals covered by provisions of the
Immigration and Nationality Act; (2) individuals who are under investigation by ICE, who were investigated by ICE in the
past, and those who are suspected of violating the criminal or civil provisions of statutes, treaties, Executive Orders,
and regulations administered by ICE; (3) witnesses, informants, or other third parties who may have knowledge of such
violations; (4) ICE attorneys and other employees who have been assigned to represent the agency in litigation relating
to aliens and other individuals whose files are contained in the system; and (5) defense attorneys, asylum officers, and
immigration judges involved with immigration cases.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; The alien’s biographical information such as name, A-number, date and place of birth, date and port of
entry, nationality, language, race, gender, height, and weight; identification information including social security
number, driver’s license number, and passport number; employment information; flags regarding the individual’s status
including if the person is legally sufficient, if a final order has been issued, or if a stay is in effect; flags
regarding the individual including if the person is a convicted felon, a terrorist, an interest of the Federal Bureau of
Investigation (FBI), has a gang affiliation, or is a child predator; information on relief; comments about the alien by
CBP officers at the border; and events associated with the alien such as court appearances. If the alien has applied for
asylum, the system also collects religion, marital status, address, the date of the request for asylum, the asylum
officer assigned to the case, the alien’s persecution code, the basis of the claim, information on the person’s
interviews and court appearances, the results of various database checks done on the person as part of the case, and the
final decision code and the date of the final decision.
</p><p>&#149; Personal information on other people associated with the alien including family members, witnesses, and
informants. For each person, GEMS contains the person’s name, gender, role, contact information, and notes about the
person.
</p><p>&#149; Personal information on attorneys and immigration judges associated with the alien including the person’s
name, gender, role, contact information, and notes about the person.
</p><p>&#149; Hearing information including the language the alien speaks, the hearing start time and end time, the
hearing location and address, the immigration judge hearing the case, the prosecuting and defending attorneys, and a flag
indicating if the alien was battered or not.
</p><p>&#149; Subsets or complete sets of information also contained in the hard copy A-File that may include the
alien’s official record material, such as naturalization certificates, various forms and attachments such as photographs,
applications and petitions for benefits under the immigration and nationality laws, reports of investigations,
statements, arrest reports, correspondence, and enforcement documents.
</p><p>&#149; Attorney work products consisting of pre-trial, trial, and post-trial notes, memoranda stating positions
for litigation, notes to investigators, information related to immigration cases that have been obtained from hardcopy or
online research, legal opinions, and policy memos.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Immigration And Nationality Act of 1952, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of the system are (1) to support the litigation of immigration cases before U.S. administrative and
Federal courts, including immigration courts and the Board of Immigration Appeals; (2) to support the tracking,
processing, and reporting of case information for internal management, reporting, planning, and analysis purposes; and
(3) to support the ICE mission by maintaining and sharing information that supports the identification, arrest,
apprehension, detention, and removal of aliens who are subject to removal under the Immigration and Naturalization Act.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To other Federal, State, tribal, and local government law enforcement and regulatory agencies and foreign
governments, individuals and organizations during the course of an investigation or the processing of a matter, or during
a proceeding within the purview of the immigration and nationality laws, to elicit information required by ICE to carry
out its functions and statutory mandates.
</p><p>I. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>J. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>K. To a Federal, State, tribal, local or foreign government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence.
</p><p>L. To a court, magistrate, administrative tribunal, opposing counsel, parties, and witnesses, in the course of an
immigration, civil, or criminal proceeding before a court or adjudicative body when:
</p><p>(a) DHS or any component thereof; or
</p><p>(b) any employee of DHS in his or her official capacity; or
</p><p>(c) any employee of DHS in his or her individual capacity where the agency has agreed to represent the employee; or
</p><p>(d) the United States, where DHS determines that litigation is likely to affect DHS or any of its components, is a
party to litigation or has an interest in such litigation, and DHS determines that use of such records is relevant and
necessary to the litigation, provided however that in each case, DHS determines that disclosure of the information to the
recipient is a use of the information that is compatible with the purpose for which it was collected.
</p><p>M. To clerks and judges of courts exercising naturalization jurisdiction for the purpose of filing petitions for
naturalization and to enable such courts to determine eligibility for naturalization or grounds for revocation of
naturalization.
</p><p>N. To an attorney or representative (as defined in 8 CFR 1.1(j)) who is acting on behalf of an individual covered by
this system of records in connection with any proceeding before USCIS or the Executive Office for Immigration Review.
</p><p>O. To the appropriate foreign government agency charged with enforcing or implementing laws where there is an
indication of a violation or potential violation of the law of another nation (whether civil or criminal), and to
international organizations engaged in the collection and dissemination of intelligence concerning criminal activity.
</p><p>P. To any Federal agency, where appropriate, to enable such agency to make determinations regarding the payment of
Federal benefits to the record subject in accordance with that agency’s statutory responsibilities.
</p><p>Q. To an actual or potential party or his or her attorney for the purpose of negotiation or discussion on such matters
as settlement of the case or matter, or informal discovery proceedings.
</p><p>R. To foreign governments for the purpose of coordinating and conducting the removal of aliens from the United States
to other nations.
</p><p>S. To a Federal, State, tribal, local, international, or foreign government agency or entity for the purpose of
consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in
connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of
verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>T. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.
</p><p>U. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>V. 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 at any stage of the legislative coordination and clearance process as set forth in the
Circular.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in a central database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in the system are indexed and retrieved by an individual’s alien number, name, case information (such as
hearing location and type of hearing), and other criteria that can identify an individual in proceedings in a court or
adjudicative body before which ICE is authorized to appear.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be retained for seventy-five (75) years after the last administrative action has been taken on
the case. The seventy-five (75) year retention period is consistent with the retention period for the physical A-File.
This retention period ensures that sufficient information is available to conduct meaningful analysis if needed. Records
are destroyed appropriately after the retention period.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Principal Legal Advisor, ICE Office of the Principal Legal Advisor, 500 12th Street, SW., Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, ICE will consider requests to determine
whether or not information may be released. Thus, individuals seeking notification of and access to any record contained
in this system of records, or seeking to contest its content, may submit a request in writing to the Headquarters or
component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts.
" If an individual believes more than one component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA,<i> http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system are supplied by several sources. ICE attorneys provide information regarding the cases
that they are working. Other records are derived from the alien file maintained on individuals and may include
investigative material that provides the basis for the legal proceedings. Records are also obtained from other Federal
agency information systems including USCIS’ Refugee, Asylum, and Parole System (RAPS), Custom and Border Protection’s
Treasury Enforcement Communication System (TECS), and the Department of Justice’s Case Access System for EOIR (CASE).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary has exempted this system from subsections (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G) and
(H), (e)(5) and (8), and (g) of the Privacy Act. These exemptions apply only to the extent that records in the system are
subject to exemption pursuant to 5 U.S.C. Sections 552a (j)(2) and (k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="ice4" toc="yes">
<systemNumber>/ICE-004</systemNumber>
<subsection type="systemName">Bond Management Information System (BMIS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at U.S. Immigration and Customs Enforcement (ICE) Headquarters in Washington, DC; ICE
Office of Financial Management facilities in Williston, Vermont; and ICE field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: Individuals who post cash immigration bonds for aliens
(known as obligors); aliens for whom an immigration bond is posted (known as bonded aliens); individuals who arrange for
the posting of surety bonds for aliens (known as indemnitors); individual bond agents who post surety bonds; and notaries
public and attorneys.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>For the obligor: Name; Social Security Number/Tax Identification Number; address; phone number; U.S. citizenship
or immigration status; and government-issued identification (type and number) shown at the time the bond is posted. Also,
income tax-related information about the obligor, such as taxpayer status, rate of withholding, income taxes withheld,
income reporting (interest paid), tax treaty status, foreign tax identification number, country of residence, and
information collected or reported on various income tax forms, such as IRS Forms W-9, W-8BEN, 945, 1042, 1042
-S, and 1099-INT.
</p><p>For the bonded alien: Name; alien number; location (while in detention); address(es) and phone number of residence
upon release; date and country of birth; nationality; and date and port of arrival.
</p><p>For the indemnitor: Name; address(es); and phone number.
</p><p>For the bonding agent: Name; Tax Identification Number; address(es); and phone number.
</p><p>General bond information, including: Bond number; bond amount; securities pledged; bond types; bond status; location
and date of posted bond; dates for bond-related activities, such as declaration of breach; names and titles of DHS
officials that approve, cancel, or declare breaches of bonds; names and contact information for notary public and
attorney in fact; information such as dates, forms, status and outcome, concerning motions to reconsider a breach or
cancellation of bonds; and information such as dates, forms, status and outcome, about bond-related appeals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 103, 213, 236, 240B, and 293 of the Immigration and Nationality Act, as amended (8 U.S.C. 1103, 1183,
1226, 1229c, and 1363, respectively).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records related to the administration and financial management
operations of ICE’s immigration bond program. Immigration bond administration includes the issuance, maintenance,
cancellation, and revocation of bonds. Financial management operations include collection, reimbursement or forfeiture of
the bond principal; calculation, payment and reporting of interest income; calculation, withholding, and reporting of
income taxes; and the collection or filing of associated income tax forms.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when (1) DHS or any component thereof; (2) any employee of DHS in his/her official
capacity; (3) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee;
or (4) the United States or any agency thereof, is a party to the litigation or has an interest in such litigation; and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. ICE suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information, or harm to
the individual; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the U.S. Department of the Treasury and its bureaus to carry out financial transactions and any debt-or tax-
related reporting, withholding, collection, and/or processing activities required or permitted by federal law,
regulation, or policy.
</p><p>I. To the Department of Justice, the U.S. Treasury Department, other appropriate federal agencies, state insurance
regulators, credit bureaus, debt collection agencies, legal representatives for surety companies and bonding agencies,
and insurance investigators to provide information relevant to (1) investigations of an agent or bonding agency that
posts surety bonds, or (2) activities related to collection of unpaid monies owed to the U.S. Government on immigration
bonds.
</p><p>J. To agencies, individuals, or entities as necessary to locate individuals who are owed money or property connected
with the issuance of an immigration bond.
</p><p>K. To an individual or entity seeking to post or arrange, or who has already posted or arranged, an immigration bond
for an alien to aid the individual or entity in (1) identifying the location of the alien, or (2) posting the bond,
obtaining payments related to the bond, or conducting other administrative or financial management activities related to
the bond.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with legal
counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is
necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s
officers, employees, or individuals covered by the system, except to the extent it is determined that release of the
specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies in
accordance with 31 U.S.C. 3711(e).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the following: bond number, Social Security or Tax Identification Numbers
(SSN/TIN), alien name, alien number, obligor name, surety company name, or location and date bond was posted.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer systems containing the records in this system
is limited to those individuals who have a need to know the information for the performance of their official duties and
who have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who
access electronic records. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Under the existing retention schedule, information is retained for six years and three months after the bond is
closed or cancelled and the collateral is returned to the obligor. Copies of the Form I-352 (Immigration Bond) are
placed into the alien’s A-File and maintained for the life of that file (75 years).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Financial Systems Modernization, 800 K Street, NW., Washington, DC 20536; Chief, Bond Management Unit,
Office of Enforcement and Removal Operations, 500 12th Street, SW., Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be
found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose form the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from individuals, entities, indemnitors, surety companies, and bonding agencies and
agents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="ice5" toc="yes">
<systemNumber>/ICE-005</systemNumber>
<subsection type="systemName">Trade Transparency Analysis and Research (TTAR) System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the Data Analysis and Research for Trade Transparency System (DARTTS), which is an IT
system owned and operated by U.S. Immigration and Customs Enforcement (ICE) and maintained in a Department of Homeland
Security (DHS) data center. The DARTTS application is maintained on the ICE Network and also at ICE Attach &#233; 
Offices abroad.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>(1) Individuals who, as importers, exporters, shippers, transporters, brokers, owners, purchasers, consignees, or
agents thereof, participate in the import or export of goods to or from the United States or to or from nations with
which the United States has entered an agreement to share trade information;
</p><p>(2) Individuals who participate in financial transactions that are reported to the U.S. Treasury Department under the
Bank Secrecy Act or other U.S. financial crimes laws and regulations (<i>e.g.,</i> individuals who participate in cash
transactions exceeding $10,000; individuals who participate in a reportable suspicious financial transaction);
</p><p>(3) Specially Designated Nationals as defined by 31 CFR &#167; 500.306; and
</p><p>(4) Individuals identified in TECS subject records created by ICE and U.S. Customs and Border Protection (CBP),
including violators or suspected violators of laws enforced or administered by ICE and CBP; witnesses associated with ICE
and CBP enforcement actions; persons who own or operate businesses, property, vehicles or other property that is in a
TECS subject record; and individuals applying for a license issued by DHS or for which DHS conducts a background
investigation in support of the licensing agency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>(1) Biographic and other identifying information about individuals, including names; dates of birth; Social
Security/tax identification numbers; passport information (number and country of issuance); citizenship; location and
contact information (such as home, business, and email addresses and telephone numbers); and other identification numbers
(<i>e.g.,</i> Alien Registration Number, driver’s license number, etc.).
</p><p>(2) Customs, trade, and financial data associated with an individual, including trade identifier numbers (<i>e.g.,</i>
Importer ID, Exporter ID, Manufacturer ID); account numbers (<i>e.g.,</i> bank account, electronic fund transfer number);
description and/or value of trade goods; country of origin/export; description and/or value of financial transactions;
vehicle, vessel and/or aircraft information; and other business information.
</p><p>(3) TECS subject records related to an ICE or CBP law enforcement matter.
</p><p>(4) Customs or Homeland Security licensing information, related to applications by individuals or businesses to hold
or retain a Customs broker’s license, or operate a Customs-bonded warehouse, or be a bonded carrier or bonded cartman.
</p><p>(5) Information obtained from the Specially Designated Nationals List maintained by the U.S. Department of the
Treasury, including individual’s name, aliases, address, date of birth, place of birth, citizenship, nationality,
passport information, and program under which designation was made.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Tariff Act of 1930, as amended, 19 U.S.C. Chapter 4; 18 U.S.C. 545 (Smuggling goods into the United States);
18 U.S.C. 1956 (Laundering of Monetary Instruments); 19 U.S.C. 1484 (Entry of Merchandise); 18 U.S.C. 544 (Smuggling
goods out of the United States); 18 U.S.C. 371 (Conspiracy); and 50 U.S.C. 1701-1706 (International Emergency
Economic Powers Act); 19 U.S.C. 2071 note (Cargo Information). Certain information in this system of records is also
regulated under 18 U.S.C. 1905 (Trade Secrets Act) and 31 U.S.C. 5311-5330 (Bank Secrecy Act).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to support:
</p><p>(1) The enforcement of criminal and civil laws pertaining to trade, financial crimes, smuggling, and fraud, and the
collection of all lawfully owned revenue from trade activities, specifically through the analysis of raw financial and
trade data in order to identify potential violations of U.S. criminal and civil laws pertaining to trade, financial
activities, smuggling, and fraud;
</p><p>(2) Existing criminal law enforcement investigations into related criminal activities and civil enforcement actions to
recover revenue and assess fines and penalties;
</p><p>(3) The sharing of raw trade data and analytical capabilities with foreign government partners to further those
governments’ abilities to identify, disrupt, and prosecute criminal and civil violations of laws pertaining to trade,
financial activities, smuggling, and fraud;
</p><p>(4) The cooperation and collaboration between the United States and foreign government partners on investigations into
transnational activities that violate criminal and civil laws pertaining to trade, financial activities, smuggling, and
fraud; and
</p><p>(5) The identification of potential criminal activity, immigration violations, and threats to homeland security: to
uphold and enforce the law; and to ensure public safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. &#167; 552a(b) of the Privacy Act, all
or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use
pursuant to 5 U.S.C. &#167; 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) (including United States Attorneys’ Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>(1) DHS or any component thereof;
</p><p>(2) Any employee of DHS in his/her official capacity;
</p><p>(3) Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>(4) the United States or any agency thereof, is a party to the litigation or has an interest in such litigation.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. &#167;&#167; 2904 and 2906.
</p><p>D. 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.
</p><p>E. To agencies, entities, and persons when:
</p><p>(1) DHS suspects or has confirmed that the security or confidentiality of information in the system of records has
been compromised;
</p><p>(2) DHS has determined that as a result of the suspected or confirmed compromise there is a risk of: Identity theft or
fraud, harm to the economic or property interests, harm to an individual, or harm to the security or integrity of this
system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the
compromised information; and
</p><p>(3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors and their agents, grantees, experts, consultants, interns, trainees, students, and others performing
or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and
employees.
</p><p>G. To federal, state, local, tribal, territorial, or foreign government agencies, as well as to other individuals and
organizations during the course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or
during a proceeding within the purview of the immigration and nationality laws, when DHS deems that such disclosure is
necessary to carry out its functions and statutory mandates or to elicit information required by DHS to carry out its
functions and statutory mandates.
</p><p>H. To federal, state, local, tribal, territorial, or foreign government agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil, criminal, or regulatory laws.
</p><p>I. To federal, state, local, tribal, or territorial government agencies, or other entities or individuals, or through
established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or
other information for the purposes of national security, intelligence, counterintelligence, or antiterrorism activities
authorized by U.S. law, Executive Order, or other applicable national security directive.
</p><p>J. To federal, state, local, tribal, territorial, or foreign government agencies or organizations, or international
organizations, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, to enable these
entities to carry out their law enforcement responsibilities, including the collection of law enforcement intelligence.
</p><p>K. To international, foreign, intergovernmental, and multinational government agencies, authorities, and organizations
in accordance with law and formal or informal international arrangements.
</p><p>L. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or where such disclosure is to
support the conduct of national intelligence and security investigations or assist in antiterrorism efforts.
</p><p>M. To federal, state, local, tribal, territorial, international, or foreign government agencies or multinational
governmental organizations where DHS desires to exchange relevant data for the purpose of developing, testing, or
implementing new software or technology whose purpose is related to the purpose of this system of records.
</p><p>N. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of
immigration, civil, or criminal proceedings (including discovery, presentation of evidence, and settlement negotiations)
before a court or adjudicative body when any of the following is a party to or have an interest in the litigation:
</p><p>(1) DHS or any component thereof;
</p><p>(2) Any employee of DHS in his/her official capacity;
</p><p>(3) Any employee of DHS in his/her individual capacity where the government has agreed to represent the employee; or
</p><p>(4) The United States, where DHS determines that litigation is likely to affect DHS or any of its components;
</p><p>and when DHS determines that use of such records is relevant and necessary to the litigation and is compatible with
the purposes for which the records were collected.
</p><p>O. To prospective claimants and their attorneys for the purpose of negotiating the settlement of an actual or
prospective claim against DHS or its current or former employees, in advance of the initiation of formal litigation or
proceedings.
</p><p>P. To federal, state, local, tribal, territorial, international, or foreign government agencies or entities for the
purpose of consulting with those agencies or entities:
</p><p>(1) To assist in making a determination regarding redress for an individual in connection with the operations of a DHS
component or program;
</p><p>(2) To verify the identity of an individual seeking redress in connection with the operations of a DHS component or
program; or
</p><p>to verify the accuracy of information submitted by an individual who has requested redress on behalf of another
individual.
</p><p>Q. To a former employee of DHS for the purpose of responding to an official inquiry by federal, state, local, tribal,
or territorial government agencies or professional licensing authorities; or facilitating communications with a former
employee that may be necessary for personnel-related matters or other official purposes where DHS requires information or
consultation assistance from the former employee regarding a matter within that person’s former area of responsibility.
</p><p>R. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the personal identifiers stored in the system including name, business
address, home address, importer ID, exporter ID, broker ID, manufacturer ID, Social Security number, trade and tax
identifying numbers, passport number, or account number. Records may also be retrieved by non-personal information such
as transaction date, entity/institution name, description of goods, value of transactions, and other information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>ICE is in the process of modifying the records schedule for the information maintained in this system of records.
Currently the data is maintained in the DARTTS system for five years, archived for an additional five years and then
deleted. ICE is now proposing to maintain the data in DARTTS for ten years and then delete the data. The original CD
-ROMs, external storage devices or electronic data transfers containing raw data that is uploaded into DARTTS would
also be retained for ten years to ensure data integrity and for system maintenance purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Unit Chief, Trade Transparency Unit, ICE Homeland Security Investigations, 500 12th Street SW., Mail Stop 5103,
Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from notification, access, and amendment because of
the law enforcement nature of the information. These exemptions also apply to the extent that information in this system
of records is recompiled or is created from information contained in other systems of records. To the extent that a
record is exempted in a source system, the exemption will continue to apply. However, ICE will review requests on a case
by case to determine if release of the information is appropriate. After conferring with the appropriate component or
agency, as applicable, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to
interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled
or in which it is contained. Additionally, ICE and DHS are not exempting any records that were ingested or indexed by
TTAR where the source system of records already provides access and/or amendment under the Privacy Act. Individuals
seeking notification of and access to any record contained in this system of records, or seeking to contest its content,
may submit a request in writing to the ICE Freedom of Information Act Officer whose contact information can be found at
<i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655,
Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. &#167; 1746, a law that permits statements
to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain
forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov
</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from U.S. Customs and Border Protection (CBP), U.S. Department of Commerce, U.S. Department
of the Treasury, and foreign countries pursuant to international agreements or arrangements.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted portions of this system. Pursuant to 5 U.S.C. 552a(j)(2) of the
Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(5) and (e)(8); (f); and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following
provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)
(1), (e)(4)(G), (e)(4)(H), and (f).
</p></xhtmlContent></subsection></section>
<section id="ice6" toc="yes">
<systemNumber>/ICE-006</systemNumber>
<subsection type="systemName">ICE Intelligence Records System (IIRS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive But Unclassified, Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at ICE Headquarters in Washington, DC, and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include the following: (1) Individuals (<i>e.g.,</i> subjects,
witnesses, associates) associated with immigration enforcement activities or law enforcement investigations/activities
conducted by ICE, the former Immigration and Naturalization Service, or the former U.S. Customs Service; (2) individuals
associated with law enforcement investigations or activities conducted by other Federal, State, Tribal, territorial,
local or foreign agencies where there is a potential nexus to ICE’s law enforcement and immigration enforcement
responsibilities or homeland security in general; (3) individuals known or appropriately suspected to be or have been
engaged in conduct constituting, in preparation for, in aid of, or related to terrorism; (4) individuals involved in,
associated with, or who have reported suspicious activities, threats, or other incidents reported by domestic and foreign
government agencies, multinational or non-governmental organizations, critical infrastructure owners and operators,
private sector entities and organizations, and individuals; (5) individuals who are the subjects of or otherwise
identified in classified or unclassified intelligence reporting received or reviewed by ICE; and (6) individuals who are
known or suspected gang members or associates, including records maintained in the ICEGangs system.
</p><p>IIRS includes an information technology system known as the Intelligence Fusion System (IFS). In addition to the
categories of individuals listed above, IFS also includes the following: (1) Individuals identified in law enforcement,
intelligence, crime, and incident reports (including financial reports under the Bank Secrecy Act and law enforcement
bulletins) produced by DHS and other government agencies; (2) individuals identified in U.S. visa, border, immigration
and naturalization benefit data, including arrival and departure data; (3) individuals identified in DHS law enforcement
and immigration records; (4) individuals not authorized to work in the United States; (5) individuals whose passports
have been lost or stolen; and (6) individuals identified in public news reports.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include: (1) Biographic information (name, date of birth, social security
number, alien registration number, citizenship/immigration status, passport information, addresses, phone numbers, <i>
etc.</i>); (2) Records of immigration enforcement activities or law enforcement investigations/activities conducted by
ICE, the former Immigration and Naturalization Service, or the former U.S. Customs Service; (3) Information (including
documents and electronic data) collected by DHS from or about individuals during investigative activities and border
searches; (4) Records of immigration enforcement activities and law enforcement investigations/activities that have a
possible nexus to ICE’s law enforcement and immigration enforcement responsibilities or homeland security in general; (5)
Law enforcement, intelligence, crime, and incident reports (including financial reports under the Bank Secrecy Act and
law enforcement bulletins) produced by DHS and other government agencies; (6) U.S. visa, border immigration and
naturalization benefit data, including arrival and departure data; (7) Terrorist watchlist information and other
terrorism related information regarding threats, activities, and incidents; (8) Lost and stolen passport data; (9)
Records pertaining to known or suspected terrorists, terrorist incidents, activities, groups, and threats; (10) ICE-
generated intelligence requirements, analysis, reporting, and briefings; (11) Third party intelligence reporting; (12)
Articles, public-source data, and other published information on individuals and events of interest to ICE; (13) Records
and information from government data systems or retrieved from commercial data providers in the course of intelligence
research, analysis and reporting; (14) Reports of suspicious activities, threats, or other incidents generated by ICE and
third parties; and (15) Additional information about known and suspected gang members and associates such as biographic
information (name, date of birth, <i>etc.</i>), immigration status, gang affiliation, physical description, government-
issued identification numbers, photos of the individual, identities of gang associates, field interview notes, and
criminal history information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 8 U.S.C. 1103, 1105, 1225(d)(3), 1324(b)(3), 1357(a), and 1360(b); 19 U.S.C. 1 and 1509.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is:
</p><p>(a) To maintain records that reflect and generally support ICE’s collection, analysis, reporting, and distribution of
law enforcement, immigration administration, terrorism, intelligence, and homeland security information in support of
ICE’s law enforcement and immigration administration mission.
</p><p>(b) To produce law-enforcement intelligence reporting that provides actionable information to ICE’s law enforcement
and immigration administration personnel and to other appropriate government agencies.
</p><p>(c) To enhance the efficiency and effectiveness of the research and analysis process for DHS law enforcement,
immigration, and intelligence personnel through information technology tools that provide for advanced search and
analysis of various datasets.
</p><p>(d) To facilitate multi-jurisdictional informational exchange between ICE and other law enforcement agencies regarding
known and suspected gang members and associates; and
</p><p>(e) To identify potential criminal activity, immigration violations, and threats to homeland security; to uphold and
enforce the law; and to ensure public safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when (1) DHS or any component thereof; (2) any employee of DHS in his/her official
capacity; (3) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee;
or (4) the United States or any agency thereof, is a party to the litigation or has an interest in such litigation; and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. To the Department of Justice (DOJ), Civil Rights Division, for the purpose of responding to matters within the
DOJ’s jurisdiction to include allegations of fraud and/or nationality discrimination.
</p><p>C. 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.
</p><p>D. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>E. 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.
</p><p>F. To appropriate agencies, entities, and persons when: (1) DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a
result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft
or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or
another agency or entity) that rely upon the compromised information, or harm to an individual; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>G. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>H. To a Federal, State, territorial, Tribal, local, international, or foreign government agency or entity for the
purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an
individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity
of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose
of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>I. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>J. To an appropriate Federal, State, local, Tribal, foreign, or international agency, if the information is relevant
and necessary to the agency’s decision concerning the hiring or retention of an individual or the issuance, grant,
renewal, suspension or revocation of a security clearance, license, contract, grant, or other benefit; or if the
information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance
of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of
a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of
the person receiving the information.
</p><p>K. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health risk.
</p><p>L. To a public or professional licensing organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation of professional standards, or reflects on the
moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>M. To a Federal, State, Tribal, local or foreign government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence.
</p><p>N. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil, criminal, or regulatory laws.
</p><p>O. To third parties during the course of an investigation by DHS, a proceeding within the purview of the immigration
and nationality laws, or a matter under DHS’s jurisdiction, 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><p>P. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>Q. To Federal and foreign government intelligence or counterterrorism agencies when DHS reasonably believes there to
be a threat or potential threat to national or international security for which the information may be useful in
countering the threat or potential threat, when DHS reasonably believes such use is to assist in anti-terrorism efforts,
and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.
</p><p>R. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p><p>S. To international and foreign governmental authorities in accordance with law and formal or informal international
agreements.
</p><p>T. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.
</p><p>U. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law.
</p><p>V. To appropriate Federal, State, local, Tribal, or foreign government agencies or multinational government
organizations where DHS desires to exchange relevant data for the purpose of developing new software or implementing new
technologies for the purposes of data sharing to enhance homeland security, national security or law enforcement.
</p><p>W. To a criminal, civil, or regulatory law enforcement authority (whether Federal, State, local, territorial, Tribal,
international or foreign) where the information is necessary for collaboration, coordination and de-confliction of
investigative matters, to avoid duplicative or disruptive efforts and for the safety of law enforcement officers who may
be working on related investigations.
</p><p>X. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by personal identifiers such as but not limited to name, alien registration number,
phone number, address, social security number, or passport number. Records may also be retrieved by non-personal
information such as transaction date, entity/institution name, description of goods, value of transactions, and other
information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>ICE is in the process of drafting a proposed record retention schedule for the information maintained in IIRS,
including system information stored in IFS. ICE anticipates retaining the records from other databases in IFS for 20
years, records for which IFS is the repository of record for 75 years, and ICE-generated intelligence reports for 75
years. The original electronic data containing the inputs to IFS will be destroyed after upload and verification or
returned to the source.
</p><p>ICE is in the process of drafting a proposed record retention schedule for the information maintained in ICEGangs. ICE
anticipates retaining ICEGangs records for five years from the date the record was last accessed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, ICE Office of Intelligence, 500 12th Street, SW., Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, ICE will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the
component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts.
" If an individual believes more than one component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose form the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Federal, State, local, territorial, Tribal or other domestic agencies, foreign agencies, multinational or non-
governmental organizations, critical infrastructure owners and operators, private sector entities and organizations,
individuals, commercial data providers, and public sources such as news media outlets and the Internet.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f); and (g). Pursuant to 5
U.S.C. 552a (k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations
set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).
</p></xhtmlContent></subsection></section>
<section id="ice7" toc="yes">
<systemNumber>/ICE-007</systemNumber>
<subsection type="systemName">Immigration and Customs Enforcement Law Enforcement Support Center Alien Criminal Response Information Management
System (LESC/ACRIMe).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and Law Enforcement Sensitive (LES).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the ACRIMe information technology system and associated paper records at the U.S. Immigration and Customs
Enforcement (ICE) Law Enforcement Support Center (LESC) in Williston, Vermont, at ICE Headquarters, and at other ICE field office
locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered in this system include:
</p><p>(1) Individuals who are the subjects of immigration status inquiries submitted to ICE or immigration checks conducted by ICE,
including:
</p><p>A. Individuals who are encountered by, arrested by, under the investigation of, or in the custody of a criminal justice agency.
</p><p>B. Individuals convicted of sexual offenses required to register as a sexual offender.
</p><p>C. Individuals subject to background checks or investigations by or under the authority of a federal, state, local, tribal, or
territorial agency to determine eligibility or suitability for employment, access, or other purposes.
</p><p>D. Individuals applying to obtain/purchase a firearm in the United States and whose information has been submitted to ICE for the
purpose of conducting an immigration status check in support of background checks required by the Brady Handgun Violence Protection Act
(Brady Act) or other applicable laws.
</p><p>(2) Individuals who are the subjects of criminal arrest warrants and immigration lookouts that ICE has entered into the Federal
Bureau of Investigation’s (FBI) National Crime Information Center (NCIC) System.
</p><p>(3) Individuals who report tips concerning customs and immigration violations, suspicious activity or other law enforcement matters
to the Department of Homeland Security (DHS)/ICE and individuals about whom those reports are made.
</p><p>(4) Law enforcement officers or other personnel working for criminal justice agencies who contact ICE for reasons relating to the
purposes of this system of records, or for other law enforcement assistance.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>(1) Biographic identifiers, other identifiers, and contact information (e.g., name, aliases, date and place of birth, address,
telephone number, Social Security Number (SSN), Alien Registration Number (A-Number), driver’s license number, other personal
identification numbers, fingerprint identification number, passport number).
</p><p>(2) Visa, border, immigration and citizenship information (e.g., citizenship and/or immigration status, application for benefit
information, visa and travel history).
</p><p>(3) Criminal history information (e.g., FBI number, booking number, current charge[s], custodial status, past offenses and
convictions).
</p><p>(4) NCIC hit confirmation records, which consist of information supporting the entry of criminal warrants or immigration lookouts
into the NCIC system, such as criminal arrest warrant information, fingerprints and photographs, other information identifying the
individual, and records reflecting the purpose/basis for the warrant or lookout. Records of inquiries received from criminal justice
agencies regarding potential matches against ICE-created NCIC records, and records pertaining to ICE’s research, resolution, and
response to those inquiries.
</p><p>(5) Background investigation records, which consist of identifying and other information received from agencies requesting an
immigration status check on individuals as part of a background check for employment, gun ownership, or other reasons; research
conducted by ICE during the conduct of the immigration status check; and ICE’s research, resolution, and response to those inquiries.
</p><p>(6) Criminal justice immigration status check records, which consist of identifying and other information received from criminal
justice agencies requesting an immigration status check on individuals in the context of a criminal justice matter; prioritization of
requests; research conducted by ICE during the conduct of the immigration status check; and ICE’s research, resolution, and response to
those inquiries.
</p><p>(7) Public tip records, which consist of information contained in tips received from the public or other sources regarding customs
and immigration violations, or other violations of law, and suspicious activities. This includes identifying and contact information
about the individual reporting the tip (if provided) and information about the person or persons who are the subject of the tip.
</p><p>(8) Information pertaining to ICE’s follow-up activities regarding a tip or other information received pursuant to the activities
supported by this system of records, including leads for ICE investigations and referrals to other agencies.
</p><p>(9) Identification and authentication information for law enforcement officers or other criminal justice personnel who contact ICE.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103, 8 U.S.C. 1324(b)(3); 8 U.S.C. 1360(b); Section 504 of the Immigration and Nationality Act of 1990 (INA) (Pub. L.
101-649); the Brady Handgun Violence Protection Act of 1993 (Pub. L. 103-159); FY 2008 Consolidated Appropriations Act
(Pub. L. 110-161, 121 Stat. 1844, 2050 (2007)); and the INA provisions regarding removal of criminal aliens (INA
&#167; 237(a)(2) and &#167; 238).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of this system are to:
</p><p>(1) Identify and arrest individuals in the United States who may be subject to removal under the Immigration and Nationality Act, as
amended.
</p><p>(2) Respond to inquiries from criminal justice agencies that seek to determine the immigration status of an individual in the
context of a criminal justice matter for the purpose of identifying and arresting those who may be subject to removal.
</p><p>(3) Inform criminal justice agencies and agencies conducting background checks whether an individual is under investigation and/or
wanted by ICE or other criminal justice agencies.
</p><p>(4) Receive, process and act on information received from the general public and other sources regarding suspicious activities and
actual or potential violations of laws enforced by ICE or DHS, and to refer any other actionable information to the appropriate
agencies for action.
</p><p>(5) Provide assistance to domestic, foreign, and international agencies that contact ICE and the LESC on matters within the scope of
ICE’s law enforcement authorities, including violations of U.S. customs and immigration laws.
</p><p>(6) Collect and analyze data to evaluate the effectiveness and quality of services provided to other agencies in support of the
purposes described above, and of ICE’s customs and immigration law enforcement efforts generally.
</p><p>(7) Identify potential criminal activity, immigration violations, and threats to homeland security; uphold and enforce the law; and
ensure public safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorneys Offices, or other federal agency conducting litigation or
proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the
following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made pursuant
to a written Privacy Act waiver at the request of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to
economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs
(whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’ efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To federal, state, local, tribal, territorial, or foreign government agencies or multilateral government organizations
responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
license, or treaty where DHS determines that the information would assist in the enforcement of civil, criminal, or regulatory laws.
</p><p>H. To federal, state, local, tribal, territorial, foreign, or international agencies, if the information is relevant and necessary
to a requesting agency’s decision concerning individuals who are being screened with respect to their participation in, attendance at,
or other relation to a national or special security event.
</p><p>I. To domestic governmental agencies seeking to determine the immigration status of persons who have applied to purchase/obtain a
firearm in the United States, pursuant to checks conducted on such persons under the Brady Handgun Violence Prevention Act or other
applicable laws.
</p><p>J. To federal, state, local, tribal, territorial, or international agencies seeking to verify or ascertain the citizenship or
immigration status of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>K. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of immigration, civil,
or criminal proceedings (including discovery, presentation of evidence, and settlement negotiations) and when DHS determines that use
of such records is relevant and necessary to the litigation before a court or adjudicative body when any of the following is a party to
or have an interest in the litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the government has agreed to represent the employee; or
</p><p>4. The United States, where DHS determines that litigation is likely to affect DHS or any of its components.
</p><p>L. To federal, state, local, tribal, territorial, foreign or international agencies in order to refer reports of suspicious
activity, tips, potential violations of law and other relevant information to agencies with appropriate jurisdiction, authorities,
and/or need-to-know concerning the matters.
</p><p>M. To the Department of Justice (DOJ), Federal Bureau of Prisons (BOP) and other federal, state, local, territorial, tribal and
foreign law enforcement or custodial agencies for the purpose of placing an immigration detainer on an individual in that agency’s
custody, or to facilitate the transfer of custody of an individual to DHS from the other agency.
</p><p>N. To a former employee of DHS for purposes of responding to an official inquiry by federal, state, local, tribal, territorial
government agencies or professional licensing authorities; or facilitating communications with a former employee that may be relevant
and necessary for personnel-related or other official purposes where DHS requires information or consultation assistance from the
former employee regarding a matter within that person’s former area of responsibility.
</p><p>O. To federal, state, local, tribal, territorial, or foreign government agencies, as well as to other individuals and organizations
during the course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or during a proceeding within the
purview of the immigration and nationality laws, when DHS deems that such disclosure is necessary to carry out its functions and
statutory mandates or to elicit information required by DHS to carry out its functions and statutory mandates.
</p><p>P. To international, foreign, intergovernmental, and multinational government agencies, authorities, and organizations in accordance
with law and formal or informal international arrangements.
</p><p>Q. To the Office of Management and Budget (OMB) in connection with the review of private relief legislation as set forth in OMB
Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in the Circular.
</p><p>R. To the U.S. Senate Committee on the Judiciary or the U.S. House of Representatives Committee on the Judiciary when necessary to
inform members of Congress about an alien who is being considered for private immigration relief.
</p><p>S. To the Department of State when it requires information to consider and/or provide an informed response to a request for
information from a foreign, international, or intergovernmental agency, authority, or organization about an alien or an enforcement
operation with transnational implications.
</p><p>T. To federal, state, local, territorial, tribal, international, or foreign criminal, civil, or regulatory law enforcement
authorities when the information is necessary for collaboration, coordination, and de-confliction of investigative matters,
prosecutions, and/or other law enforcement actions to avoid duplicative or disruptive efforts and to ensure the safety of law
enforcement officers who may be working on related law enforcement matters.
</p><p>U. To federal, state, local, tribal, territorial, or foreign government agencies or entities or multinational government agencies
where DHS desires to exchange relevant data for the purpose of developing, testing, or implementing new software or technology whose
purpose is related to this system of records.
</p><p>V. To prospective claimants and their attorneys for the purpose of negotiating the settlement of an actual or prospective claim
against DHS or its current or former employees, in advance of the initiation of formal litigation or proceedings.
</p><p>W. To federal and foreign government intelligence or counterterrorism agencies or components when DHS becomes aware of an indication
of a threat or potential threat to national or international security, or when such disclosure is to support the conduct of national
intelligence and security investigations or to assist in anti-terrorism efforts.
</p><p>X. To the Department of Justice (DOJ), Federal Bureau of Investigation (FBI) in order to facilitate responses to fingerprint-based
immigration status queries that are sent to ICE, including queries that the FBI sends on behalf of another agency.
</p><p>Y. To federal, state, local, tribal, territorial, international, or foreign government agencies or entities for the purpose of
consulting with that agency or entity:
</p><p>1. To assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or
program;
</p><p>2. To verify the identity of an individual seeking redress in connection with the operations of a DHS component or program; or
</p><p>3. To verify the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.
</p><p>Z. To federal, state, local, tribal, territorial, foreign, or international agencies, if the information is relevant and necessary
to a requesting agency’s decision concerning the hiring or retention of an individual, or the issuance, grant, renewal, suspension or
revocation of a security clearance, license, contract, grant, or other benefit; or if the information is relevant and necessary to a
DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>AA. To federal, state, local, tribal, territorial, foreign, or international agencies, if DHS determines (1) the information is
relevant and necessary to the agency’s decision concerning the hiring or retention of an individual, or the issuance of a security
clearance, license, contract, grant, or other benefit, and (2) failure to disclose the information is likely to create a risk to
government facilities, equipment, or personnel; sensitive information; critical infrastructure; or the public safety.
</p><p>BB. To federal, state, local, tribal, territorial, foreign, or international agencies seeking information on the subjects of wants,
warrants, or lookouts, or any other subject of interest, for purposes related to administering or enforcing the law, national security,
immigration, or intelligence, when consistent with a DHS mission-related function.
</p><p>CC. To federal, state, local, tribal, territorial, or foreign government agencies or organizations, or international organizations,
lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, to enable these entities to carry out their law
enforcement responsibilities, including the collection of law enforcement intelligence.
</p><p>DD. To foreign governments in order to notify them concerning an alien who is incapacitated, an unaccompanied minor, or deceased.
</p><p>EE. To federal, state, local, tribal, and territorial courts or government agencies involved in criminal investigation or
prosecution, pretrial services, sentencing, parole, probation, bail bonds, child welfare services, or any other aspect of the criminal
justice process, and to counsel representing an individual in a criminal, civil, or child welfare proceeding, in order to ensure the
integrity of the justice system by informing these recipients of the existence of an immigration detainer on that individual or that
individual’s status in removal proceedings, including removal, voluntary departure, or custodial status/location. Disclosure of that
individual’s Alien Registration Number (A-Number) and country of birth is also authorized to facilitate use of the ICE Online Detainee
Locator System by the aforementioned individuals and agencies. This routine use does not authorize disclosure to bail bond companies or
agents.
</p><p>FF. To appropriate federal, state, local, tribal, foreign or international criminal justice agencies, or other authorized users of
NCIC, to respond to inquiries regarding a person who is or may be the subject of an ICE-generated NCIC criminal arrest warrant or
immigration lookout record.
</p><p>GG. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists
a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the
integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system,
except to the extent it is determined that release of the specific information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities behind locked doors. Electronic records are stored
on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by personal, biographic, or biometric identifiers such as name, date of birth, place of birth, address, A-
Number(s), FBI criminal history number(s), Social Security Number, Fingerprint Identification Number, and passport number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the computer systems containing the records in this system is limited to those individuals who have a need to
know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>ICE is seeking approval for a records retention schedule for the records described in this system of records. ICE proposes to
maintain the IAQ and IAR records pertaining to criminal biometric and biographic immigration status checks and pertaining to National
Sex Offender Registrants for seventy-five (75) years. The IAQ and IAR records pertaining to non-criminal biometric and biographic
immigration queries will be kept for thirty (30) years. Records pertaining to Brady Act, special security event, and OPM checks will be
kept for five (5) years from the date an immigration status determination is made and an IAR returned, after which the records will be
deleted from the ACRIMe system. ICE proposes to maintain NCIC Module records (containing the underlying basis for the ICE-generated
NCIC record) for 75 years from the date the record is removed from NCIC. ICE also proposes to maintain Communication Center Module
records containing NCIC Hit Confirmation calls for 75 years and follow-up calls to IARs for the time period consistent with the type of
query conducted. Additionally, ICE proposes to maintain tips and suspicious activity reporting in the Communications Center Module for
ten (10) years from the date of the tip.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Unit Chief, Law Enforcement Support Center, U.S. Immigration and Customs Enforcement, 188 Harvest Lane, Williston, VT 05495.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy
Act because it is a law enforcement system. However, ICE will consider individual requests to determine whether or not information may
be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to ICE’s FOIA Officer, whose contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains Privacy Act
records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act
Officer, U.S. Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528-0655.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide
your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized
or submitted under 28 U.S.C. &#167; 1746, a law that permits statements to be made under penalty of perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief
Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive
records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may be denied due
to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from ICE and other federal, state, local, tribal, foreign, and international criminal justice agencies (e.g.,
law enforcement agencies, investigators, prosecutors, correctional institutions, police departments, and parole boards).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from subsections (c)(3) and (4); (d); (e)(1),
(e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f); and (g) of the Privacy Act. In addition, the system has been exempted
from subsections (c)(3), (d), and (e)(1), (4)(G), (4)(H), and (f) pursuant to 5 U.S.C. 552a(k)(2). Rules have been promulgated in
accordance with the requirements of 5 U.S.C. 553(b), (c), and (e) and have been published in the <i>Federal Register</i> as
additions to Title 28, Code of Federal Regulations (28 CFR 16.99). In addition, to the extent a record contains information from other
exempt systems of records, ICE will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="ice8" toc="yes">
<systemNumber>/ICE-008</systemNumber>
<subsection type="systemName">Immigration and Customs Enforcement Search, Arrest, and Seizure Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. Law Enforcement Sensitive (LES).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Immigration and Customs Enforcement (ICE) Headquarters in Washington, DC and
in field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include persons who violated, or are believed to have violated,
the laws and regulations enforced by ICE, including those who have been administratively or criminally charged with
violations of such laws and regulations. Also included in this system are owners, claimants, and other interested parties
of the detained, seized and/or forfeited property.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include: Information about individuals:
</p><p>&#149; Name;
</p><p>&#149; Nationality;
</p><p>&#149; Aliases;
</p><p>&#149; Social Security Number;
</p><p>&#149; Fingerprints;
</p><p>&#149; Date of birth;
</p><p>&#149; Physical description of individual;
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Occupation;
</p><p>&#149; Place of business;
</p><p>&#149; Driver’s license number;
</p><p>Information about the search, seizure, or detention of goods or property, or the search or arrest of individuals:
</p><p>&#149; Search/arrest/seizure/detention date;
</p><p>&#149; License and registration number of vehicle, vessel and/or aircraft;
</p><p>&#149; Individual and/or contraband’s mode of entry;
</p><p>&#149; Photographs related to searches, detentions, seizures, or arrests;
</p><p>&#149; Declaration forms submitted to U.S. Customs and Border Protection;
</p><p>&#149; Receipts of cash, goods, or other property seized, detained, or forfeited;
</p><p>&#149; Description of goods or other property seized, detained, searched, or forfeited;
</p><p>&#149; Estimated foreign value of seized goods or other property;
</p><p>&#149; Duty paid and owed;
</p><p>&#149; Domestic value of seized goods or other property;
</p><p>&#149; Notices provided to owners, claimants, or other interested parties pertaining to seized goods or other
property;
</p><p>&#149; Reports of arrests, searches, detentions and seizures by ICE including the circumstances of the seizure,
including reports from other law enforcement agencies;
</p><p>&#149; Section of law violated; and
</p><p>&#149; Seized or detained records in both paper and electronic form, including computers, computer records,
disks, hard drives, flash drives and other electronic media and storage devices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 19 U.S.C. 66, 1618, 1625; 19 U.S.C. 8; 19 CFR Parts 171 and 172; the Federal Records Act, 44 U.S.C.
3101; Executive Order 9373.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document all information and activity related to ICE searches of individuals and
property, arrests of individuals, and seizures of goods, as well as related information about the individuals or entities
suspected of violations of laws and regulations enforced by ICE. The system is also intended to facilitate communication
between ICE and foreign and domestic law enforcement agencies for the purpose of enforcement and administration of laws,
including immigration and customs laws.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation
and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>J. To third parties during the course of a law enforcement 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><p>K. To international and foreign governmental authorities in accordance with the law and formal or informal
international arrangements.
</p><p>L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are also stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual’s name, Social Security Number, ICE case number, vehicle, vessel, or aircraft
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained for 5 years after final disposition, and then are transferred to the Federal Records
Center. Records are destroyed 20 years after final disposition. Disposal of paper files occurs by burning or shredding;
electronic data is disposed of using methods approved by the DHS Chief Information Security Officer.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Unit Chief, Executive Information Unit/Program Management Oversight (EIU/PMO), Office of Investigations, Mission
Support Division, U.S. Immigration and Customs Enforcement, Potomac Center North, 500 12th St., SW., Washington, DC
20024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be
found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who have been subject to search or arrest; owners, claimants, and other interested parties of
detained, seized and/or forfeited property; other Federal agencies, and State, tribal and local law enforcement agencies;
confidential sources; and members of the public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), and (e)(4)(H), (e)(5) and (e)(8); (f); and (g). Pursuant to 5
U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set
forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). In addition, to the extent a
record contains information from other exempt systems of records, ICE will rely on the exemptions claimed for those
systems.
</p></xhtmlContent></subsection></section>
<section id="ice9" toc="yes">
<systemNumber>/ICE-009</systemNumber>
<subsection type="systemName">ICE External Investigations.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, and Law Enforcement Sensitive (LES).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at U.S. Immigration and Customs Enforcement Headquarters in Washington, DC and in field
offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>(1) Individuals who are the subjects of current or previous law enforcement investigations into violations of U.S.
customs and immigration laws, as well as other laws and regulations within ICE’s jurisdiction, including investigations
led by other domestic or foreign agencies where ICE is providing support and assistance;
</p><p>(2) Individuals who are the subjects of investigatory referrals from other agencies, tips, and other leads acted on by
ICE pertaining to potential violations of U.S. customs and immigration law, as well as other laws and regulations within
ICE’s jurisdiction;
</p><p>(3) Individuals who are or have been the subject of inquiries or investigations conducted by ICE related to the
enforcement of the employment control provisions of the Immigration and Nationality Act (INA) and related criminal
statutes including individuals who are being investigated or have been investigated to determine whether their
employment-related activities are in violation of the employment control provisions of the INA and/or related criminal
statutes; individuals who employ others in their individual capacity whether related to a business activity or not; and
individuals who have submitted completed Form I-9 (Employment Eligibility Verification Form) and other
documentation to establish identity and work eligibility/authorization under the employment control provisions of the
INA;
</p><p>(4) Individuals who are being considered for private immigration relief by the U.S. Senate Committee on the Judiciary
or the U.S. House of Representatives Committee on the Judiciary;
</p><p>(5) Victims and witnesses in ICE law enforcement investigations described above;
</p><p>(6) Fugitives with outstanding Federal or State warrants;
</p><p>(7) Operators of vehicles crossing U.S. borders who are the subject of an ICE investigation, including but not limited
to, drivers of automobiles, private yacht masters, private pilots arriving in or leaving the United States; and
</p><p>(8) Regulatory and licensing agency personnel and other individuals who are involved with or supporting law
enforcement investigations pertaining to U.S. export control matters conducted by ICE.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>Subject Information:
</p><p>&#149; Name and Aliases;
</p><p>&#149; Addresses;
</p><p>&#149; Social Security Number;
</p><p>&#149; Armed Forces Number;
</p><p>&#149; Alien Registration number;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Citizenship;
</p><p>&#149; Passport and visa information;
</p><p>&#149; License information for owners and operators of vehicles, aircraft, and vessels;
</p><p>&#149; Information related to the subject’s entry and exit of the United States; and
</p><p>&#149; Other biographical information.
</p><p>Victim and Witness Records:
</p><p>&#149; Name;
</p><p>&#149; Contact information, including address and telephone numbers;
</p><p>&#149; Sworn statements, reports of interview, and testimony; and
</p><p>&#149; Other relevant biographical and background information, such as employment, and education.
</p><p>Investigatory and Evidentiary Records:
</p><p>&#149; ICE case number;
</p><p>&#149; Incident reports;
</p><p>&#149; I-9 Forms and other records pertaining to employment control audits, inquiries, and investigations;
</p><p>&#149; Reports and memoranda prepared by investigators during the course of the investigation or received from
other agencies participating in or having information relevant to the investigation;
</p><p>&#149; Law enforcement intelligence reports;
</p><p>&#149; Electronic surveillance reports;
</p><p>&#149; Asset ownership information such as registration data and license data, for vehicles, vessels,
merchandise, goods and other assets;
</p><p>&#149; Information about duties and penalties owed, assessed, and paid;
</p><p>&#149; Information about goods and merchandise, such as import and export forms and declarations filed, lab or
analytical reports, valuation and classification of goods, and other relevant data;
</p><p>&#149; Correspondence and court filings;
</p><p>&#149; Information received from other governmental agencies, confidential sources, and other sources pertaining
to an investigation, as well as investigatory referrals from other agencies, tips, and other leads pertaining to
potential violations of U.S. customs and immigration law, as well as other laws and regulations within ICE’s
jurisdiction; and
</p><p>&#149; Any other evidence in any form, including papers, photographs, electronic recordings, electronic data, or
video records that was obtained, seized, or otherwise lawfully acquired from any source during the course of the
investigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 6 U.S.C. 201-203; 18 U.S.C. 554; 19 U.S.C. 66; 19 U.S.C. 1431; 19 U.S.C. 1603; 19 U.S.C.
2072; 22 U.S.C. 2778; 40 U.S.C. 1315; 50 U.S.C. 1701; 50 U.S.C. 2410; Title 18, United States Code; Title 19, United
States Code; 31 CFR part 103; Title 40 United States Code.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>(1) To document external audits, inquiries and investigations performed by ICE pertaining to suspected violations
of laws regulating the movement of people and goods into and out of the United States in addition to other violations of
other laws within ICE’s jurisdiction;
</p><p>(2) To facilitate communication between ICE and foreign and domestic law enforcement agencies for the purpose of
enforcement and administration of laws, including immigration and customs laws;
</p><p>(3) To provide appropriate notification to victims in accordance with Federal victim protection laws;
</p><p>(4) To support inquiries and investigations performed to enforce the administrative provisions of the INA;
</p><p>(5) To support requests from the U.S. Senate Committee on the Judiciary and the U.S. House of Representatives
Committee on the Judiciary relating to proposed recipients of private immigration relief; and
</p><p>(6) To identify potential criminal activity, immigration violations, and threats to homeland security; to uphold and
enforce the law; and to ensure public safety.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate Federal, State, local, Tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena.
</p><p>J. To third parties during the course of a law enforcement 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><p>K. To an appropriate Federal law enforcement and/or regulatory agency, technical or subject matter expert, or any
other entity involved in or assisting with law enforcement efforts pertaining to suspected or confirmed export violations
in accordance with Federal export laws, including the Arms Export Control Act, 22 U.S.C. 2778 and the Export
Administration Act, 50 U.S.C. 2410.
</p><p>L. To Federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or where such use is to assist in
anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person
making the disclosure.
</p><p>M. To victims regarding custodial information, such as release on bond, order of supervision, removal from the U.S.,
or death in custody, about an individual who is the subject of a criminal or immigration investigation, proceeding, or
prosecution.
</p><p>N. To any person or entity to the extent necessary to prevent immediate loss of life or serious bodily injury, such as
disclosure of custodial release information to witnesses who have received threats from individuals in custody;
</p><p>O. To international, foreign, and intergovernmental agencies, authorities, and organizations in accordance with law
and formal or informal international arrangements.
</p><p>P. To a public or professional licensing organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation of professional standards, or reflects on the
moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>Q. To a Federal, State, Tribal, local or foreign government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence.
</p><p>R. To the Department of State when it requires information to consider and/or provide an informed response to a
request for information from a foreign, international, or intergovernmental agency, authority, or organization about an
alien or an enforcement operation with transnational implications.
</p><p>S. To a criminal, civil, or regulatory law enforcement authority (whether Federal, State, local, territorial, Tribal,
international, or foreign) where the information is necessary for collaboration, coordination, and de-confliction of
investigative matters, to avoid duplicative or disruptive efforts, and for the safety of law enforcement officers who may
be working on related investigations.
</p><p>T. To the Department of Justice to facilitate the missions of the Organized Crime Drug Enforcement Task Force (OCDETF)
Program and the International Organized Crime Intelligence and Operations Center (IOC-2).
</p><p>U. To the U.S. Senate Committee on the Judiciary or the U.S. House of Representatives Committee on the Judiciary when
necessary to inform members of Congress about an alien who is being considered for private immigration relief.
</p><p>V. To the Office of Management and Budget (OMB) in connection with the review of private relief legislation as set
forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in
the Circular.
</p><p>W. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual’s name, date of birth, ICE investigative file number, Social Security Number,
driver’s license number, pilot’s license number, vehicle license plate number, address, home telephone number, passport
number, citizenship, country of birth, armed forces number, and date of entry into the United States.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions. The system maintains a real-time auditing function of individuals who access the system.
Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Investigative files concerning munitions control cases are permanent records that are transferred to the Federal
Records Center after one year, and then transferred to the National Archives and Records Administration (NARA) fifteen
years after case closure. Records for other closed investigative cases are maintained in the investigating ICE
Headquarters or field office for either one year or five years after the end of the fiscal year in which the related
investigative file is closed, depending on the category of the case. Those records are then transferred to the Federal
Records Center where they are held for periods of time ranging from five to twenty-five years, depending on the category
of the case, after which they are destroyed. Destruction is by burning or shredding. DHS is proposing to retain
electronic records associated with law enforcement investigations for seventy-five years after case closure, after which
they will be destroyed. An updated schedule for investigative records is under review and will be submitted to NARA for
approval.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Immigration and Customs Enforcement, Mission Support Division, Unit Chief, Executive Information Unit/Program
Management Oversight (EIU/PMO), Potomac Center North, 500 12th Street, SW., Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, ICE will consider requests to determine
whether or not information may be released. Thus, individuals seeking notification of and access to any record contained
in this system of records, or seeking to contest its content, may submit a request in writing to the U.S. Immigration and
Customs Enforcement FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "
contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her,
the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address, and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information, the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>ICE may receive information in the course of its law enforcement investigations from nearly any source. Sources
of information include: domestic and foreign governmental and quasi-governmental agencies and data systems, public
records, commercial data aggregators, import and export records systems, immigration and alien admission records systems,
members of the public, subjects of investigation, victims, witnesses, confidential sources, and those with knowledge of
the alleged activity.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(5) and (e)(8); (f); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of
Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation
set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f); and
(g) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). To the extent a record contains information from other exempt
systems of records, ICE will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="cbp001-03" toc="yes">
<systemNumber>/ICE CBP-001-03</systemNumber>
<subsection type="systemName">Arrival and Departure Information System (ADIS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Homeland Security (DHS) field offices for the U.S. Immigration and Customs Enforcement (ICE),
Bureau of Customs and Border Protection (CBP), and the U.S. Citizenship and Immigration Services (USCIS); Service
Centers; Border Patrol Sectors (including all offices under their jurisdiction); Ports of Entry; Asylum offices and other
offices as detailed in DHS-DS-999, last published in the <i>Federal Register</i> on October 17, 2002 (67 FR
64136) and on the web page of each bureau (i.e., http://www.bice.immigration.gov, http://www.bcbp.gov, and
http://www.uscis.immigration.gov); Office of National Risk Assessment (ONRA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The ADIS database contains arrival/departure, biographic and biometric indicator information on immigrants and
nonimmigrants entering and departing the United States. The ADIS database contains biographic arrival/departure
information on legal permanent residents. Although this system primarily consists of immigrants, nonimmigrants and Lawful
Permanent Residents, some of them may change status and become Lawful Permanent Residents and U.S. citizens. For the
purposes of the U.S. Visitor Immigrant Status Indicator Technology (US-VISIT) program, non-U.S. citizens who
present themselves for entry into and/or exit from the United States including individuals subject to the requirements
and processes of US-VISIT are included in ADIS. Individuals covered under US-VISIT include those who are not
U.S. citizens or Lawful Permanent Residents at the time of entry or exit or are U.S. citizens or Lawful Permanent
Residents who have not identified themselves as such at the time of entry or exit.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The ADIS database is a centralized application designed to create, update and report immigrants’ and
nonimmigrants’ arrivals and departures to and from the United States. The system also contains biographic, biometric
indicator and address information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1365a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is established and maintained to enable DHS to carry out its assigned national security,
law enforcement, immigration control, national security and other mission-related functions and to provide associated
management reporting, planning and analysis. Specifically, the ADIS database is a system of records tracking immigrants,
nonimmigrants and Lawful Permanent Residents arriving in and departing from the United States. It enables the Secretary
of Homeland Security to identify, through on-line searching procedures, lawfully admitted nonimmigrants who remain in the
United States beyond the period of authorized stay, and to analyze information gathered for the purpose of this and other
DHS programs. In addition to arrival and departure information, each record also provides complete name, date of birth,
nationality, gender, passport number and country of issuance, country of residence, U.S. visa number including date and
place of issuance if applicable, alien registration number if applicable, immigration status, complete address while in
the United States, and Fingerprint Identification Number System (FINS) number. The system assists the DHS in supporting
immigration inspection at POEs by providing quick retrieval of biographic and biometric indicator data on individuals who
may be inadmissible to the United States. Furthermore, the system interfaces with the Student and Exchange Visitor
Information System (SEVIS), the Computer Linked Applications Information Management System (CLAIMS), the Passenger
Processing Component of the Treasury Enforcement Communications System (TECS) and the Automated Fingerprint
Identification System (IDENT). It facilitates the investigation process of individuals who may have violated their
immigration status.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Relevant information contained in this system of records may be disclosed as follows:
</p><p>A. To appropriate government agencies or organizations(regardless of whether they are Federal, State, local, foreign,
or tribal), lawfully engaged in collecting law enforcement intelligence information (whether civil or criminal) and/or
charged with investigating, prosecuting, enforcing or implementing civil and/or criminal laws, related rules, regulations
or orders, to enable these entities to carry out their law enforcement responsibilities.
</p><p>B. To an attorney or representative who is acting on behalf of an individual covered by this system of records as
defined in 8 CFR 1.1(j) in any proceeding before the Executive Office for Immigration Review.
</p><p>C. In a proceeding before a court, grand jury, or adjudicative body when records are determined by the Department of
Homeland Security to be arguably relevant to the proceeding where any of the following is a party: (1) The DHS, or any
DHS component, or subdivision thereof; (2) any DHS employee in his or her official capacity; (3) any DHS employee in his
or her individual capacity when the DHS has agreed to represent the employee or has authorized a private attorney to
represent him or her; and (4) the United States, where the DHS or its components are likely to be affected.
</p><p>D. To a member of Congress or staff acting on 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.
</p><p>E. To the General Service Administration and the National Archives and Records Administration (NARA) in records
management inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>F. To the news media and the public when there exists a legitimate public interest in the disclosure of the
information or when disclosure is necessary to preserve confidence in the integrity of the Department or is necessary to
demonstrate the accountability of the Department’s officers, employees, or individuals covered by the system, except to
the extent it is determined that release of the specific information in the context of a particular case would constitute
an unwarranted invasion of personal privacy.
</p><p>G. 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.
</p><p>H. 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.
</p><p>I. To a Federal, State, tribal, local or foreign government agency in response to its request, in connection with the
hiring or retention by such agency of an employee, the issuance of a security clearance, the reporting of an
investigation of such an employee, the letting of a contract, or the issuance of a license, grant, loan or other benefit
by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s
decision on the matter.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored in a central computer database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be searched on a variety of data elements including name, place and date of entry or departure,
country of citizenship, admission number, and FINS number used to track the particular fingerprints.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system is protected through a multi-layer security approach. The protective strategies are physical,
technical, administrative and environmental in nature and provide access control to sensitive data, physical access
control to DHS facilities, confidentiality of communications, authentication of sending parties, and personnel screening
to ensure that all personnel with access to data are screened through background investigations commensurate with the
level of access required to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be retained for 100 years. This policy proposal for retention and disposal of records in the ADIS
database is pending approval by the NARA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Program Manager, ADIS Program Management Office, 1616 North Fort Myer Drive, Arlington, VA 22209.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Address inquiries to the system manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Since the Privacy Act applies to only U.S. citizens and legal permanent residents, this notice covers only U.S.
citizens and Lawful Permanent Residents whose information is contained in this system. Make all requests for access in
writing and by mail to the system manager noted above. The envelope and letter shall be clearly marked Privacy Access
Request. Include a description of the general subject matter, the related file number if known, and any other identifying
information which may be of assistance in locating the record. To identify a record, the requester should provide his or
her full name, date and place of birth, verification of identity in accordance with 8 CFR 103.21(b). The requester shall
also provide a return address for transmitting the records to be released.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The following procedures cover only U.S. citizens and Lawful Permanent Residents whose information is contained
in this system. U.S. citizens and Lawful Permanent Residents who wish to contest or seek amendment of their records
should direct a written request to the system manager. The request should include the requestor’s full name, current
address and date of birth, a copy of the record in question, and a detailed explanation of the change sought. If the
matter cannot be resolved by the system manager, further appeal for resolution may be made to the DHS Privacy Office.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic information is obtained from individuals, the individuals’ attorney or representative, DHS and DOS
officials, and other Federal, State, and local officials.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4), (d), (e)(1), (2),
and (3), (e)(4)(G) and (H), (e)(5) and (8), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, the
Secretary of Homeland Security has exempted portions of this system from subsections (c)(3), (d), (e)(1), (e)(4)(G) and
(H) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). These exemptions apply only to the extent that records in the
system are subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="ice10" toc="yes">
<systemNumber>/ICE-010</systemNumber>
<subsection type="systemName">Immigration and Customs Enforcement Confidential and Other Sources of Information (COSI).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. Law Enforcement Sensitive (LES).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at ICE Headquarters in Washington, DC and at ICE field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>(1) Confidential Informants: Individuals who have been documented as Confidential Informants and report information to
ICE regarding possible violations of law or other information in support of law enforcement investigations and
activities. Confidential Informants are members of the public acting in either their personal or professional capacities.
</p><p>(2) Sources of Information: Individuals who are not documented as Confidential Informants as described in (1) above
who report information to ICE regarding possible violations of law or other information in support of law enforcement
investigations and activities. These individuals are cooperating defendants to a criminal, civil, or administrative case
or members of the public acting in either their personal or professional capacities.
</p><p>(3) Federal, state, local, tribal, territorial, or foreign government personnel acting in their personal or
professional capacities.
</p><p>(4) Federal, state, local, tribal, territorial, or foreign law enforcement officers acting in their professional
capacities.
</p><p>(5) Individuals reported by Confidential Informants and Sources of Information or federal, state, local, tribal,
territorial or foreign government personnel or law enforcement officers acting in their professional capacities:
Individuals whose information is provided to ICE by the individuals described in (1), (2), and (3) above. These
individuals are typically persons who are alleged to have engaged in, witnessed, or otherwise been associated with
suspected illegal activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>For Confidential Informants:
</p><p>&#149; Individual’s name (actual or assumed);
</p><p>&#149; ICE Confidential Informant (identifying) number;
</p><p>&#149; Date ICE Informant number assigned;
</p><p>&#149; Date Informant was deactivated;
</p><p>&#149; Addresses;
</p><p>&#149; Nationality;
</p><p>&#149; Occupational information;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Physical description of identifying features;
</p><p>&#149; Special skills (e.g., languages spoken, special certifications, areas of expertise);
</p><p>&#149; Photograph of Informant;
</p><p>&#149; Fingerprints;
</p><p>&#149; Handwriting sample;
</p><p>&#149; Identifying numbers, such as Social Security Number, Alien Registration Number, driver’s license number,
FBI number, and passport number;
</p><p>&#149; Immigration history;
</p><p>&#149; Criminal history information;
</p><p>&#149; Copy of driver’s license;
</p><p>&#149; Copy of alien registration card;
</p><p>&#149; Copy of passport(s);
</p><p>&#149; Bank account information;
</p><p>&#149; Documentation of information received and the amount and date of any monetary payment made to the
Informant; and
</p><p>&#149; Internal ICE memoranda and other reports pertinent to a confidential informant’s eligibility,
suitability, and identity.
</p><p>For Sources of Information:
</p><p>&#149; Individual’s name (actual or assumed);
</p><p>&#149; Addresses;
</p><p>&#149; Nationality;
</p><p>&#149; Occupational information;
</p><p>&#149; Criminal History Information;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Immigration history;
</p><p>&#149; Documentation of information received and the amount and date of any monetary payment made to the Source;
and
</p><p>&#149; Internal ICE memoranda and other reports pertinent to a Source’s eligibility, suitability and identity.
</p><p>For federal, state, local, tribal, territorial or foreign government personnel or law enforcement officers:
</p><p>&#149; Individual’s Name (actual or assumed);
</p><p>&#149; Addresses;
</p><p>&#149; Agency;
</p><p>&#149; Nationality; and
</p><p>&#149; Occupational Information.
</p><p>For individuals about whom information is provided:
</p><p>&#149; Individual’s name (alleged violator, witness, interested parties, those connected with the
investigation);
</p><p>&#149; Aliases;
</p><p>&#149; Addresses;
</p><p>&#149; Nationality;
</p><p>&#149; Occupational information;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Physical description of identifying features;
</p><p>&#149; Photograph of the individual;
</p><p>&#149; Fingerprints;
</p><p>&#149; Handwriting sample;
</p><p>&#149; Identifying numbers, such as Social Security Number, Alien Registration Number, driver’s license number,
FBI/National Crime Information Center (NCIC) number, and passport number;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Emergency contact information;
</p><p>&#149; Association/Organization memberships;
</p><p>&#149; Copy of alien registration card;
</p><p>&#149; Copy of driver’s license;
</p><p>&#149; Registration number of vehicle, vessel, or aircraft;
</p><p>&#149; ICE Investigative case number;
</p><p>&#149; Internal DHS/ICE memoranda and related materials regarding possible violations of law;
</p><p>&#149; Criminal record information;
</p><p>&#149; Financial record information;
</p><p>&#149; Documentation of information received from Confidential Informants, agencies and other individuals;
</p><p>&#149; The ICE office receiving the information; and
</p><p>&#149; ICE Duty Agent Log of information received, which contains some or all of the specific data listed above.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1357 and 19 U.S.C. 1589a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document and manage the identities of and information received from a number of
sources, including Confidential Informants, regarding possible violations of law or other information in support of law
enforcement investigations and activities conducted by ICE.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative, or administrative body, when it is relevant and necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee or former employee of DHS in his/her official capacity;
</p><p>3. any employee or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. the United States, or any agency thereof.
</p><p>B. 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.
</p><p>C. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of identity theft or
fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system
or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised
information; and
</p><p>3. the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>D. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>E. Where a record, either on its face or in conjunction with other information, indicates a violation of law, rule,
regulation, or order, which includes criminal, civil, or regulatory violations, and such disclosure is proper and
consistent with the official duties of the person making the disclosure, a disclosure may be made to federal, state,
local, tribal, territorial, international, or foreign law enforcement agencies or other appropriate authorities charged
with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order.
</p><p>F. To federal, state, local, tribal, territorial, foreign, or international agencies for the purpose of obtaining
information relevant and necessary to ICE’s decision whether an individual may act as a Confidential Informant.
</p><p>G. To courts, magistrates, administrative tribunals, parties, and witnesses, in the course of immigration, civil, or
criminal proceedings (including discovery, presentation of evidence, and settlement negotiations) and when DHS determines
that use of such records is relevant and necessary to the litigation before a court or adjudicative body when any of the
following is a party to or have an interest in the litigation:
</p><p>(1) DHS or any component thereof;
</p><p>(2) any employee of DHS in his/her official capacity;
</p><p>(3) any employee of DHS in his/her individual capacity where the government has agreed to represent the employee; or
</p><p>(4) the United States, where DHS determines the litigation is likely to affect DHS or any of its components.
</p><p>H. To prospective claimants and their attorneys for the purpose of negotiating the settlement of an actual of
prospective claim against DHS or its current or former employees, in advance of the initiation of formal litigation or
proceedings.
</p><p>I. To a former employee of DHS for purposes of responding to an official inquiry by federal, state, local, tribal, or
territorial government agencies or professional licensing authorities or facilitating communications with a former
employee that may be relevant and necessary for personnel-related or other official purposes where DHS requires
information nor consultation assistance from the former employee regarding a matter within that person’s former area of
responsibility.
</p><p>J. To international, foreign, intergovernmental, and multinational government agencies, authorities, and organizations
to facilitate the testimony of a Confidential Informant in a criminal, civil, or administrative case in which the
Confidential Informant is a cooperating witness or party.
</p><p>K. To federal, state, local, tribal, territorial, or foreign government agencies, as well as to other individuals and
organizations during the course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or
during a proceeding within the purview of the immigration and nationality laws, when DHS deems that such disclosure is
necessary to carry out its functions and statutory mandates or to elicit information required by DHS to carry out its
functions and statutory mandates.
</p><p>L. To federal, state, local, tribal, territorial, foreign, or international criminal, civil, or regulatory law
enforcement authorities when the information is necessary for collaboration, coordination, and de-confliction of
investigative matters, prosecutions, and/or other law enforcement actions to avoid duplicative or disruptive efforts and
to ensure the safety of law enforcement officers who may be working on related law enforcement matters.
</p><p>M. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or where such disclosure is to
support the conduct of national intelligence and security investigations or to assist in anti-terrorism efforts.
</p><p>N. To the Department of State when it requires information to consider and/or provide an informed response to a
request for information from a foreign, international, or intergovernmental agency, authority, or organization about an
alien or an enforcement operation with transnational implications.
</p><p>O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records for Confidential Informants are retrieved by ICE by their numerical identifier or the associated ICE
investigative case number. Other source records are retrieved by ICE investigative case number, individual’s name or
alias (source, subject or other person connected with the investigation), the ICE field office which received the
information, and the date the information was received.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS
automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>ICE is seeking approval for a records retention schedule for the records described in this system of records. ICE
proposes to maintain both electronic and paper-based records pertaining to Confidential Informants in active form at ICE
Headquarters for five (5) years past the date of an individual’s deactivation from being a Confidential Informant. The
records will then be archived and retained at ICE Headquarters for an additional fifty (50) years, following which the
records will be destroyed.
</p><p>The retention and disposal period listed in the existing system of records notice will continue to be applicable for
paper-based records pertaining to Confidential Informants maintained at ICE field offices as well as records pertaining
to Non-Confidential Sources and individuals reported by Confidential Informants and Non-Confidential Sources. Records are
maintained until the end of the fiscal year in which the related investigative file is closed. The records are then
transferred to the Federal Records Center five (5) years after the end of that fiscal year. The records are then
destroyed fifty (50) years after the end of the fiscal year in which the related investigative file is closed. Disposal
of paper files occurs by burning or shredding; electronic data is disposed of using methods approved by the DHS Chief
Information Security Officer.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Assistant Director, Investigative Services Division, Office of Investigations, ICE Headquarters, Potomac Center
North, 500 12th St. SW., Washington, DC 20024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of
the Privacy Act because it is a law enforcement system. However, DHS/ICE will consider individual requests to determine
whether or not information may be released. Thus, individuals seeking notification of and access to any record contained
in this system of records, or seeking to contest its content, may submit a request in writing to ICE’s FOIA Officer,
whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an
individual believes more than one component maintains Privacy Act records concerning him or her, the individual may
submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, U.S. Department of Homeland
Security, 245 Murray Drive SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>
http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) will not be able to conduct an effective search, and your request may
be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from other federal, state, local, tribal, and territorial law enforcement agencies, Confidential
Informants, and any other sources of information including members of the public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)
(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g). Pursuant to 5 U.S.C.
552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth
in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). When a record received from
another system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will claim the same exemptions for
those records that are claimed for the original primary systems of records from which they originated and claims any
additional exemptions set forth here.
</p></xhtmlContent></subsection></section>
<section id="ice11" toc="yes">
<systemNumber>/ICE-011</systemNumber>
<subsection type="systemName">Immigration and Enforcement Operational Records (ENFORCE).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified; Controlled Unclassified Information (CUI).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Immigration Customs and Enforcement (ICE) Headquarters in Washington, DC, ICE
field and attach&#233; offices, and detention facilities operated by or on behalf of ICE, or that otherwise house
individuals detained by ICE.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>1. Individuals arrested, detained, and/or removed for criminal and/or administrative violations of the Immigration and
Nationality Act, or individuals who are the subject of an ICE immigration detainer issued to another custodial agency;
</p><p>2. Individuals arrested by ICE law enforcement personnel for violations of Federal criminal laws enforced by ICE or
DHS;
</p><p>3. Individuals who fail to leave the United States after receiving a final order of removal, deportation, or
exclusion, or who fail to report to ICE for removal after receiving notice to do so (fugitive aliens);
</p><p>4. Individuals who are granted parole into the United States under section 212(d)(5) of the Immigration and
Nationality Act (parolees);
</p><p>5. Other individuals whose information may be collected or obtained during the course of an immigration enforcement or
criminal matter, such as witnesses, associates, and relatives;
</p><p>6. Attorneys or representatives who represent individuals listed in categories (a)-(d) above;
</p><p>7. Persons who post or arrange bond for the release of an individual from ICE detention, or receive custodial property
of a detained alien;
</p><p>8. Personnel of other agencies who assisted or participated in the arrest or investigation of an alien, or who are
maintaining custody of an alien; and
</p><p>9. Prisoners of the U.S. Marshals Service held in ICE detention facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>1. Biographic, descriptive, historical and other identifying data, including but not limited to: Names; fingerprint
identification number (FIN); date and place of birth; passport and other travel document information; nationality;
aliases; Alien Registration Number (A-Number); Social Security Number; contact or location information (e.g., known
or possible addresses, phone numbers); visa information; employment, educational, immigration, and criminal history;
height, weight, eye color, hair color and other unique physical characteristics (<i>e.g.,</i> scars and tattoos).
</p><p>2. Biometric data: Fingerprints and photographs. DNA samples required by DOJ regulation (see 28 CFR part 28) to be
collected and sent to the Federal Bureau of Investigation (FBI). DNA samples are not retained or analyzed by DHS.
</p><p>3. Information pertaining to ICE’s collection of DNA samples, limited to the date and time of a successful collection
and confirmation from the FBI that the sample was able to be sequenced. ICE does not receive or maintain the results of
the FBI’s DNA analysis (<i>i.e.,</i> DNA sequences).
</p><p>4. Case-related data, including: Case number, record number, and other data describing an event involving alleged
violations of criminal or immigration law (location, date, time, event category, types of criminal or immigration law
violations alleged, types of property involved, use of violence, weapons, or assault against DHS personnel or third
parties, attempted escape and other related information; event categories describe broad categories of criminal law
enforcement, such as immigration worksite enforcement, contraband smuggling, and human trafficking). ICE case management
information, including: Case category, case agent, date initiated, and date completed.
</p><p>5. Birth, marriage, education, employment, travel, and other information derived from affidavits, certificates,
manifests, and other documents presented to or collected by ICE during immigration and law enforcement proceedings or
activities. This data typically pertains to subjects, relatives, and witnesses.
</p><p>6. Detention data on aliens, including immigration detainers issued; transportation information; detention-related
identification numbers; custodial property; information about an alien’s release from custody on bond, recognizance, or
supervision; detention facility; security classification; book-in/book-out date and time; mandatory detention and
criminal flags; aggravated felon status; and other alerts.
</p><p>7. Detention data for U.S. Marshals Service prisoners, including: Prisoner’s name, date of birth, country of birth,
detainee identification number, FBI identification number, state identification number, book-in date, book-out date, and
security classification;
</p><p>8. Limited health information relevant to an individual’s placement in an ICE detention facility or transportation
requirements (<i>e.g.,</i> general information on physical disabilities or other special needs to ensure that an
individual is placed in a facility or bed that can accommodate their requirements). Medical records about individuals in
ICE custody (<i>i.e.,</i> records relating to the diagnosis or treatment of individuals) are maintained in DHS/ICE--
013 Alien Medical Records System of Records;
</p><p>9. Progress, status and final result of removal, prosecution, and other DHS processes and related appeals, including:
Information relating to criminal convictions, incarceration, travel documents and other information pertaining to the
actual removal of aliens from the United States.
</p><p>10. Contact, biographical and identifying data of relatives, attorneys or representatives, associates or witnesses of
an alien in proceedings initiated and/or conducted by DHS including, but not limited to: Name, date of birth, place of
birth, telephone number, and business or agency name.
</p><p>11. Data concerning personnel of other agencies that arrested, or assisted or participated in the arrest or
investigation of, or are maintaining custody of an individual whose arrest record is contained in this system of records.
This can include: Name, title, agency name, address, telephone number and other information.
</p><p>12. Data about persons who post or arrange an immigration bond for the release of an individual from ICE custody, or
receive custodial property of an individual in ICE custody. This data may include: Name, address, telephone number,
Social Security Number and other information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103, 1225, 1226, 1324, 1357, 1360, and 1365(a)(b); Justice for All Act of 2004 (Pub. L. 108-405);
DNA Fingerprint Act of 2005 (Pub. L. 109-162); Adam Walsh Child Protection and Safety Act of 2006 (Pub. L. 109
-248); and 28 CFR part 28, "DNA-Sample Collection and Biological Evidence Preservation in the Federal
Jurisdiction."
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of this system are:
</p><p>1. To support the identification, apprehension, and removal of individuals unlawfully entering or present in the
United States in violation of the Immigration and Nationality Act, including fugitive aliens.
</p><p>2. To support the identification and arrest of individuals (both citizens and non-citizens) who commit violations of
Federal criminal laws enforced by DHS.
</p><p>3. To track the process and results of administrative and criminal proceedings against individuals who are alleged to
have violated the Immigration and Nationality Act or other laws enforced by DHS.
</p><p>4. To support the grant, denial, and tracking of individuals who seek or receive parole into the United States.
</p><p>5. To provide criminal and immigration history information during DHS enforcement encounters, and background checks on
applicants for DHS immigration benefits (e.g., employment authorization and petitions).
</p><p>6. To identify potential criminal activity, immigration violations, and threats to homeland security; to uphold and
enforce the law; and to ensure public safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) or other Federal agency conducting litigation or in proceedings before any
court, adjudicative or administrative body, or to a court, magistrate, administrative tribunal, opposing counsel,
parties, and witnesses, in the course of a civil or criminal proceeding before a court or adjudicative body when it is
necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, including to an
actual or potential party or his or her attorney, or in connection with criminal law proceedings.
</p><p>I. To other Federal, State, local, or foreign government agencies, individuals, and organizations during the course of
an investigation, proceeding, or activity within the purview of immigration and nationality laws to elicit information
required by DHS/ICE to carry out its functions and statutory mandates.
</p><p>J. To the appropriate foreign government agency charged with enforcing or implementing laws where there is an
indication of a violation or potential violation of the law of another nation (whether civil or criminal), and to
international organizations engaged in the collection and dissemination of intelligence concerning criminal activity.
</p><p>K. To other Federal agencies for the purpose of conducting national intelligence and security investigations.
</p><p>L. To any Federal agency, where appropriate, to enable such agency to make determinations regarding the payment of
Federal benefits to the record subject in accordance with that agency’s statutory responsibilities.
</p><p>M. To foreign governments for the purpose of coordinating and conducting the removal of aliens to other nations; and
to international, foreign, and intergovernmental agencies, authorities, and organizations in accordance with law and
formal or informal international arrangements.
</p><p>N. To family members and attorneys or other agents acting on behalf of an alien, to assist those individuals in
determining whether: (1) The alien has been arrested by DHS for immigration violations; (2) the location of the alien if
in DHS custody; or (3) the alien has been removed from the United States, provided however, that the requesting
individuals are able to verify the alien’s date of birth or Alien Registration Number (A-Number), or can otherwise
present adequate verification of a familial or agency relationship with the alien.
</p><p>O. To the DOJ Executive Office of Immigration Review (EOIR) or their contractors, consultants, or others performing or
working on a contract for EOIR, for the purpose of providing information about aliens who are or may be placed in removal
proceedings so that EOIR may arrange for the provision of educational services to those aliens under EOIR’s Legal
Orientation Program.
</p><p>P. To attorneys or legal representatives for the purpose of facilitating group presentations to aliens in detention
that will provide the aliens with information about their rights under U.S. immigration law and procedures.
</p><p>Q. To a Federal, State, tribal or local government agency to assist such agencies in collecting the repayment of
recovery of loans, benefits, grants, fines, bonds, civil penalties, judgments or other debts owed to them or to the U.S.
Government, and/or to obtain information that may assist DHS in collecting debts owed to the U.S. Government.
</p><p>R. To the State Department in the processing of petitions or applications for immigration benefits and non-immigrant
visas under the Immigration and Nationality Act, and all other immigration and nationality laws including treaties and
reciprocal agreements; or when the State Department requires information to consider and/or provide an informed response
to a request for information from a foreign, international, or intergovernmental agency, authority, or organization about
an alien or an enforcement operation with transnational implications.
</p><p>S. To the Office of Management and Budget (OMB) in connection with the review of private relief legislation as set
forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in
the Circular.
</p><p>T. To the U.S. Senate Committee on the Judiciary or the U.S. House of Representatives Committee on the Judiciary when
necessary to inform members of Congress about an alien who is being considered for private immigration relief.
</p><p>U. To a criminal, civil, or regulatory law enforcement authority (whether Federal, State, local, territorial, tribal,
international or foreign) where the information is necessary for collaboration, coordination and de-confliction of
investigative matters, to avoid duplicative or disruptive efforts and for the safety of law enforcement officers who may
be working on related investigations.
</p><p>V. To the U.S. Marshals Service concerning Marshals Service prisoners that are or will be held in detention facilities
operated by or on behalf of ICE in order to coordinate the transportation, custody, and care of these individuals.
</p><p>W. To third parties to facilitate placement or release of an alien (<i>e.g.,</i> at a group home, homeless shelter,
etc.) who has been or is about to be released from ICE custody but only such information that is relevant and necessary
to arrange housing or continuing medical care for the alien.
</p><p>X. To an appropriate domestic government agency or other appropriate authority for the purpose of providing
information about an alien who has been or is about to be released from ICE custody who, due to a condition such as
mental illness, may pose a health or safety risk to himself/herself or to the community. ICE will only disclose
information about the individual that is relevant to the health or safety risk they may pose and/or the means to mitigate
that risk (<i>e.g.,</i> the alien’s need to remain on certain medication for a serious mental health condition).
</p><p>Y. To the DOJ Federal Bureau of Prisons (BOP) and other Federal, State, local, territorial, tribal and foreign law
enforcement or custodial agencies for the purpose of placing an immigration detainer on an individual in that agency’s
custody, or to facilitate the transfer of custody of an individual from ICE to the other agency. This will include the
transfer of information about unaccompanied minor children to the U.S. Department of Health and Human Services (HHS) to
facilitate the custodial transfer of such children from ICE to HHS.
</p><p>Z. To DOJ, disclosure of DNA samples and related information as required by 28 CFR part 28.
</p><p>AA. To DOJ, disclosure of arrest and removal information for inclusion in relevant DOJ law enforcement databases and
for use in the enforcement Federal firearms laws (<i>e.g.,</i> Brady Act).
</p><p>BB. To Federal, State, local, tribal, territorial, or foreign governmental or quasi-governmental agencies or courts to
confirm the location, custodial status, removal or voluntary departure of an alien from the United States, in order to
facilitate the recipient agencies’ exercise of responsibilities pertaining to the custody, care, or legal rights
(including issuance of a U.S. passport) of the removed individual’s minor children, or the adjudication or collection of
child support payments or other debts owed by the removed individual.
</p><p>CC. Disclosure to victims regarding custodial information, such as release on bond, order of supervision, removal from
the United States, or death in custody, about an individual who is the subject of a criminal or immigration
investigation, proceeding, or prosecution.
</p><p>DD. To any person or entity to the extent necessary to prevent immediate loss of life or serious bodily injury, (<i>
e.g.,</i> disclosure of custodial release information to witnesses who have received threats from individuals in
custody.)
</p><p>EE. To an individual or entity seeking to post or arrange, or who has already posted or arranged, an immigration bond
for an alien to aid the individual or entity in (1) identifying the location of the alien, or (2) posting the bond,
obtaining payments related to the bond, or conducting other administrative or financial management activities related to
the bond.
</p><p>FF. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law.
</p><p>GG. To members of the public, disclosure of limited detainee biographical information for the purpose of (1)
identifying whether the detainee is in ICE custody and the custodial location, and (2) facilitating the deposit of monies
into detainees’ accounts for telephone or commissary services in a detention facility.
</p><p>HH. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel,
when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Information can be stored in case file folders, cabinets, safes, or a variety of electronic or computer databases
and storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, identification numbers including, but not limited to, alien registration number
(A-Number), fingerprint identification number, Social Security Number, case or record number if applicable, case
related data and/or combination of other personal identifiers including, but not limited to, date of birth and
nationality.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>ICE is in the process of drafting a proposed record retention schedule for the information maintained in the
Enforcement Integrated Database (EID). ICE anticipates retaining records of arrests, detentions and removals in EID for
one-hundred (100) years; records concerning U.S. Marshals Service prisoners for ten (10) years; fingerprints and
photographs collected using Mobile IDENT for up to seven (7) days in the cache of an encrypted government laptop;
Enforcement Integrated Database Data Mart (EID-DM), ENFORCE Alien Removal Module Data Mart (EARM-DM), and ICE
Integrated Decision Support (IIDS) records for seventy-five (75) years; user account management records (UAM) for ten
(10) years following an individual’s separation of employment from Federal service; statistical records for ten (10)
years; audit files for fifteen (15) years; and backup files for up to one (1) month.
</p><p>ICE anticipates retaining records from the Fugitive Case Management System (FCMS) for ten (10) years after a fugitive
alien has been arrested and removed from the United States; 75 years from the creation of the record for a criminal
fugitive alien that has not been arrested and removed; ten (10) years after a fugitive alien reaches 70 years of age,
provided the alien has not been arrested and removed and does not have a criminal history in the United States; ten (10)
years after a fugitive alien has obtained legal status; ten (10) years after arrest and/or removal from the United States
for a non-fugitive alien’s information, whichever is later; audit files for 90 days; backup files for 30 days; and
reports for ten (10) years or when no longer needed for administrative, legal, audit, or other operations purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Unit Chief, Law Enforcement Systems/Data Management, U.S. Immigration and Customs Enforcement, Office of
Investigations Law Enforcement Support and Information Management Division, Potomac Center North, 500 12th Street, SW.,
Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, ICE will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to ICE’s FOIA
Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in the system are supplied by several sources. In general, information is obtained from individuals
covered by this system, and other Federal, State, local, tribal, or foreign governments. More specifically, DHS/ICE
-011 records derive from the following sources:
</p><p>(a) Individuals covered by the system and other individuals (<i>e.g.,</i> witnesses, family members);
</p><p>(b) Other Federal, State, local, tribal, or foreign governments and government information systems;
</p><p>(c) Business records;
</p><p>(d) Evidence, contraband, and other seized material; and
</p><p>(e) Public and commercial sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted portions of this system of records from subsections (c)(3) and
(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), and (e)(8); and (g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2). In addition, the Secretary of Homeland Security has exempted portions of this system of records from
subsections (c)(3); (d); (e)(1), (e)(4)(G), and (e)(4)(H) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). These
exemptions apply only to the extent that records in the system are subject to exemption pursuant to 5 U.S.C. 552a(j)(2)
and (k)(2).
</p><p>In addition, to the extent a record contains information from other exempt systems of records, DHS will rely on the
exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="ice12" toc="yes">
<systemNumber>/ICE-012</systemNumber>
<subsection type="systemName">Visa Security Program Records (VSPR).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified; Controlled Unclassified Information.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Immigration and Customs Enforcement (ICE) Headquarters in Washington, DC, ICE
field offices, and foreign embassies and consulates.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>(1) Individuals who apply for U.S. visas, and
</p><p>(2) Other individuals who are identified on the visa application, such as the applicant’s spouse, individuals
traveling with applicant, application preparer’s name, and individuals identified by the applicant as the person in the
U.S. with whom the applicant will stay (hereafter, applicant point of contact).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system may include:
</p><p>(1) Biographic, employment, contact, and other types of information provided on the visa application, or by the
applicant and others during interviews, such as name, address, phone number, e-mail address, date of birth, country of
birth, nationality, passport number, information related to applicant’s intended travel to the United States, spouse’s
name, names and relationships of individuals traveling with applicant, the application preparer’s name, and the name and
address of the applicant point of contact.
</p><p>(2) Information obtained during a visa security review from interviews, public records, foreign governments, and U.S.
government databases, such as the State Department’s visa control number, lookout records, criminal history, admission,
visa and immigration history, and records indicating a possible threat to homeland or national security due to terrorism
or other reasons.
</p><p>(3) Recommendations and/or other information provided by ICE to the State Department pertaining to visa applicants,
and the State Department’s decision on the visa application.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103; 8 U.S.C. 1153-55; 8 U.S.C. 1201-1204; Section 428 of the Homeland Security Act of
2002; 22 CFR 41.122; Memorandum of Understanding between DHS, Federal Bureau of Investigation, and State Department
Bureau of Consular Affairs on Improved Information Sharing Services signed July 18, 2009; Memorandum of Understanding
Between the Secretaries of State and Homeland Security Concerning the Implementation of Section 428 of the Homeland
Security Act of 2002 signed on September 26, 2003; Memorandum of Understanding between the Department of State, Bureau of
Consular Affairs and the Department of Homeland Security, U.S. Immigration and Customs Enforcement for Cooperation in
Datasharing signed on October 6, 2006; and Memorandum of Agreement Between the Department of State and the Department of
Homeland Security Regarding the Sharing of Visa and Passport Records and Immigration and Naturalization and Citizenship
Records signed on November 18, 2008.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>(a) To manage, review, track, investigate, document, and report on visa security reviews conducted by ICE agents
pertaining to U.S. visa applicants and to document ICE recommendations to the State Department on visa issuance;
</p><p>(b) To facilitate communication among ICE personnel on matters pertaining to visa applications, visa holders, and visa
security reviews;
</p><p>(c) To enforce the provisions of the Immigration and Nationality Act, as amended; and
</p><p>(d) To identify potential criminal activity, immigration violations, and threats to homeland security; to uphold and
enforce the law; and to ensure public safety.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to an individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena.
</p><p>I. To Federal and foreign government intelligence or counterterrorism agencies when DHS reasonably believes there to
be a threat or potential threat to national or international security for which the information may be useful in
countering the threat or potential threat, when DHS reasonably believes such use is to assist in anti-terrorism efforts,
and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.
</p><p>J. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.
</p><p>K. To an organization or individual in either the public or private sector, either foreign or domestic, where there is
a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to
the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p><p>L. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>M. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental
organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems
designed to enhance national security or identify other violations of law.
</p><p>N. To third parties during the course of a visa security review to the extent necessary to obtain information
pertinent to the review, provided disclosure is appropriate to the proper performance of the official duties of the
person making the disclosure.
</p><p>O. To international and foreign governmental authorities in accordance with law and formal or informal international
arrangements.
</p><p>P. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>Q. To a Federal, State, Tribal, local, international, or foreign government agency or entity for the purpose of
consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in
connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an
individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of
verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>R. To the Federal Bureau of Investigation, the National Counter-Terrorism Center (NCTC), the Terrorist Screening
Center (TSC), or other appropriate Federal agencies, for the integration and use of such information to protect against
terrorism, if that record is about one or more individuals known, or suspected, to be or to have been involved in
activities constituting, in preparation for, in aid of, or related to terrorism. Such information may be further
disseminated by recipient agencies to Federal, State, local, territorial, Tribal, and foreign government authorities, and
to support private sector processes as contemplated in Homeland Security Presidential Directive/HSPD-6 and other
relevant laws and directives, for terrorist screening, threat-protection and other homeland security purposes.
</p><p>S. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral government
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health risk, as
practicable.
</p><p>T. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The electronic records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by visa applicant name, passport number, or visa control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>ICE is in the process of drafting a proposed record retention schedule for the information maintained in VSPR,
including system information maintained in VSPTS-Net. ICE anticipates retaining the following records for 25 years
after the date of review: visa security reviews where ICE has no adverse finding and does not object to the issuance of a
visa, visa security reviews where ICE does not object to the issuance of a visa but provides derogatory information to
the Department of State regarding the applicant, and visa security reviews where ICE recommends against the issuance of a
visa, with no nexus to terrorism. ICE anticipates retaining the following records for 75 years after the date of review:
visa security reviews where ICE recommends against the issuance of a visa due to a nexus to terrorism, or where ICE does
not object to the issuance of the visa but provides terrorism-related information to the State Department regarding the
applicant. ICE also anticipates that extracts of visa applicant data created for the purpose of creating VSPTS-Net
records will be retained by ICE for one week and then destroyed/deleted.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Visa Security Program Unit Chief, Office of International Affairs, U.S. Immigration and Customs Enforcement, 800
N. Capitol Street NW., Suite 300, Washington, DC 20536.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, ICE will consider requests individual
requests to determine whether or not information may be released. Thus, individuals seeking notification of and access to
any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the
component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts.
" If an individual believes more than one component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from the visa application, the visa applicant, Federal databases, foreign governments,
Interpol, Europol, employers, family members, public records, the Internet, and other individuals or entities from which
information is collected during a visa security review.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C.
552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), and (e)(4)(H), (e)(5) and (e)(8); (f); and (g). Pursuant to 5
U.S.C. 552a(k)(1) and (k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the
limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). In addition,
to the extent a record contains information from other exempt systems of records, DHS will rely on the exemptions claimed
for those systems.
</p></xhtmlContent></subsection></section>
<section id="ice14" toc="yes">
<systemNumber>/ICE-014</systemNumber>
<subsection type="systemName">DHS/ICE-014 Homeland Security Investigations Forensic Laboratory (HSI-FL)
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Law enforcement sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at U.S. Immigration and Customs Enforcement Headquarters in Washington, DC and in field offices, and
electronic records are maintained in LIMS, IDEAL, and other IT systems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>1. Individuals whose information is contained on United States or international travel and identity documents, such as driver’s
licenses, passports, and other forms of identification, that are maintained in the Homeland Security Investigations Forensic
Laboratory (HSI-FL) Library;
</p><p>2. Individuals whose information is contained on United States or international travel and identity documents, such as driver’s
licenses, passports, and other forms of identification, that are provided to the HSI-FL for forensic examination during a
criminal or administrative law enforcement investigation;
</p><p>3. Individuals who are the subjects of current or previous law enforcement investigations by other domestic or foreign agencies
where the HSI-FL is providing support and assistance;
</p><p>4. Individuals who are the subjects of current or previous law enforcement investigations into violations of U.S. customs and
immigration laws, as well as other laws and regulations within ICE’s jurisdiction, including investigations led by other domestic or
foreign agencies, where the HSI-FL is providing support and assistance; and
</p><p>5. Individuals whose image or voice may be captured on video or audio files where the HSI-FL is provided the file to perform
technical enhancements of the file.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>1. Biographic, descriptive, historical and other identifying data, including: Names; photographs; fingerprint identification
number; date and place of birth; passport and other travel document information; nationality; aliases; Alien Registration Number
(A- Number); Social Security Number; other identification numbers, contact or location information (e.g., known or possible
addresses, phone numbers); visa information; employment, educational, immigration, and criminal history; height, weight, eye color,
hair color and other unique physical characteristics (e.g., scars and tattoos).
</p><p>2. Fingerprints or palm prints of individuals whose information is provided to the HSI-FL for forensic examination.
</p><p>3. Case-related data, including: Case number, record number, and other data describing an event involving alleged violations of
criminal or immigration law (such as, location, date, time, event category (event categories describe broad categories of criminal
law enforcement, such as immigration worksite enforcement, contraband smuggling, and human trafficking)); types of criminal or
immigration law violations alleged; types of property involved; use of violence, weapons, or assault against DHS personnel or third
parties; attempted escape; and other related information. ICE case management information, including: case category; case agent; date
initiated; and date completed.
</p><p>4. Birth, marriage, education, employment, travel, and other information derived from affidavits, certificates, manifests, and
other documents presented to or collected by ICE during immigration and law enforcement proceedings or activities. This data
typically pertains to subjects, relatives, and witnesses.
</p><p>5. Data concerning personnel of other agencies that arrested, or assisted or participated in the arrest or investigation of, or
are maintaining custody of an individual whose arrest record is contained in this system of records. This can include: Name; title;
agency name; address; telephone number; and other information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103, 44 U.S.C. 3101, 18 U.S.C. 496, 18 U.S.C. 911, 18 U.S.C. 1001, 18 U.S.C. 1028, 18 U.S.C. 1425, 18 U.S.C. 1426, 18
U.S.C. 1427, 18 U.S.C. 1541, 18 U.S.C. 1543, and 18 U.S.C. 1546.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of this system are to:
</p><p>1. Maintain records related to the scientific authentication, examination, research, and analysis of travel and identity
documents, fingerprints, and palm prints in accordance with established laboratory policies and procedures, scientific principles,
and accreditation standards.
</p><p>2. Maintain a library of travel and identity documents and associated reference materials for use in forensic examinations,
investigations, training, and other activities.
</p><p>3. Support the forensic examinations on a full range of documents, including but not limited to, passports, visas, driver’s
licenses, identification cards, border crossing cards, handwritten documents, vital records, and typewritten documents. The analysis
may include, but is not limited to, an examination of handwriting, hand printing, typewriting, printing processes, security features,
papers, inks, and stamp impressions.
</p><p>4. Maintain records facilitating the preparation of written laboratory reports and delivery of expert witness testimony in both
legal proceedings.
</p><p>5. Support the provision of training in fraudulent document detection, creation of document intelligence alerts and reference
guides, and provision of direct assistance to federal, state and local agencies, as well as foreign governments and commercial
entities to combat document fraud.
</p><p>6. Provide assistance within ICE and to domestic and foreign agencies to support the identification and arrest of individuals
(both citizens and non-citizens) who commit violations of law.
</p><p>7. To identify potential criminal activity, immigration violations, and threats to homeland security; to uphold and enforce the
law; and to ensure public safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) (including U.S. Attorneys’ Offices) or other federal agency conducting litigation or
proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the
following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm
to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts
to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. When a record, either on its face or in conjunction with other information, indicates a violation or potential violation of
law, which includes criminal, civil, or regulatory violations, and such disclosure is proper and consistent with the official duties
of the person making the disclosure, a disclosure may be made to federal, state, local, tribal, territorial, international, or
foreign law enforcement agencies or other appropriate authorities charged with investigating or prosecuting a violation or enforcing
or implementing a law, rule, regulation, or order.
</p><p>H. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of immigration,
civil, or criminal proceedings (including discovery, presentation of evidence, and settlement negotiations) when DHS determines that
such disclosure is relevant and necessary to the litigation and one of the following is party to the proceedings or has an interest
in such proceeding:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity where the government has agreed to represent the
employee; or
</p><p>4. The United States, where DHS determines that litigation is likely to affect DHS or any of its components.
</p><p>I. To federal, state, local, tribal, territorial, or foreign government agencies, as well as to other individuals and
organizations during the course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or during a
proceeding within the purview of the immigration and nationality laws, when DHS deems that such disclosure is necessary to carry out
its functions and statutory mandates or to elicit information required by DHS to carry out its functions and statutory mandates.
</p><p>J. To federal, state, local, tribal, or territorial government agencies seeking to verify or ascertain the citizenship or
immigration status of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>K. To federal, state, local, tribal, or territorial government agencies, or other entities or individuals, or through established
liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the
purposes of national security, intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive
Order, or other applicable national security directive.
</p><p>L. To federal, state, local, tribal, territorial, or foreign government agencies or organizations, or international organizations,
lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, to enable these entities to carry out their
law enforcement responsibilities, including the collection of law enforcement intelligence.
</p><p>M. To international, foreign, intergovernmental, and multinational government agencies, authorities, and organizations in
accordance with law and formal or informal international arrangements.
</p><p>N. To federal and foreign government intelligence or counterterrorism agencies or components when DHS becomes aware of an
indication of a threat or potential threat to national or international security, or when such disclosure is to support the conduct
of national intelligence and security investigations or to assist in anti-terrorism efforts.
</p><p>O. To federal, state, local, tribal, territorial, or foreign government agencies or entities or multinational government agencies
when DHS desires to exchange relevant data for the purpose of developing, testing, or implementing new software or technology whose
purpose is related to this system of records.
</p><p>P. To federal, state, local, territorial, tribal, international, or foreign criminal, civil, or regulatory law enforcement
authorities when the information is necessary for collaboration, coordination and de-confliction of investigative matters,
prosecutions, and/or other law enforcement actions to avoid duplicative or disruptive efforts and to ensure the safety of law
enforcement officers who may be working on related law enforcement matters.
</p><p>Q. To the Department of State in the processing of petitions or applications for benefits under the Immigration and Nationality
Act, and all other immigration and nationality laws including treaties and reciprocal agreements; or when the Department of State
requires information to consider and/or provide an informed response to a request for information from a foreign, international, or
intergovernmental agency, authority, or organization about an alien or an enforcement operation with transnational implications.
</p><p>R. To the Department of State to provide read-only access of records maintained in the Imaged Documents and Exemplars Library to
assist the Department of State with their validation of travel and identity documents.
</p><p>S. To federal, state, local, tribal, territorial, or foreign government agencies for purposes of completing and providing results
of requested forensic examinations to the requesting agency.
</p><p>T. To the Department of Justice (including United States Attorneys’ Offices) or other federal agency conducting litigation or in
proceedings before any court, adjudicative or administrative body, when necessary to assist in the development of such agency’s legal
and/or policy position.
</p><p>U. To the U.S. Senate Committee on the Judiciary or the U.S. House of Representatives Committee on the Judiciary when necessary to
inform members of Congress about an alien who is being considered for private immigration relief.
</p><p>V. To federal, state, tribal, territorial, local, international, or foreign government agencies or entities for the purpose of
consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in connection with
the operations of a DHS component or program; (2) to verify the identity of an individual seeking redress in connection with the
operations of a DHS component or program; or (3) to verify the accuracy of information submitted by an individual who has requested
such redress on behalf of another individual.
</p><p>W. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there
exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in
the integrity of DHS or is necessary to demonstrate the accountability of DHS’ officers, employees, or individuals covered by the
system, except to the extent it is determined that release of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records may be stored in hard copy and electronically on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, identification numbers including case or record number if applicable; other personal
identification numbers including Alien Registration Number (A-Number), fingerprint identification number, and other personal
identification numbers; and case related data and/or combination of other personal identifiers including, but not limited to, date of
birth and nationality.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to
know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>After the forensic examination is completed, all case files shall be stored as closed case files onsite at HSI-FL for 6
years followed by 10 years in offsite temporary storage for a total of 16 years. Exception: All war crimes and capital cases shall be
held indefinitely onsite at the HSI-FL.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>U.S. Immigration and Customs Enforcement, Homeland Security Investigations Forensic Laboratory, Unit Chief, 8000 West Park Drive,
McLean, VA 22102-3105.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy
Act because it is a law enforcement system. However, DHS/ICE will consider individual requests to determine whether or not
information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records,
or seeking to contest its content, may submit a request in writing to ICE’s FOIA Officer, whose contact information can be found at
<i>http://www.dhs.gov/foia</i> under "Contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of
Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must
provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be
notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief
Freedom of Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you
should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive
records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may be denied due
to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in the system are supplied by several sources. In general, information is obtained from federal, state, local, tribal, or
foreign governments. More specifically, DHS/ICE-014 records are derived from the following sources: (a) other federal, state,
local, tribal, or foreign governments and government information systems; and (b) evidence, contraband, and other seized material.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(j)(2), has exempted this system from the following provisions of the
Privacy Act 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f); and (g).
Additionally, the Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(k)(2), has exempted this system from the following
provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Where a record received
from another system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will claim the same exemptions for those
records that are claimed for the original primary systems of records from which they originated and claims any additional exemptions
in accordance with this rule.
</p></xhtmlContent></subsection></section>
<section id="iaip1" toc="yes">
<systemNumber>/IAIP-001</systemNumber>
<subsection type="systemName">Homeland Security Operations Center Database
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified; sensitive
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Homeland Security Operations Center, Office of the Undersecretary for Information
Analysis and Infrastructure Protection, Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have been linked in any manner to potential terrorism, to other domestic incidents with homeland
security implications, or whose behavior arouses reasonable suspicion of possible terrorist activity; individuals who are
the subject of information pertaining to terrorism and/or homeland security; individuals who offer information pertaining
to terrorism and/or homeland security; individuals who request assistance or information; or individuals who make
inquiries concerning possible terrorist activity. The system will also contain information about individuals who are or
have been associated with DHS homeland security operations or with DHS administrative operations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Intelligence information obtained from agencies and components of the Federal Government, foreign governments,
organizations or entities, international organizations, state and local government agencies (including law enforcement
agencies), and private sector entities; information provided by individuals, regardless of the medium used to submit the
information; information obtained from the Terrorist Screening Center or on terrorist watch lists about individuals known
or reasonably suspected to be engaged in conduct constituting, preparing for, aiding, or relating to terrorism; results
of intelligence analysis and reporting; ongoing law enforcement investigative information; information systems security
analysis and reporting; historical law enforcement information; operational and administrative records; financial
information; and public source data such as that contained in media reports and commercial databases. Data about the
providers of information, including the means of transmission of the data, will also be retained.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552, 552a; Section 201 of the Homeland Security Act of 2002, Pub. L. 107-296, 116 Stat. 2145
(Nov. 25, 2002), as amended (6 U.S.C. 121); 44 U.S.C. 3101; E.O. 12958; E.O. 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This record system is maintained to collect, access, and analyze law enforcement information, intelligence
information, and other information from agencies of the Federal Government, foreign governments, international
organizations, state and local government agencies (including law enforcement agencies), and private sector entities or
individuals; and to integrate such information in order to: detect, identify and assess the nature and scope of terrorist
or other threats to the United States; and understand such threats in light of actual and potential vulnerabilities of
the homeland.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. If the record, on its face or in conjunction with other information, indicates a violation or potential violation
of any law, regulation, rule, order, or contract, the record may be disclosed to the appropriate entity, whether federal,
state, local, joint, tribal, foreign, or international, that is charged with the responsibility of investigating,
prosecuting and/or enforcing such law, regulations, rule, order or contract.
</p><p>B. To a Federal, state, local, joint, tribal, foreign, international or other public agency or organization, or to any
person or entity in either the public or private sector, domestic or foreign, where such disclosure may promote assist or
otherwise serve homeland or national security interests.
</p><p>C. To an organization or individual in either the public or private sector, where there is a reason to believe that
the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the
information is relevant to the protection of life or property.
</p><p>D. To recipients under circumstances and procedures as are mandated by Federal statute, treaty, or international
agreement.
</p><p>E. To the news media or members of the general public in furtherance of a function related to homeland security as
determined by the system manager where disclosure could not reasonably be expected to constitute an unwarranted invasion
of privacy.
</p><p>F. To the Department of Justice or other federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when: (a) DHS, or (b) any employee of DHS in his/her official capacity, or (c) any
employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee, or (d) the United
States or any agency thereof, is a party to the litigation or has an interest in such litigation.
</p><p>G. 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.
</p><p>H. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. Sections 2904 and 2906.
</p><p>I. To contractors, grantees, experts, consultants, volunteers, 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.
</p><p>J. To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.
</p><p>K. To a Federal, state, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a Department of Homeland Security decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of any employee, the letting of a contract, or the
issuance of a license, grant, or other benefit.
</p><p>L. To a Federal, state, local, tribal, territorial, foreign, or international agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on
the matter.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically at the HSOC in a secure facility. The records are stored on
magnetic disc, tape, digital media, and CD-ROM, and may also be retained in hard copy format in secure folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by the individual’s name or other identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable rules and policies, including any
applicable IAIP and DHS automated systems security and access policies. Strict controls have been imposed to minimize the
risks of compromising the information that is being stored. Access to the computer system containing the records in this
system is limited to those individuals specifically authorized and granted access by DHS regulations, who hold
appropriate security clearances, and who have a need to know the information in the performance of their official duties.
The system also maintains a real-time auditing function of individuals who access the system. Classified information is
appropriately stored in a secured facility, in secured databases and containers, and in accordance with other applicable
requirements, including those pertaining to classified information. Access is limited to authorized personnel only.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>IAIP is working with the National Archives and Records Administration to obtain approval of a records retention
and disposal schedule to cover records in the HSOC database. IAIP has proposed a short retention schedule for these
records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Disclosure Office, Office of the Chief of Staff, Office of the Undersecretary for Information Analysis
and Infrastructure Protection, Department of Homeland Security, Washington, D.C. 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>A request for access to records in this system may be made by writing to the System Manager, identified above, in
conformance with 6 CFR Part 5, Subpart B, which provides the rules for requesting access to Privacy Act records
maintained by DHS.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from subject individuals, other agencies and organizations, both
domestic and foreign, media, including periodicals, newspapers, and broadcast transcripts and public and classified
reporting, privacy organizations and individuals, intelligence source documents, investigative reports, and
correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a((j)(2), (k)(1), and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="ia1" toc="yes">
<systemNumber>/IA-001</systemNumber>
<subsection type="systemName">Office of Intelligence &amp; Analysis (I&amp;A) Enterprise Records System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>The classification of records in this system can range from UNCLASSIFIED to TOP SECRET.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained by the Office of Intelligence &amp; Analysis (I&amp;A), Department of Homeland Security,
Washington, DC 20528, and at remote locations where I&amp;A maintains secure facilities and/or conducts its mission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>A. Individuals who are known, reasonably believed to be, or are suspected of being, involved in or linked to:
</p><p>1. The existence, organization, capabilities, plans, communications, intentions, and vulnerabilities of, means of
finance or material support for, and activities against or threats to the United States or United States persons and
interests by, domestic, foreign or international terrorist groups and/or individuals involved in terrorism;
</p><p>2. Groups or individuals believed to be assisting or associated with domestic, foreign, or international terrorist
groups and/or individuals involved in terrorism;
</p><p>3. Activities constituting a threat to homeland security, and/or activities that are preparatory to, or facilitate or
support such activities, including:
</p><p>a. Activities related to the violation or suspected violation of immigration or customs laws and regulations of the
United States,
</p><p>b. Activities, which could reasonably be expected to assist in the development or use of a weapon of mass effect;
</p><p>c. Activities to identify, create, exploit, or undermine the vulnerabilities of the "key resources" (as
defined in section 2(9) of the Homeland Security Act of 2002) and "critical infrastructure" (as defined in 42
U.S.C. 5195c(c)) of the United States;
</p><p>d. Activities to identify, create, exploit, or undermine the vulnerabilities of the cyber and national
telecommunications infrastructure, including activities which may impact the availability of a viable national security
and emergency preparedness communications infrastructure.
</p><p>e. Activities detrimental to the security of transportation and transportation systems;
</p><p>f. Activities which violate or are suspected of violating the laws relating to counterfeiting of obligations and
securities of the United States and other financial crimes, including access device fraud, financial institution fraud,
identity theft, computer fraud; and computer-based attacks on our nation’s financial, banking, and telecommunications
infrastructure;
</p><p>g. Activities, not wholly conducted within the United States, which violate or are suspected of violating the laws
which prohibit the production, transfer, or sale of narcotics or substances controlled in accordance with Title 21 of the
United States Code, or those associated activities otherwise prohibited by Titles 21 and 46 of the United States Code;
</p><p>h. Activities which impact or concern the security, safety, and integrity of our international borders, including any
illegal activities that cross our borders such as violations of the immigration or customs laws of the United States;
</p><p>i. Activities which impact, concern, or otherwise threaten the safety and security of the President and Vice
President, their families, heads of state, and other designated individuals; the White House, Vice President’s residence,
foreign missions, and other designated buildings within the United States;
</p><p>j. Activities which impact, concern, or otherwise threaten maritime safety and security, maritime mobility and
navigation, or the integrity of the maritime environment;
</p><p>k. Activities which impact, concern, or otherwise threaten the national operational capability of the Department to
respond to natural and man-made major disasters and emergencies, including acts of terrorism, in support of impacted
communities; to coordinate all Federal emergency management response operations, response planning and logistics
programs; and to integrate Federal, State, tribal and local response programs to ensure the efficient and effective
delivery of immediate emergency assistance to individuals and communities impacted by major disasters, emergencies or
acts of terrorism.
</p><p>l. Activities involving the detection of and response to unauthorized attempts to import, possess, store, develop, or
transport nuclear or radiological material for use against the United States
</p><p>4. The capabilities, intentions, or activities of foreign governments or elements thereof, foreign organizations, or
foreign persons, where the individuals may be officers or employees of, or otherwise acting for or on behalf of, a
foreign power or organization that may be owned or controlled, directly or indirectly, by a foreign power;
</p><p>5. Intelligence activities, or other individuals known or suspected of engaging in intelligence activities, on behalf
of a foreign power or terrorist group;
</p><p>6. Activities or circumstances where the health or safety of that individual may be threatened, including information
concerning these individuals that may be necessary for identifying and implementing protective security measures or other
emergency preparedness activities;
</p><p>B. Individuals who voluntarily request assistance or information, through any means, from I&amp;A, or individuals who
voluntarily provide information concerning any of the activities above, which may threaten or otherwise affect homeland
security.
</p><p>C. Individuals who are or have been associated with DHS or I&amp;A activities or with the administration of the
Department, including information about individuals that is otherwise required to be maintained by law or that is
necessary for the provision of intelligence support to the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>I&amp;A utilizes a single records system for maintaining I&amp;A’s operational and administrative records,
including:
</p><p>A. Classified and unclassified intelligence (includes national intelligence, foreign intelligence, and
counterintelligence), counterterrorism, homeland security, and related law enforcement information, including source
records and the reporting and results of any analysis of this information, obtained from all agencies, components and
organizations of the Federal government, including the IC; foreign governments, organizations or entities, and
international organizations; State, local, tribal and territorial government agencies (including law enforcement
agencies); and private sector entities;
</p><p>B. Information provided by record subjects and individual members of the public;
</p><p>C. Information obtained from the Terrorist Screening Center, the National Counterterrorism Center, or from other
organizations about individuals known or reasonably suspected of being engaged in conduct constituting, preparing for,
aiding, or relating to terrorism;
</p><p>D. Active and historical law enforcement investigative information;
</p><p>E. Information related to lawful DHS Security investigations, including authorized physical, personnel, and
communications security investigations, and information systems security analysis and reporting;
</p><p>F. Operational and administrative records, including correspondence records;
</p><p>G. Lawfully acquired financial information, when relevant to an authorized intelligence, counterterrorism, homeland
security, or related law enforcement activity;
</p><p>H. Public source data such as that contained in media, including periodicals, newspapers, broadcast transcripts, and
other public reports and commercial databases; and
</p><p>I. Data about the providers of any information otherwise contained within this system, including the means of
transmission of the data.
</p><p>Examples of information related to the "Categories of Individuals" listed above may include:
</p><p>Full name, date of birth, gender, country of citizenship, country of birth, alien number, social security number,
driver’s license numbers, passport numbers, fingerprint identification number, or other unique identifying numbers,
current and past home and work addresses, phone numbers, terrorist associations, biometric information including
fingerprints and photographs, physical description, results from intelligence analysis related to terrorism, financial
information, family members or associates, flight information, border crossing information, immigration information, or
other personally identifiable information that is relevant and necessary.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Title II and section 892 of the Homeland Security Act of 2002, Pub. L. 107-296, 116 Stat.
2145 (Nov. 25, 2002), as amended (6 U.S.C. 121, <i>et seq.</i>); 44 U.S.C. 3101; E.O. 9397; E.O. 12333; E.O. 12958; E.O.
13356; and E.O. 13388.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>ERS replaces the applicable portions of the DHS, Homeland Security Operations Center Database (DHS/IAIP-
001) system of records notice (SORN), last published in full text on April 18, 2005 [70 F.R. 20156]. The DHS/IAIP-
001 SORN previously covered the functional and organizational aspects of I&amp;A within DHS prior to realignment by the
Secretary and Congress, respectively, in 2005 and 2006.
</p><p>The mission-specific purposes of ERS are as follows:
</p><p>A. To manage, access, analyze, integrate, and store intelligence (including national intelligence, foreign
intelligence, and counterintelligence), counterterrorism, homeland security, related law enforcement, and other
information to carry out the responsibilities of the Secretary of Homeland Security and the Under Secretary for I&amp;A,
as the official responsible for assessing and analyzing all terrorism, homeland security, and related law enforcement and
intelligence information received by the Department, under Title II of the Homeland Security Act (6 U.S.C. 121, <i>et
seq.</i>), in support of the overall DHS mission.
</p><p>B. To fulfill the need for coordinated intelligence support in all of the critical mission areas specifically
identified in the President’s National Strategy for Homeland Security or other related activities as defined by separate
Executive Order, Homeland and/or National Security Presidential Directive, or other issuance concerning the internal
management and policy of Executive Branch activities.
</p><p>C. To enable the provision of intelligence and analysis support to all DHS activities, components, and organizational
elements, and to maintain a record system from which I&amp;A can cull, analyze, and fuse intelligence and related
information properly received from other DHS components, other United States Government (USG) departments and agencies
(including law enforcement agencies), elements of the National Intelligence Community (IC), as well as our foreign,
State, local, territorial, tribal, and private sector partners.
</p><p>D. To permit the Under Secretary for I&amp;A, as Chief Intelligence Officer of the Department, to foster the
development and execution of an information sharing environment within DHS; to integrate the intelligence and information
sharing functions and activities of the DHS intelligence enterprise to provide the most valuable, actionable intelligence
and intelligence-related information for the Nation’s leadership, all components of DHS, the IC, and our other partners;
and to ensure both that the information and analysis provided by the Department is appropriate for providing security for
the homeland and that the sharing of intelligence and analysis between DHS and its Federal, State, local, territorial,
tribal, foreign, and private sector partners is sufficient to meet their respective homeland security needs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To any Federal, State, local, tribal, territorial, foreign, or multinational government or agency, or appropriate
private sector individuals and organizations, with responsibilities relating to homeland security, including
responsibilities to counter, deter, prevent, prepare for, respond to, or recover from a natural or manmade threat,
including an act of terrorism, or to assist in or facilitate the coordination of homeland security threat awareness,
assessment, analysis, deterrence, prevention, preemption, and response;
</p><p>B. To a Federal, State, local, tribal, territorial, foreign, or multinational government or agency with the
responsibility and authority for investigating, prosecuting and/or enforcing a law (civil or criminal), regulation, rule,
order or contract, where the record, on its face or in conjunction with other information, indicates a violation or
potential violation of any such law, regulation, rule, order, or contract enforced by that government or agency;
</p><p>C. To a Federal, State, local, tribal, territorial, foreign, or multinational government or agency, or other entity,
including, as appropriate, certain private sector individuals and organizations, where disclosure is in furtherance of
I&amp;A’s information sharing responsibilities under the Homeland Security Act of 2002, as amended, the Intelligence
Reform and Terrorism Prevention Act of 2004, the National Security Act of 1947, as amended, Executive Order 12333, as
amended, or any successor order, national security directive, intelligence community directive, other directive
applicable to I&amp;A, and any classified or unclassified implementing procedures promulgated pursuant to such orders and
directives, or any other statute, Executive Order or directive of general applicability, and where such disclosure is
otherwise compatible with the purpose for which the record was originally acquired or created by I&amp;A;
</p><p>D. To a Federal, State, local, tribal, or territorial government or agency lawfully engaged in the collection of
intelligence (including national intelligence, foreign intelligence, and counterintelligence), counterterrorism, homeland
security, law enforcement or law enforcement intelligence, and other information, where disclosure is undertaken for
intelligence, counterterrorism, homeland security, or related law enforcement purposes, as authorized by U.S. Law or
Executive Order, and in accordance with applicable disclosure policies;
</p><p>E. To any other agency within the IC, as defined in section 3.4(f) of Executive Order 12333 of December 4, 1981, as
amended, for the purpose of allowing that agency to determine whether the information is relevant and necessary to its
mission-related responsibilities and in accordance with that agency’s classified or unclassified implementing procedures
promulgated pursuant to such orders promulgated pursuant to such orders and directives, or any other statute, Executive
Order or directive of general applicability;
</p><p>F. To foreign persons or foreign government agencies, international organizations, and multinational agencies or
entities, under circumstances or for purposes mandated by, imposed by, or conferred in, Federal statute, treaty, or other
international agreement or arrangement, and in accordance with applicable foreign disclosure policies, such as the
National Security Decision Memorandum 119, "Disclosure of Classified United States Military Information to Foreign
Governments and International Organizations," which is the Presidential directive that allows for the disclosure
classified information to foreign entities, and other applicable directives;
</p><p>G. To any individual, organization, or entity, as appropriate, to notify them of a serious threat to homeland security
for the purpose of guarding them against or responding to such a threat, or where there is a reason to believe that the
recipient is or could become the target of a particular threat, to the extent the information is relevant to the
protection of life, health, or property;
</p><p>H. To any Federal government agency when documents or other information obtained from that agency are used in
compiling the particular record, the record is also relevant to the official responsibilities of that agency, and there
otherwise exists a need for that agency to know the information in the performance of its official functions;
</p><p>I. To representatives of the Department of Justice and other U.S. Government entities, to the extent necessary to
obtain their advice on any matter that is within their official responsibilities to provide;
</p><p>J. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when: (a) DHS, or (b) any employee of DHS in his/her official capacity, or (c) any
employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee, or (d) the United
States or any agency thereof, is a party to the litigation or has an interest in such litigation;
</p><p>K. To a congressional office with information from the record of a particular individual, and in response to an
inquiry from that congressional office made at the request of the individual to whom the record pertains;
</p><p>L. To individual members or staff of the Senate Select Committee on Intelligence and the House Permanent Select
Committee on Intelligence, and the House Homeland Security Subcommittee on Intelligence, Information Sharing, and
Terrorism Risk Assessment, in connection with the exercise of the Committees’ intelligence oversight and legislative
functions, when such disclosures are necessary to a lawful activity of the United States, and the DHS Office of the
General Counsel determines that such disclosures are otherwise lawful;
</p><p>M. To the National Archives and Records Administration or other federal government agencies for the purpose of records
management inspections being conducted under the authority of 44 U.S.C. sections 2904 and 2906;
</p><p>N. To contractors, grantees, experts, consultants, volunteers, 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, in compliance with the Privacy Act of 1974, as amended;
</p><p>O. To any agency, organization, or individual for the purposes of performing audit or oversight operations of DHS
and/or I&amp;A authorized by law, but only such information as is necessary and relevant to such audit or oversight
function;
</p><p>P. To the President’s Foreign Intelligence Advisory Board, the Intelligence Oversight Board, any successor
organizations, and any intelligence oversight entities established by the President, when the head of I&amp;A determines
that disclosure will assist these entities in the performance of their oversight functions; and
</p><p>Q. To an appropriate Federal, State, local, tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other
benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the
request.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored in paper and/or electronic format in secure facilities. Electronic storage is
on servers, CD-ROMs, DVD-ROMs, magnetic disc, tape, and digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name or other identifier, including unique identifying numbers assigned
by I&amp;A or other government agencies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Hard copy (paper) records and information in this system are maintained in a secure facility with access limited
to only authorized personnel or an authorized and escorted visitor. Physical security includes security guards and locked
facilities requiring badges and passwords for access.
</p><p>Hard copy records are stored in vaults, safes or locked cabinets and are accessible only to authorized government
personnel and contractors who are properly screened, cleared and trained in information security and the protection of
privacy information.
</p><p>Electronic records are maintained on and only accessible from secured systems through hardware and software devices
protected by appropriate physical and technological safeguards to prevent unauthorized access, including password
protection.
</p><p>Electronic or digital records or information in this system are also safeguarded in accordance with applicable laws,
rules, and policies, including the DHS information technology security policies and the Federal Information Security
Management Act (FISMA). The protective strategies are physical, technical, administrative and environmental in nature,
which provide access control to sensitive data, physical access control to DHS facilities, confidentiality of
communications, authentication of sending parties, and personnel screening to ensure that all personnel with access to
data are screened through background investigations commensurate with the level of access required to perform their
duties.
</p><p>Strict controls have been imposed to minimize the risks of compromising the information that is being stored.
</p><p>Access to the computer system containing the records in this system is limited to those individuals specifically
authorized and granted access under DHS regulations, who hold appropriate security clearances, and who have a need to
know the information in the performance of their official duties.
</p><p>Systems are also developed with an incorporated auditing function of individual use and access.
</p><p>Classified information is appropriately stored in a secured certified and accredited facility, in secured databases
and containers, and in accordance with other applicable requirements, including those pertaining to classified
information.
</p><p>Access is strictly limited to authorized personnel only.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained and disposed of in accordance with a records retention and disposal
schedule to be submitted to and approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Information Sharing and Knowledge Management, Office of Intelligence and Analysis, Department of
Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsection (k) of the Privacy Act. A request for
notification of any non-exempt records in this system may be made by writing to the Disclosure Officer, Office of
Intelligence and Analysis, Department of Homeland Security, Washington, DC 20528, in conformance with 6 CFR Part 5,
Subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsection (k) of the Privacy Act. A request for access to
non-exempt records in this system may be made by writing to the Disclosure Officer, Office of Intelligence and Analysis,
Department of Homeland Security, Washington, DC 20528, in conformance with 6 CFR Part 5, Subpart B, which provides the
rules for requesting access to Privacy Act records maintained by DHS.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Because this system contains classified and sensitive unclassified information related to intelligence,
counterterrorism, homeland security, and law enforcement programs, records in this system have been exempted from
notification, access, and amendment to the extent permitted by subsection (k) of the Privacy Act. A request to amend non-
exempt records in this system may be made by writing to the System Manager, identified above, in conformance with 6 CFR
Part 5, Subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from individuals; other government, non-government, commercial,
public, and private agencies and organizations, both domestic and foreign; media, including periodicals, newspapers, and
broadcast transcripts; intelligence source documents; investigative reports, and correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>DHS has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the
Privacy Act, pursuant to 5 U.S.C. 552a(k)(1), (2), (3), and (5), as applicable. A Notice of Proposed Rulemaking for
exempting this record system has been promulgated in accordance with the requirements of 5 U.S.C. 553(b)(1), (2), and
(3), (c), and (e) and is being published [in 6 CFR Part 5] concurrently with publication of this Notice Establishing a
New System of Records in the <i>Federal Register</i>.
</p></xhtmlContent></subsection></section>
<section id="cbo-cis1" toc="yes">
<systemNumber>/ICE-CBP-CIS-001-03</systemNumber>
<subsection type="systemName">Enforcement Operational Immigration Records (ENFORCE/IDENT).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Homeland Security (DHS) field offices for the Bureau of Immigration and Customs Enforcement (ICE),
Bureau of Customs and Border Protection (CBP), and the United States Citizenship and Immigration Services (USCIS);
Service Centers; Border Patrol Sectors (including all offices under their jurisdiction); Ports of Entry; and Asylum
offices and other offices as published in the <i>Federal Register</i> on October 17, 2002 (67 FR 64136) and on the Web
page of each bureau (<i>i.e., http://www.ice.gov, http://www.cbp.gov,</i> and <i>http://www.uscis.gov</i>);
Transportation Security Administration, 601 S. 12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this consist of:
</p><p>A. Individuals or entities who relate in any manner to investigations, inspections, apprehensions, detentions,
patrols, removals, examinations, naturalizations, intelligence production, legal proceedings or other operations that
implement and enforce the Immigration and Nationality Act (INA) (8 U.S.C. 1101 <i>et seq.</i>) and related treaties,
statutes, orders and regulations. Individuals who are respondents, representatives, or witnesses in administrative, civil
penalty, or forfeiture proceedings, or defendants, representatives or witnesses in criminal prosecution or extradition
proceedings.
</p><p>B. Individuals who are obligors or representatives of obligors of bonds posted.
</p><p>C. Individuals in distress who are located during search and rescue operations, and other immigration operations.
</p><p>D. Individuals wanted by other law enforcement agencies, including Federal, state, local, tribal, foreign and
international or individuals who are the subject of inquiries, lookouts, or notices by another agency or a foreign
government.
</p><p>E. Individuals who apply for immigration benefits and/or any form of automated or other expedited inspection for
verifying eligibility to cross the borders into the United States.
</p><p>F. Non-United States citizens and Non-Lawful Permanent Residents who present themselves for entry into and/or exit
from the United States, including individuals subject to the requirements and processes of US-VISIT. Individuals
covered under US-VISIT include those who are not United States citizens or Lawful Permanent Residents at the time
of entry or exit or who are United States citizens or Lawful Permanent Residents who have not identified themselves as
such at the time of entry or exit.
</p><p>G. Nationals of countries that threaten to wage war, or are or were at war with the United States, and individuals
required to register as agents of foreign governments in the United States.
</p><p>H. Individuals who are subject to security screening by the Transportation Security Administration, which includes a
check of immigration databases, in order to have access to the sterile areas of an airport or seaport.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records in this system come directly from information collected from individuals during a DHS enforcement
encounter or biometric identification/screening. Records collected from enforcement encounters generally include
biographical data, including but not limited to name, aliases, date of birth, phone numbers, addresses, nationality;
personal descriptive data; biometric identifiers, including but not limited to fingerprints and photographs; any
materials, information or data related to the subject individual’s case, including but not limited to immigration
history, alien registration and other identification or record numbers. Records collected from admission screening
generally consist of biographic data, biometric data, and encounter data, including time, place, location, and travel
document information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103; 8 U.S.C. 1225(d)(3); 8 U.S.C. 1324(b)(3); 8 U.S.C. 1357(a); and 8 U.S.C. 1360(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is established and maintained to enable DHS to carry out its assigned national security,
law enforcement, immigration control, and other mission-related functions and to provide associated management reporting,
planning and analysis. Specifically, this system of records assists in identifying, investigating, apprehending, and/or
removing aliens unlawfully entering or present in the United States; preventing the entry of inadmissible aliens into the
United States; facilitating the legal entry of individuals into the United States; recording the departure of individuals
leaving the United States; maintaining immigration control; preventing aliens from obtaining benefits to which they are
not entitled; analyzing information gathered for the purpose of this and other DHS programs; or identifying,
investigating, apprehending and prosecuting, or imposing sanctions, fines or civil penalties against individuals or
entities who are in violation of INA, or other governing orders, treaties or regulations and assisting other Federal
agencies to protect national security and carry out other Federal missions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the appropriate agency/organization/task force, regardless of whether it is Federal, state, local, foreign, or
tribal, charged with the enforcement (<i>e.g.</i>, investigation and prosecution) of a law (criminal or civil),
regulation, or treaty, of any record contained in this system of records which indicates either on its face, or in
conjunction with other information, a violation or potential violation of that law, regulation, or treaty.
</p><p>B. To other Federal, state, tribal, and local government law enforcement and regulatory agencies and foreign
governments, and individuals and organizations during the course of an investigation or the processing of a matter, or
during a proceeding within the purview of the immigration and nationality laws, to elicit information required by DHS to
carry out its functions and statutory mandates.
</p><p>C. To an appropriate Federal, state, local, tribal, international government agency in response to its request, in
connection with the hiring or retention by such an agency of an employee, the issuance of a security clearance, the
reporting of an investigation of such an employee, the letting a contract, or the issuance of a license, grant, loan, or
other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting
agency’s decision in the matter.
</p><p>D. To an actual or potential party or to his or her attorney for the purpose of negotiation or discussion on such
matters as settlement of the case or matter, or discovery proceedings.
</p><p>E. To a Federal, state, tribal or local government agency to assist such agencies in collecting the repayment or
recovery of loans, benefits, grants, fines, bonds, civil penalties, judgments or other debts owed to them or to the
United States Government, and/or to obtain information that may assist DHS in collecting debts owed to the United States
government.
</p><p>F. To the news media and the public when there exists a legitimate public interest in the disclosure of the
information or when disclosure is necessary to preserve confidence in the integrity of the Department or is necessary to
demonstrate the accountability of the Department’s officers, employees, or individuals covered by the system, except to
the extent it is determined that release of the specific information in the context of a particular case would constitute
an unwarranted invasion of personal privacy.
</p><p>G. 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.
</p><p>H. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. Sections 2904 and 2906.
</p><p>I. 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.
</p><p>J. 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Information can be stored in case file folders, cabinets, safes, or a variety of electronic or computer databases
and storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name; biometrics; identification numbers (including but not limited to alien number,
fingerprint identification number, etc.); case related data and/or combination of other personal identifiers such as date
of birth, nationality, etc.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system is protected through multi-layer security mechanisms. The protective strategies are physical,
technical, administrative and environmental in nature and provide access control to sensitive data, physical access
control to DHS facilities, confidentiality of communications, authentication of sending parties, and personnel screening
to ensure that all personnel with access to data are screened through background investigations commensurate with the
level of access required to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following proposal for retention and disposal is pending approval with National Archives and Records
Administration (NARA):
</p><p>Records that are stored in an individual’s file will be purged according to the retention and disposition guidelines
that relate to the individual’s file (DHS/ICE/USCIS001A). Electronic records for which the statute of limitations has
expired for all criminal violations and that are older than 75 years will be purged. Fingerprint cards, created for the
purpose of entering records in the database, will be destroyed after data entry. The I-877, and copies of
supporting documentation, which are created for the purpose of special alien registration back-up procedures, will be
destroyed after data entry. Work Measurement Reports and Statistical Reports will be maintained within the guidelines set
forth in NCI-95-78-5/2 and NCI-85-78-1/2 respectively.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Program Manager, IDENT Program Management Office, US-VISIT Program, U.S. Department of Homeland Security,
Washington, DC 20528, USA.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the US-VISIT Privacy Officer,
US-VISIT Program, Border and Transportation Security, U.S. Department of Homeland Security, 245 Murray Lane, SW.,
Washington, DC 20528, USA.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The major part of this system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To
the extent that this system of records is not subject to exemption, it is subject to access. A determination as to the
granting or denial of access shall be made at the time a request is received. Requests for access to records in this
system must be in writing, and should be addressed to the System Manager noted above or to the appropriate FOIA/PA
Officer. Such request may be submitted either by mail or in person. The envelope and letter shall be clearly marked
"Privacy Access Request."  To identify a record, the record subject should provide his or her full name, date and place
of birth; if appropriate, the date and place of entry into or departure from the United States; verification of identity
(in accordance with 8 CFR 103.21(b) and/or pursuant to 28 U.S.C. 1746, make a dated statement under penalty of perjury as
a substitute for notarization), and any other identifying information that may be of assistance in locating the record.
He or she shall also provide a return address for transmitting the records to be released.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The major part of this system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To
the extent that this system of records is not subject to exemption, it is subject to access and contest. A determination
as to the granting or denial of a request shall be made at the time a request is received. An individual desiring to
request amendment of records maintained in this system should direct his or her request to the System Manager of the
appropriate office that maintains the record or (if unknown) to the appropriate FOIA/PA Officer at each bureau. The
request should state clearly what information is being contested, the reasons for contesting it, and the proposed
amendment to the information.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic information contained in this system is supplied by individuals covered by this system, and other Federal,
state, local, tribal, or foreign governments; private citizens, public and private organizations.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4), (d), (e) (1), (2),
and (3), (e)(4)(G) and (H), (e) (5) and (8), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, the
Secretary of Homeland Security has exempted portions of this system from subsections (c)(3), (d), (e)(1), (e)(4)(G) and
(H) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). These exemptions apply only to the extent that records in the
system are subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="nppd1" toc="yes">
<systemNumber>/NPPD-001</systemNumber>
<subsection type="systemName">NICC Records System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, For Official Use Only, Law Enforcement Sensitive, and Classified. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Homeland Security (DHS) National Protection and Programs Directorate (NPPD) National Infrastructure Coordinating Center (NICC) Headquarters in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by the system may include:
</p><p>&#149; Federal, state, local, Tribal, and territorial officials; foreign government and international officials; domestic security and emergency management officials; and private sector individuals who request assistance from, provide information to, are the subject of, or participate with the NICC in activities related to all-threats and all-hazards, man-made disasters and acts of terrorism, and natural disasters related to national infrastructure;
</p><p>&#149; Individuals who request assistance from the NICC related to all-threats and all-hazards, man-made disasters and acts of terrorism, and natural disasters related to national infrastructure;
</p><p>&#149; Individuals who provide information to the NICC related to all-threats and all-hazards, man-made disasters and acts of terrorism, and natural disasters, including Suspicious Activity Reports (SARs) related to national infrastructure;
</p><p>&#149; Individuals who are the subject of, or are linked in any manner to, all-threats and all-hazards, man-made disasters and acts of terrorism, and natural disasters with NICC implications;
</p><p>&#149; Individuals participating with, involved in, or the subject of domestic security or law enforcement operations, with NICC implications, where activity is planned or has taken place;
</p><p>&#149; Individuals participating with or involved in emergency management and first responder operations, with NICC, and where activity is planned or has taken place;
</p><p>&#149; Individuals involved in natural disasters where activity is planned or has taken place;
</p><p>&#149; Individuals derived from intelligence information of interest to the NICC; and
</p><p>&#149; Individuals who make inquiries concerning all-threats and all-hazards, man-made disasters and acts of terrorism, and natural disasters related to national infrastructure.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system may include:
</p><p>&#149; Full name;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Social Security Number (Many state, local, Tribal, territorial, domestic security, emergency management, and private sector individuals, organizations and agencies collect/use SSNs as an identifier and therefore may be shared with the Department);
</p><p>&#149; Citizenship;
</p><p>&#149; Contact information including phone numbers and e-mail addresses;
</p><p>&#149; Address;
</p><p>&#149; Physical description including height, weight, eye and hair color;
</p><p>&#149; Distinguishing marks including scars, marks, and tattoos;
</p><p>&#149; Automobile registration information;
</p><p>&#149; Watch list information;
</p><p>&#149; Medical records;
</p><p>&#149; Financial information;
</p><p>&#149; Results of intelligence analysis and reporting;
</p><p>&#149; Ongoing law enforcement investigative information;
</p><p>&#149; Historical law enforcement information;
</p><p>&#149; Information systems security analysis and reporting;
</p><p>&#149; Public source data including commercial databases, media, newspapers, and broadcast transcripts;
</p><p>&#149; Intelligence information including links to terrorism, law enforcement and any criminal and/or incident activity, and the date information is submitted;
</p><p>&#149; Intelligence and law enforcement information obtained from Federal, state, local, Tribal, and territorial agencies and organizations, foreign governments and international organizations; law enforcement, domestic security and emergency management officials; and private sector entities or individuals;
</p><p>&#149; Information provided by individuals, regardless of the medium, used to submit the information;
</p><p>&#149; Information obtained from the Federal Bureau of Investigation’s (FBI) Terrorist Screening Center (TSC), or on terrorist watchlists, about individuals known or reasonably suspected to be engaged in conduct constituting, preparing for, aiding, or relating to terrorism;
</p><p>&#149; Data about the providers of information, including the means of transmission of the data; (e.g., where it is determined that maintaining the identity of the source of investigative lead information may be necessary to provide an indicator of the reliability and validity of the data provided and to support follow-on investigative purposes relevant and necessary to a legitimate law enforcement or homeland security matter, such data may likely warrant retention. Absent such a need, no information on the provider of the information would be maintained);
</p><p>&#149; Scope of terrorist, law enforcement, or natural threats to the homeland;
</p><p>&#149; National disaster threat and activity information;
</p><p>&#149; The date and time national disaster information is submitted, and the name of the contributing/submitting individual or agency;
</p><p>&#149; Limited data concerning the providers of information, including the means of transmission of the data may also be retained where necessary. Such information on other than criminal suspects or subjects is accepted and maintained only to the extent that the information provides descriptive matters relevant to a criminal subject or organization and has been deemed factually accurate and relevant to ongoing homeland security situational awareness and monitoring efforts.
</p><p>&#149; Name of the contributing or submitting agency, organization, or individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, as codified within 6 U.S.C. 321d(b)(1), &#167; 515 provides DHS, including the NICC and NOC, with authority to collect the information.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to provide the mission and capabilities to assess the operational status of the nation’s 18 critical infrastructures and key resources (CIKR) sectors during normal operations and incident management activities, support information sharing with NIPP Partners, and the owners and operators of critical infrastructure.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, state, Tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To appropriate Federal, state, local, Tribal, or foreign governmental agencies or multilateral governmental organizations or critical infrastructure partners for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk.
</p><p>I. To a Federal, state, Tribal, local or foreign government agency or organization, or international organization, lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement intelligence.
</p><p>J. To Federal and foreign government intelligence or counterterrorism agencies or state, local, Tribal or territorial components, and critical infrastructure partners where DHS becomes aware of an indication of a threat or potential threat to national or international security.
</p><p>K. To Federal and foreign government intelligence or counterterrorism agencies or state, local, Tribal or territorial components, and critical infrastructure partners where the information is or may be terrorism-related information and such use is to assist in anti-terrorism efforts.
</p><p>L. To an organization or individual in either the public or private sector, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’ officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Much of the data within this system does not pertain to an individual; rather, the information pertains to locations, geographic areas, facilities, and other things or objects not related to individuals. However, some personal information is captured. Personal data may be retrieved by name, social security number and other identifiers listed under the Categories of Records Section.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The NICC is working with the NPPD and DHS Records Officer to develop a NARA approved retention schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, National Infrastructure Coordinating Center, Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security is proposing to exempt this system from the notification, access, and amendment procedures of the Privacy Act. However, DHS/NPPD will consider individual requests to determine whether or not information may be released. Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to NPPD FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from subject individuals, other Federal, state, local and Tribal agencies and organizations, domestic and foreign media, including periodicals, newspapers, and broadcast transcripts, public and classified data systems, reporting individuals, intelligence source documents, investigative reports, and correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="nppd2" toc="yes">
<systemNumber>/NPPD-002</systemNumber>
<subsection type="systemName">Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, law enforcement sensitive, for official use only, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at DHS and Component headquarters in Washington, DC, and at field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) High-risk chemical facility personnel and unescorted visitors who have or are seeking access to restricted areas or critical assets at high-risk chemical facilities (see 6 CFR 27.230(a)(12));
</p><p>(2) High-risk chemical facility personnel or designees who contact DHS/NPPD or a Federal law enforcement entity with follow-up questions regarding submission of an individual’s information to DHS/NPPD;
</p><p>(3) Individuals listed in the TSDB against whom potential or confirmed matches have been made; and
</p><p>(4) Individuals who have been or seek to be distinguished from individuals in the TSDB through redress or other means as a result of the Personnel Surety Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) High-risk chemical facilities are required to submit the following information on all facility personnel and unescorted visitors who have or are seeking access to restricted areas or critical assets:
</p><p>a. U.S. Citizens and Lawful Permanent Residents
</p><p>i. Full name;
</p><p>ii. Date of birth; and
</p><p>iii. Citizenship or Gender.
</p><p>b. Non-U.S. persons
</p><p>i. Full name;
</p><p>ii. Date of birth;
</p><p>iii. Citizenship; and
</p><p>iv. Passport information and/or alien registration number.
</p><p>(2) To reduce the likelihood of false positives in matching against the TSDB, high-risk chemical facilities may also (optionally) submit the following information on facility personnel and unescorted visitors who have or are seeking access to restricted areas or critical assets:
</p><p>a. Aliases;
</p><p>b. Gender (for Non-U.S. persons);
</p><p>c. Place of birth; and
</p><p>d. Redress Number.
</p><p>(3) High-risk chemical facilities may submit different information on individuals who maintain DHS screening program credentials or endorsements that require TSDB checks equivalent to the checks to be performed as part of the CFATS Personnel Surety Program. Instead of submitting the information listed in category (1), above, high risk chemical facilities may submit the following information for such individuals:
</p><p>a. Full name;
</p><p>b. Date of birth;
</p><p>c. Name of the DHS program which conducts equivalent vetting against the TSDB, such as the Transportation Worker Identification Credential (TWIC) program or the Hazardous Materials Endorsement (HME) program;
</p><p>d. Unique number, or other program specific verifying information associated with a DHS screening program, necessary to verify an individual’s enrollment, such as TWIC Serial Number for the TWIC program, or Commercial Driver’s License (CDL) Number and CDL issuing state(s) for the HME program; and
</p><p>e. Expiration date of the credential endorsed or issued by the DHS screening program.
</p><p>This alternative is optional--high-risk chemical facilities may either submit the information listed in category (1) for such individuals, or may submit the information listed in category (3) for such individuals.
</p><p>(4) When high-risk chemical facilities choose to submit the information listed in category (3), above, they may also (optionally) submit the following information on facility personnel and unescorted visitors who have or are seeking access to restricted areas or critical assets:
</p><p>a. Aliases;
</p><p>b. Place of Birth;
</p><p>c. Gender;
</p><p>d. Citizenship; and
</p><p>e. Redress Number.
</p><p>(5) DHS could collect additional identifying information from a high-risk chemical facility, as necessary to confirm or clear a potential match to a TSDB record. Information collected by high-risk chemical facilities and submitted to DHS for this purpose could include any information listed in categories (1) through (4), passport information, visa information, driver’s license information, or other available identifying particulars, used to compare the identity of an individual being screened with information listed in the TSDB;
</p><p>(6) In the event that a confirmed match is identified as part of the CFATS Personnel Surety Program, in addition to other records listed under the categories of records section of this SORN, DHS will obtain references to and/or information from other government law enforcement and intelligence databases, or other relevant databases that may contain terrorism information;
</p><p>(7) Information necessary to assist in tracking submissions and transmission of records, including electronic verification that DHS has received a particular record; and
</p><p>(8) Information provided by individuals covered by this system in support of any redress request, including DHS Redress Numbers and/or any of the above categories of records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>DHS Appropriations Act of 2007, Section 550, Public Law 109-295, 120 Stat. 1355 (October 4, 2006), as amended; and the Chemical Facility Anti-Terrorism Standards, 6 CFR part 27 (published April 9, 2007), as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information is collected to identify persons listed in the TSDB, who have or are seeking access to restricted areas or critical assets at high-risk chemical facilities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or
</p><p>4. The United States, or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that relies upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, state, Tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To Federal, state, local, Tribal, territorial, foreign, multinational, or private sector entities as appropriate to assist in coordination of terrorist threat awareness, assessment, analysis or response.
</p><p>I. To an appropriate Federal, state, Tribal, local, international, or foreign agency or other appropriate authority regarding individuals who pose, or are suspected of posing a risk to national security.
</p><p>J. To an appropriate Federal, state, Tribal, local, international, foreign agency, other appropriate governmental entities or authority to:
</p><p>1. Determine whether an individual is a positive identity match to an identity in the TSDB;
</p><p>2. Facilitate operational, law enforcement, or intelligence responses, if appropriate, when vetted individuals’ identities match identities in the TSDB;
</p><p>3. Provide information and analysis about terrorist encounters and known or suspected terrorist associates to appropriate domestic and foreign government agencies and officials for counterterrorism purposes; or
</p><p>4. Perform technical implementation functions necessary for the CFATS Personnel Surety Program.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records may be maintained at secured government facilities, Federal contractor locations, or locations of other parties that perform functions related to the CFATS Personnel Surety Program. Records are stored on magnetic disc, tape, digital media, and CD-ROM, and may also be retained in hard copy format in secure file folders or safes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by searching any of the categories of records listed above. Records may also be retrievable by relevant chemical facility name, chemical facility location, chemical facility contact information, and by other facility-specific data points.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer systems containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>A proposed schedule for the retention and disposal of records collected under the DHS/NPPD--002 Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records is being developed by the DHS and NPPD Offices of Records Management for approval by the National Archives and Records Administration (NARA).
</p><p>The length of time DHS/NPPD will retain information on individuals will be dependent on individual TSDB vetting results. Specifically, individuals’ information will be retained as described below, based on the individuals’ placements into three categories:
</p><p>(1) Information pertaining to an individual who is not a potential or confirmed match to a TSDB record will be retained for one year after a high-risk chemical facility has notified NPPD that the individual no longer has or is seeking access to the restricted areas or critical assets of the facility;
</p><p>(2) Information pertaining to an individual who may originally have appeared to be a match a TSDB record, but who was subsequently determined not to be a match, will be retained for seven years after completion of TSDB matching, or one year after the high-risk chemical facility that submitted that individual’s information has notified DHS/NPPD that the individual no longer has or is seeking access to the restricted areas or critical assets of the facility, whichever is later; and
</p><p>(3) Information pertaining to an individual who is a positive match to a TSDB record will be retained for ninety-nine years after completion of matching activity, or seven years after DHS/NPPD learns that the individual is deceased, whichever is earlier.
</p><p>DHS/TSA/TTAC will maintain records within its possession in accordance with the DHS/TSA-002--Transportation Security Threat Assessment System of Records, 75 FR 28046 (May 19, 2010). DHS/CBP will maintain records in its possession in accordance with the DHS/CBP-002--Global Enrollment System of Records, 71 FR 20708 (April 21, 2006).
</p><p>DHS/NPPD will also retain records to conduct inspections or audits under 6 CFR 27.245 and 6 CFR 27.250 to ensure that high-risk chemical facilities are in compliance with CFATS. These records could include the names of individuals with access to high-risk chemical facilities’ restricted areas and critical assets, the periods of time during which high-risk chemical facilities indicate that such individuals have/had access, and any other information listed elsewhere in this notice, as appropriate.
</p><p>The retention periods for these records provide reasonable amounts of time for law enforcement, intelligence, or redress matters involving individuals who have or are seeking access to restricted areas or critical assets at high-risk chemical facilities.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>CFATS Personnel Surety Program Manager, 250 Murray Lane, SW., Mail Stop 0610, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security is proposing to exempt this system from the notification, access, and amendment procedures of the Privacy Act. DHS/NPPD, however, will consider individual requests to determine whether or not information may be released. Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the DHS/NPPD Freedom of Information Act (FOIA) Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Department system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information about you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe records containing information about you would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is primarily obtained from high-risk chemical facilities and their designees. High-risk chemical facilities shall provide notice to each affected individual prior to submission of the affected individual’s information to DHS/NPPD. This will include notice that additional information may be requested after the initial submission. Information may also be obtained from other DHS programs when DHS verifies enrollment of an affected individual in another vetting or credentialing program. Information may also be obtained from the DOJ/FBI--019 Terrorist Screening Records System, 72 FR 47073 (August 22, 2007), or from other FBI sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Concurrently with publication of this system of records notice, the Secretary of Homeland Security is publishing a notice of proposed rulemaking proposing to exempt this system from the following provisions of the Privacy Act, subject to the limitations set forth therein: 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). These exemptions are made pursuant to 5 U.S.C. 552a(k)(1) and (k)(2).
</p><p>Further, DHS derivatively claims some exemptions for this system of records because it may contain records or information recompiled from or created from information contained in the TSDB. For more information on the FBI’s Terrorist Screening Records System, see DOJ/FBI--019 Terrorist Screening Records System, 72 FR 47073 (August 22, 2007).
</p><p>DHS does not claim any exemptions for the information high-risk chemical facilities (or their designees) submit to DHS as part of this system of records.
</p></xhtmlContent></subsection></section>
<section id="ops2" toc="yes">
<systemNumber>/OPS-002</systemNumber>
<subsection type="systemName">National Operations Center Tracker and Senior Watch Officer Logs System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, For Official Use Only, Law Enforcement Sensitive, and Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Homeland Security (DHS) Office of Operations Coordination and
Planning (OPS) National Operations Center (NOC) Headquarters in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>May include any individual whose interactions with OPS or the NOC are tracked by the NOC or the Senior Watch
Officer. Those individuals may include: Federal, State, local, Tribal, and territorial officials; foreign government and
international officials; domestic security and emergency management officials; private sector individuals; and members of
the general public or international community.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Full name;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Social Security number (many State, local, Tribal, territorial, domestic security, emergency management,
and private sector individuals, organizations and agencies collect/use SSN’s as an identifier and may be shared with the
Department);
</p><p>&#149; Citizenship;
</p><p>&#149; Contact information including phone numbers, e-mail addresses, and address;
</p><p>&#149; Physical description including height, weight, eye and hair color;
</p><p>&#149; Distinguishing marks including scars, marks, and tattoos;
</p><p>&#149; Automobile registration information;
</p><p>&#149; Watch list information;
</p><p>&#149; Medical records;
</p><p>&#149; Financial information;
</p><p>&#149; Results of intelligence analysis and reporting;
</p><p>&#149; Ongoing law enforcement investigative information;
</p><p>&#149; Historical law enforcement information;
</p><p>&#149; Information systems security analysis and reporting;
</p><p>&#149; Public source data including commercial databases, media, newspapers, and broadcast transcripts;
</p><p>&#149; Intelligence information including links to terrorism, law enforcement and any criminal and/or incident
activity, and the date information is submitted;
</p><p>&#149; Intelligence and law enforcement information obtained from Federal, State, local, Tribal, and territorial
agencies and organizations, foreign governments and international organizations; law enforcement, domestic security and
emergency management officials; and private sector entities or individuals;
</p><p>&#149; Information provided by individuals, regardless of the medium, used to submit the information;
</p><p>&#149; Information obtained from the Federal Bureau of Investigation’s (FBI) Terrorist Screening Center (TSC), or
on terrorist watchlists, about individuals known or reasonably suspected to be engaged in conduct constituting, preparing
for, aiding, or relating to terrorism;
</p><p>&#149; Data about the providers of information, including the means of transmission of the data; (<i>e.g.</i>
where it is determined that maintaining the identity of the source of investigative lead information may be necessary to
provide an indicator of the reliability and validity of the data provided and to support follow-on investigative purposes
relevant and necessary to a legitimate law enforcement or homeland security matter, such data may likely warrant
retention. Absent such a need, no information on the provider of the information would be maintained);
</p><p>&#149; National disaster threat and activity information;
</p><p>&#149; The date and time national disaster information is submitted, and the name of the contributing/submitting
individual or agency;
</p><p>&#149; Limited data concerning the providers of information, including the means of transmission of the data may
also be retained where necessary. Such information on other than criminal suspects or subjects is accepted and maintained
only to the extent that the information provides descriptive matters relevant to a criminal subject or organization and
has been deemed factually accurate and relevant to ongoing homeland security situational awareness and monitoring
efforts;
</p><p>&#149; Name of the contributing or submitting agency, organization, or individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552, 552a; 44 U.S.C. 3101; 6 U.S.C. 121; Sections 201 and 514 of the Homeland Security Act of 2002,
as amended; Section 520 of the Post Katrina Emergency Management Reform Act; 44 U.S.C. 3101; Executive Order (E.O.)
12958; E.O. 9397; E.O. 12333; E.O. 13356; E.O. 13388; and Homeland Security Presidential Directive 5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system, including the NOC Tracker Log, the SWO Log, their corresponding tracker numbers, and
the Incident Tracking Index is to tie together the high volume of information, requests and responses for information,
and data collection relevant to discreet events and issues as they arise, and to make that information easily accessible
in an organized form should a future event benefit from previously gathered information. The tracker numbers are used in
a wide variety of products originated by the DHS/OPS NOC.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Much of the data within this system does not pertain to an individual; rather, the information pertains to
locations, geographic areas, facilities, and other things or objects not related to individuals. However, some personal
information is captured. Personal data may be retrieved by NOC or SWO tracker numbers, name, social security number and
other identifiers listed under the Categories of Records Section. Most information is stored as free text and any word,
phrase, or number is searchable.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with NARA approved records schedule N1-563-08-23, files are maintained through
the end of the calendar year in which the data is no longer needed for current operational use and deleted or destroyed
20 years after.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Operations Coordination and Planning, National Operations Center, Department of Homeland
Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security is proposing to exempt this system from the notification, access, and
amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS/OPS will consider individual
requests to determine whether or not information may be released. Individuals seeking notification of and access to any
record contained in this system of records, or seeking to contest its content, may submit a request in writing to OPS
FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from subject individuals, other Federal, State, local and Tribal
agencies and organizations, domestic and foreign media, including periodicals, newspapers, and broadcast transcripts,
public and classified data systems, reporting individuals, intelligence source documents, investigative reports, and
correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f)
pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3).

</p></xhtmlContent></subsection></section>
<section id="ops3" toc="yes">
<systemNumber>/OPS-003</systemNumber>
<subsection type="systemName">Collection, Planning, Coordination, Reporting, Analysis, and Fusion System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, For Official Use Only, Law Enforcement Sensitive, and Classified. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Homeland Security (DHS) Office of Operations Coordination and
Planning (OPS) National Operations Center (NOC) Headquarters in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by the system may include:
</p><p>&#149; Federal, State, local, tribal, and territorial officials; foreign government and international officials;
domestic security and emergency management officials; and private sector individuals who request assistance from, provide
information to, are the subject of, or participate with the Department in activities related to all-threats and all-
hazards, man-made disasters and acts of terrorism, and natural disasters;
</p><p>&#149; Individuals who request assistance from the Department related to all-threats and all-hazards, man-made
disasters and acts of terrorism, and natural disasters;
</p><p>&#149; Individuals who provide information to the Department related to all-threats and all-hazards, man-made
disasters and acts of terrorism, and natural disasters, including Suspicious Activity Reports (SARs);
</p><p>&#149; Individuals who are the subject of, or are linked in any manner to, all-threats and all-hazards, man-made
disasters and acts of terrorism, and natural disasters with Departmental implications;
</p><p>&#149; Individuals participating with, involved in, or the subject of domestic security or law enforcement
operations, with Departmental implications, where activity is planned or has taken place;
</p><p>&#149; Individuals participating with or involved in emergency management and first responder operations, with
Departmental implications, and where activity is planned or has taken place;
</p><p>&#149; Individuals involved in natural disasters where activity is planned or has taken place;
</p><p>&#149; Individuals derived from intelligence information of interest to the Department;
</p><p>&#149; Individuals who make inquiries concerning all-threats and all-hazards, man-made disasters and acts of
terrorism, and natural disasters;
</p><p>&#149; Individuals who are or have been associated with DHS operations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system may include:
</p><p>&#149; Full name;
</p><p>&#149; Date and place of birth;
</p><p>&#149; Social Security Number (Many state, local, tribal, territorial, domestic security, emergency management,
and private sector individuals, organizations and agencies collect/use SSN’s as an identifier and may be shared with the
Department);
</p><p>&#149; Citizenship;
</p><p>&#149; Contact information including phone numbers and email addresses;
</p><p>&#149; Address;
</p><p>&#149; Physical description including height, weight, eye and hair color;
</p><p>&#149; Distinguishing marks including scars, marks, and tattoos;
</p><p>&#149; Automobile registration information;
</p><p>&#149; Watch list information;
</p><p>&#149; Medical records;
</p><p>&#149; Financial information;
</p><p>&#149; Results of intelligence analysis and reporting;
</p><p>&#149; Ongoing law enforcement investigative information;
</p><p>&#149; Historical law enforcement information;
</p><p>&#149; Information systems security analysis and reporting;
</p><p>&#149; Public source data including commercial databases, media, newspapers, and broadcast transcripts;
</p><p>&#149; Intelligence information including links to terrorism, law enforcement and any criminal and/or incident
activity, and the date information is submitted;
</p><p>&#149; Intelligence and law enforcement information obtained from federal, state, local, tribal, and territorial
agencies and organizations, foreign governments and international organizations; law enforcement, domestic security and
emergency management officials; and private sector entities or individuals;
</p><p>&#149; Information provided by individuals, regardless of the medium, used to submit the information;
</p><p>&#149; Information obtained from the Federal Bureau of Investigation’s (FBI) Terrorist Screening Center (TSC), or
on terrorist watchlists, about individuals known or reasonably suspected to be engaged in conduct constituting, preparing
for, aiding, or relating to terrorism;
</p><p>&#149; Data about the providers of information, including the means of transmission of the data; (<i>e.g.</i>
where it is determined that maintaining the identity of the source of investigative lead information may be necessary to
provide an indicator of the reliability and validity of the data provided and to support follow-on investigative purposes
relevant and necessary to a legitimate law enforcement or homeland security matter, such data may likely warrant
retention. Absent such a need, no information on the provider of the information would be maintained)
</p><p>&#149; Scope of terrorist, law enforcement, or natural threats to the homeland;
</p><p>&#149; National disaster threat and activity information;
</p><p>&#149; The date and time national disaster information is submitted, and the name of the contributing/submitting
individual or agency;
</p><p>&#149; Limited data concerning the providers of information, including the means of transmission of the data may
also be retained where necessary. Such information on other than criminal suspects or subjects is accepted and maintained
only to the extent that the information provides descriptive matters relevant to a criminal subject or organization and
has been deemed factually accurate and relevant to ongoing homeland security situational awareness and monitoring
efforts.
</p><p>&#149; Name of the contributing or submitting agency, organization, or individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552, 552a; 44 U.S.C. 3101; 6 U.S.C. &#167; 121; &#167;&#167; 201 and 514 of the Homeland
Security Act of 2002, as amended; &#167; 520 of the Post Katrina Emergency Management Reform Act; 44 U.S.C. 3101;
Executive Order (E.O.) 12958; E.O. 9397; E.O. 12333; E.O. 13356; E.O. 13388; and Homeland Security Presidential Directive
5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to:
</p><p>1. <i>Collect, plan, coordinate, and analyze</i> all-threats and all-hazards, law enforcement activities, intelligence
activities, man-made disasters and acts of terrorism, natural disasters, and other information collected or received from
Federal, State, local, tribal, and territorial agencies and organizations; foreign governments and international
organizations; domestic security and emergency management officials; and private sector entities or individuals; and
</p><p>2. <i>Report, integrate, and fuse</i> such information throughout DHS in order to share information, increase
coordination, identify and assess the nature and scope of said information and understand risks in light of potential or
actual vulnerabilities to the homeland; and help deter, detect, and prevent terrorist acts as well as to prepare for,
respond to, and recover from all-threats and all-hazards, man-made disasters and acts of terrorism, and natural
disasters.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health threat or
risk.
</p><p>I. To a Federal, State, tribal, local or foreign government agency or organization, or international organization,
lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence.
</p><p>J. To Federal and foreign government intelligence or counterterrorism agencies or state, local, tribal or territorial
components where DHS becomes aware of an indication of a threat or potential threat to national or international
security.
</p><p>K. To Federal and foreign government intelligence or counterterrorism agencies or state, local, tribal or territorial
components where the information is or may be terrorism-related information and such use is to assist in anti-terrorism
efforts.
</p><p>L. To an organization or individual in either the public or private sector, where there is a reason to believe that
the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the
information is relevant to the protection of life or property.
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’ officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Much of the data within this system does not pertain to an individual; rather, the information pertains to
locations, geographic areas, facilities, and other things or objects not related to individuals. However, some personal
information is captured. Personal data may be retrieved by NOC tracker numbers, name, social security number and other
identifiers listed under the Categories of Records Section. Most information is stored as free text and any word, phrase,
or number is searchable.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>OPS is working with the DHS Records Officer to develop a NARA approved retention schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Operations Coordination and Planning, National Operations Center, Department of Homeland
Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security is proposing to exempt this system from the notification, access, and
amendment procedures of the Privacy Act. However, DHS/OPS will consider individual requests to determine whether or not
information may be released. Individuals seeking notification of and access to any record contained in this system of
records, or seeking to contest its content, may submit a request in writing to OPS FOIA Officer, whose contact
information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from subject individuals, other Federal, State, local and tribal
agencies and organizations, domestic and foreign media, including periodicals, newspapers, and broadcast transcripts,
public and classified data systems, reporting individuals, intelligence source documents, investigative reports, and
correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f)
pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3).
</p></xhtmlContent></subsection></section>
<section id="ops4" toc="yes">
<systemNumber>/OPS-004</systemNumber>
<subsection type="systemName">Publicly Available Social Media Monitoring and Situational Awareness Initiative System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, For Official Use Only, Law Enforcement Sensitive, and Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Homeland Security (DHS) Office of Operations Coordination and
Planning (OPS) National Operations Center (NOC) Headquarters in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by the system may include:
</p><p>&#149; U.S. and foreign individuals in extremis situations involving potential life or death circumstances;
</p><p>&#149; Senior U.S. and foreign government officials who make public statements or provide public updates;
</p><p>&#149; U.S. and foreign government spokespersons who make public statements or provide public updates;
</p><p>&#149; U.S. and foreign private sector officials and spokespersons who make public statements or provide public
updates;
</p><p>&#149; Names of anchors, newscasters, or on-scene reporters who are known or identified as reporters in their
post or article or who use traditional and/or social media in real time to keep their audience situationally aware and
informed;
</p><p>&#149; Current and former public officials who are victims of incidents or activities related to Homeland
Security; and
</p><p>&#149; Known terrorists, drug cartel leaders or other persons known to have been involved in major crimes or
terror of Homeland Security interest, (e.g., mass shooters such as those at Virginia Tech or Ft. Hood) who are killed or
found dead.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system may include:
</p><p>&#149; Full name;
</p><p>&#149; Affiliation;
</p><p>&#149; Position or title; and
</p><p>&#149; Publically available user ID.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>6 U.S.C. 121; 44 U.S.C. 3101; Executive Order (E.O.) 13388; OPS Delegation 0104; and Homeland Security
Presidential Directive 5.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The NOC will use this Initiative to fulfill its statutory responsibility to provide situational awareness and
establish a common operating picture for the entire federal government, and for state, local, and tribal governments as
appropriate, and to ensure that critical disaster-related information reaches government decisionmakers. Information may
also be shared with private sector and international partners where necessary, appropriate, and authorized by law.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health threat or
risk.
</p><p>H. To the entire federal government, to state, local, and tribal governments, and to appropriate private sector
individuals within the Critical Infrastructure Key Resources Community to provide situational awareness and establish a
common operating picture and to ensure that critical disaster-related information reaches government decision makers when
the personal identifiable information (PII) lends credibility to the report or facilitates coordination with interagency
or international partners.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Much of the data within this system does not pertain to an individual; rather, the information pertains to
locations, geographic areas, facilities, and other things or objects not related to individuals. However, some personal
information may be captured. Most information is stored as free text and any word, phrase, or number is searchable.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>OPS is working with the DHS Records Officer to develop a NARA approved retention schedule for 5 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Operations Coordination and Planning, National Operations Center, Department of Homeland
Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to OPS FOIA Officer, whose contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from subject individuals, other federal, state, local and tribal
agencies and organizations, domestic and foreign media, including periodicals, newspapers, and broadcast transcripts,
public and classified data systems, reporting individuals, intelligence source documents, investigative reports, and
correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="os1" toc="yes">
<systemNumber>/OS-001</systemNumber>
<subsection type="systemName">Office of Security File System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The records maintained by the Office of Security are located within the headquarters facilities of the Department
of Homeland Security (DHS), Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals involved in, or of interest to, DHS Office of Security activities, operations, or programs,
including, but not limited to: current and former DHS employees; applicants for employment with DHS (including student
interns); contractors and consultants providing services to DHS; Sate and local government personnel and private-sector
individuals who maintain an access control card permitting access to a DHS facility or access to information technology
systems that process national or homeland security information; DHS employees and contractors who may be a subject of a
counter-terrorism, counterintelligence, or counter-espionage, or law enforcement investigation; senders of unsolicited
communications that raise a security concern to the Department or its personnel; state and local government personnel and
private-sector individuals who serve on an advisory committee and board sponsored by DHS; and state and local government
personnel and private-sector individuals who are authorized by DHS to access sensitive or classified homeland security
information, classified facilities, communications security equipment, and information technology systems that process
national or homeland security classified information. The system also includes individuals accused of security violations
or found in violation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relating to the management and operation of the DHS personnel security and suitability program, including
but not limited to, completed standard form questionnaires issued by the Office of Personnel Management; originals or
copies of background investigative reports; supporting documentation related to the background investigations and
adjudications; and other information relating to an individual’s eligibility for access to classified or sensitive
information.
</p><p>Records relating to management and operation of DHS programs to safeguard classified and sensitive but unclassified
information, including but not limited to, document control registries; courier authorization requests; non-disclosure
agreements; record(s) of security violations; record(s) of document transmittal(s); and requests for secure storage and
communications equipment.
</p><p>Records relating to the management and operation of DHS special security programs, including but not limited to,
requests for access to sensitive compartmented information (SCI); and foreign travel and foreign contact registries for
individuals with SCI access.
</p><p>Records relating to the management and operation of the DHS internal security program, including but not limited to,
inquiries relating to suspected security violation(s); recommended remedial actions for possible security violation(s);
reports of investigation regarding security violations; statements of individuals; affidavits; correspondence; and other
documentation pertaining to investigative or analytical efforts by the DHS Office of Security to identify threats to the
Department’s personnel, property, facilities, and information; intelligence reports and database results relating to DHS
personnel, applicants or candidates for DHS employment or a DHS contract, or other individuals interacting or having
contact with DHS personnel or contractors; foreign contact registries for individuals; or unsolicited communications with
DHS personnel or contractors that raise a security concern.
</p><p>Records relating to the management and operation of the Office of Security’s physical security, operations security,
and security training and awareness programs, including but not limited to, briefing and course registries; facility
access registries; access control card requests; and credential registries.
</p><p>Additionally, specific information from standard forms used to conduct background investigations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Homeland Security Act of 2002; National Security Act of 1947; 44 U.S.C. Chapters 21, 29, 31, 33, and 35; 5 U.S.C.
Sections 301, 3301, and 7902; 40 U.S.C. 1315; Executive Orders 10450,10865, 12333,12356, 12958, as amended, 12968, 13142,
13284; the Intelligence Reform and Terrorism Prevention Act of 2004, Public Law 108-458, Section 3001 (50 U.S.C.
435b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system are used in the management and implementation of Office of Security programs and
activities that support the protection of the Department’s personnel, property, facilities, and information. These
purposes include, but are not limited to, investigation and adjudication of personnel security and suitability
determinations and access to classified national security information and sensitive but unclassified information;
verification of access to classified national security information; determination of access to DHS facilities;
certification of storage and processing facilities for classified national security information meet required standards;
audit of contracts involving classified national security information; inventory of communications security equipment,
materials/keys for such equipment, and classified publications; analysis, identification, and addressing of efforts to
infiltrate the Department or collect classified or sensitive information; production of access control cards and audit of
access to DHS facilities; notification of DHS personnel in emergency situations; maintenance of a central databank for
investigations of misconduct involving the Department, its personnel, or its property. The records may be used to
document security violations and supervisory actions taken.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To designated officers and employees of Federal, State, local or international agencies in connection with the
hiring or continued employment of an individual, the conduct of a suitability or security investigation of an individual,
the grant, renewal, suspension, or revocation of a security clearance, or the certification of security clearances, to
the extent that DHS determines the information is relevant and necessary to the hiring agency’s decision;
</p><p>B. To designated officers and employees of Federal, State, local or international agencies maintaining civil, criminal
or other relevant enforcement information or other pertinent information, such as current licenses, if necessary for DHS
to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit;
</p><p>C. Except as noted on national security questionnaires, such as Forms SF 85, 85-P, and 86, records to an
appropriate Federal, State, territorial, tribal, local, international, or foreign agency law enforcement authority
charged with investigating or prosecuting a violation or enforcing or implementing a law where a record, either on its
face or in conjunction with other information, indicates a violation or potential violation of law (<i>e.g.</i> criminal,
civil or regulatory);
</p><p>D. To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities
under the National Security Act of 1947, as amended, the CIA Act of 1949, as amended, Executive Order 12333 or any
successor order, applicable national security directives, or classified implementing procedures approved by the Attorney
General and promulgated pursuant to such statutes, orders or directives.
</p><p>E. To an organization or individual in either the public or private sector where there is a reason to believe that the
recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information
is relevant to the protection of life or property.
</p><p>F. To an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity
investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance,
complaint, or appeal filed by an employee;
</p><p>G. To the United States Office of Personnel Management, the Merit Systems Protection Board, Federal Labor Relations
Authority, or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties;
</p><p>H. 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;
</p><p>I. 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;
</p><p>J. To the Department of Justice (DOJ) or in a proceeding before a court or adjudicative body before which DHS is
authorized to appear, when: (a) DHS, or any component thereof; or, (b) any employee of DHS in his or her official
capacity; or, (c) any employee of DHS in his or her individual capacity where the DOJ or DHS has agreed to represent the
employee; or (d) the United States, where DHS determines that litigation is likely to affect the agency or any of its
components, is a party to litigation or has an interest in such litigation, and the use of such records by the DOJ or by
DHS before a court or adjudicative body is deemed by DHS to be relevant and necessary to the litigation, provided,
however, that in each case, DHS determines that disclosure of the records is a use of the information contained in the
records that is compatible with the purpose for which the records were collected.
</p><p>K. To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.
</p><p>L. To any source or potential source from which information is requested in the course of an investigation concerning
the retention of an employee or other personnel action (other than hiring), or the retention of a security clearance,
contract, grant, license, or other benefit, to the extent necessary to identify the individual, inform the source of the
nature and purpose of the investigation, and to identify the type of information requested.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records maintained by the Office of Security are located within the headquarters of DHS, Washington, DC
20528.
</p><p>The records are maintained in paper files and on electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information in the records may be retrieved by the name of the individual, social security number, or other
unique individual identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records are protected from unauthorized access through appropriate administrative, physical, and technical
safeguards. These safeguards include restricting access to authorized personnel who have a "need-to-know,"  utilization
of password protection features, and locks on doors and approved storage containers. Buildings have security guards and
secured doors, and all entrances are monitored by electronic surveillance equipment. Classified information is
appropriately stored in accordance with applicable requirements.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are destroyed in accordance with legal requirements and the disposition instructions in the General
Records Schedule 18 issued by the National Archives and Records Administration (NARA).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>DHS Privacy Office, Director of Departmental Disclosure, U.S. Department of Homeland Security, 245 Murray Lane,
SW., Building 410, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>A request for access to records in this system may be made by writing to the System Manager, the Director of
Departmental Disclosure, in conformance with 6 CFR part 5, which provides the rules for requesting access to records
maintained by the Department of Homeland Security.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure above. State clearly and concisely the information being contested, the reasons
for contesting it, and the proposed amendment to the information sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in security files may be obtained from other sources, including the following: Current and former DHS
employees (including student interns); applicants for employment with DHS; contractors and consultants providing services
to DHS; DHS personnel that maintain an access control card permitting access to a DHS facility; DHS personnel who may be
a subject of a criminal, counter-terrorism, counter-espionage, or other criminal investigation; senders of unsolicited
communications to the Department or its personnel; foreign nations who have contact with DHS, its personnel or its
offices; State and local government personnel and private-sector individuals who serve on an advisory committee and board
sponsored by DHS; State and local government personnel and private-sector individuals who are authorized by DHS to access
sensitive or classified homeland security information, classified facilities, communications security equipment, and
information technology systems which process national or homeland security classified information; State and local
government personnel and private-sector individuals who require a DHS access control device that permits access to
information technology systems which process national or homeland security classified information; law enforcement
agencies; other government agencies; previous employers, colleagues, neighbors, references, informants or other sources;
and representatives from educational institutions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>In accordance with 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5), the personnel security case files in this system of
records are exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of the Privacy Act of 1974, as
amended.
</p></xhtmlContent></subsection></section>
<section id="os2006-47" toc="yes">
<systemNumber>/OS-2006-047</systemNumber>
<subsection type="systemName">Personal Identity Verification Management System (PIVMS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Data covered by this system are maintained at the following location: DHS Data Center, Ashburn, VA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The PIVMS records will cover all DHS employees, contractors and their employees, consultants, volunteers engaged
by DHS who require long-term access to federal buildings and emergency "first responders"  who work in federally
controlled facilities. Individuals who require regular, ongoing access to agency facilities, information technology
systems, or information classified in the interest of national security.
</p><p>The system does not apply to occasional visitors or short-term guests to whom DHS will issue temporary identification
and credentials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained on individuals issued a PIV credential by DHS include the following data fields: full name;
Social Security number; date of birth; current address; digital signature; digital color photograph; fingerprints;
biometric identifiers (two fingerprints); organization/office of assignment; employee affiliation; telephone number(s);
copies of identity source documents; signed SF 85 or equivalent; PIV card issue and expiration dates; PIV request form;
PIV registrar approval digital signature; PIV card serial number; emergency responder designation; computer system user
name; user access and permission rights, authentication certificates; digital signature information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Federal Information Security Act (Pub.L. 104-106, Sec. 5113); E-Government Act (Pub.L. 104
-347, sec. 203); the Paperwork Reduction Act of 1995 (44 U.S.C. 3501); and the Government Paperwork Elimination Act
(Pub.L. 105-277, 44 U.S.C. 3504); Homeland Security Presidential Directive-12 (HSPD-12); Policy for a Common
Identification Standard for Federal Employees and Contractors, August 27, 2004; Federal Property and Administrative Act
of 1949, as amended; the Intelligence Reform and Terrorism Prevention Act of 2004, P.L. 108-458, Section 3001 (50
U.S.C. 435b) and the Homeland Security Act of 2002, P.L. 107-296, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary purposes of the system are: (a) To ensure the safety and security of DHS facilities, systems, or
information, and our occupants and users; (b) To verify that all persons entering Federal facilities, using Federal
information resources, are authorized to do so; (c) to track and control PIV cards issued to persons entering and exiting
the DHS facilities or using DHS systems.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. Section 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to
5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) when: (a) The agency or any component thereof; or (b) any employee of the agency
in his or her official capacity; (c) any employee of the agency in his or her individual capacity where agency or the
Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to litigation
or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant
and necessary to the litigation and the use of such records by DOJ is therefore deemed by the agency to be for a purpose
compatible with the purpose for which the agency collected the records.
</p><p>B. To a court or adjudicative body in a proceeding when: (a) The agency or any component thereof; (b) any employee of
the agency in his or her official capacity; (c) any employee of the agency in his or her individual capacity where agency
or the Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to
litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a
purpose that is compatible with the purpose for which the agency collected the records.
</p><p>C. Except as noted on Forms SF 85, 85-P, and 86, when a record on its face, or in conjunction with other
records, indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and
whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant
thereto, disclosure may be made to the appropriate public authority, whether Federal, foreign, State, local, or tribal,
or otherwise, responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant
to any enforcement, regulatory, investigative or prosecutorial responsibility of the receiving entity.
</p><p>D. To a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office
made at the written request of the constituent about whom the record is maintained.
</p><p>E. To the National Archives and Records Administration or to the General Services Administration for records
management inspections conducted under 44 U.S.C. 2904 and 2906.
</p><p>F. To agency contractors, grantees, or volunteers who have been engaged to assist the agency in the performance of a
contract service, grant, cooperative agreement, or other activity related to this system of records and who need to have
access to the records in order to perform their activity. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>G. To a Federal State, local, foreign, or tribal or other public authority the fact that this system of records
contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a
contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization
may then make a request supported by the written consent of the individual for the entire record if it so chooses. No
disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to
another office within the agency or to another Federal agency for criminal, civil, administrative personnel or regulatory
action.
</p><p>H. To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB
Circular No. A-19.
</p><p>I. To a Federal State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities
under the National Security Act of 1947, as amended, the CIA Act of 1949, as amended, Executive Order 12333 or any
successor order, applicable national security directives, or classified implementing procedures approved by the Attorney
General and promulgated pursuant to such statutes, orders or directives.
</p><p>J. To notify another Federal agency when, or verify whether, a PIV card is no longer valid.
</p><p>K. To the news media or the general public, factual information the disclosure of which would be in the public
interest and which would not constitute an unwarranted invasion of personal privacy, consistent with Freedom of
Information Act standards.
</p><p>L. To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>DHS Headquarters in the Offices of Security and Human Capital and at the DHS Data Center in Ashburn, VA Records
maintain and store the records in electronic media and paper files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of the individual, Social Security number and/or by any other unique individual
identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The Office of Security protects all records from unauthorized access through appropriate administrative,
physical, and technical safeguards. Access is restricted on a "need to know"  basis, utilization of SmartCard access, and
locks on doors and approved storage containers. DHS buildings have security guards and secured doors. DHS monitors all
entrances through electronic surveillance equipment. Personally identifiable information is safeguarded and protected in
conformance with all Federal statutory and OMB guidance requirements. All access has role-based restrictions, and
individuals with access privileges have undergone vetting and suitability screening. DHS encrypts data storage and
transfer. DHS maintains an audit trail and engages in random periodic reviews to identify unauthorized access. Persons
given roles in the PIV process must complete training specific to their roles to ensure they are knowledgeable about how
to protect personally identifiable information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>This is a new program and the Records Management Office (RMO) has not finalized its retention policy. The DHS RMO
will develop a records retention schedule for approval by the NARA pertaining to this program. Once NARA has approved the
records retention schedule, DHS will amend this document to include the retention period for the records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>DHS HSPD-12 Program Manager, Office of Security, U.S. Department of Homeland Security, 245 Murray Lane,
SW., Building 410, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>A request for access to records in this system may be made by writing to the System Manager, or the Director of
Departmental Disclosure, in conformance with 6 CFR part 5, which provides the rules for requesting access to records
maintained by the Department of Homeland Security.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure above. State clearly and concisely the information being contested, the reasons
for contesting it, and the proposed amendment to the information sought.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee, contractor, or applicant; sponsoring agency; former sponsoring agency; other Federal agencies; contract
employer; former employer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="s&amp;t2" toc="yes">
<systemNumber>/S&amp;T-002</systemNumber>
 <subsection type="systemName">The Directorate of Science &amp; Technology Personnel Radiation Exposure Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the S&amp;T Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include DHS/S&amp;T personnel, contractor personnel, and any
other persons who have access to certain DHS/S&amp;T facilities and have been exposed to radiation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social security number;
</p><p>&#149; Date of birth;
</p><p>&#149; Gender;
</p><p>&#149; Alphanumeric code assigned as part of radiation analysis;
</p><p>&#149; Accident/investigation records
</p><p>&#149; Film badges used to measure radiation exposure;
</p><p>&#149; Dosimetry records;
</p><p>&#149; Previous employee records;
</p><p>&#149; Individual’s radiation exposure record, including date(s) of exposure;
</p><p>&#149; Other records in connection with registries of uranium, transuranics, or other elements encountered in the
nuclear industry.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to document personnel and other individuals who are exposed to radiation, uranium,
transuranics, and other elements encountered in the nuclear industry while at a DHS/S&amp;T facility.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the U.S. Navy to monitor radiation exposure of Naval and other personnel at Navy activities.
</p><p>I. To the Department of Energy (DOE), States departments of labor, and industry groups to monitor radiation exposure
of personnel.
</p><p>J. To the Department of Defense to identify DOD and DOD-contractor personnel exposed to ionizing radiation during
nuclear testing, and for conducting epidemiological studies of radiation effects on identified individuals.
</p><p>K. To the National Academy of Sciences, Center for Disease Control, National Institute of Occupational Safety and
Health, the Department of Health and Human Services, the National Council on Radiation Protection and Measurements, and
other organizations focused on this subject matter, to conduct epidemiological studies of the effects of radiation on
individuals exposed to ionizing radiation.
</p><p>L. To the National Institute of Occupational Safety and Health to conduct epidemiological studies of workers at DOE’s
Portsmouth Gaseous Diffusion Plant in Piketon, Ohio.
</p><p>M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>N. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental
organizations for the purpose of protecting the vital interests of data subjects or other persons, including to assist
such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to
combat other significant public health threats; appropriate notice will be provided of any identified health threat or
risk.
</p><p>O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, alphanumeric code (an identifier assigned to an individual by the vendor who
performs the analysis of the radiation monitor), date(s) of exposure, and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are protected by employing a multi-layer security approach to prevent unauthorized access to
sensitive data through appropriate administrative, physical, and technical safeguards. Protective strategies such as
implementing physical access controls at DHS facilities; ensuring confidentiality of communications using tools such as
encryption, authentication of sending parties, and compartmentalizing databases; and employing auditing software and
personnel screening to ensure that all personnel with access to data are screened through background investigations
commensurate with the level of access required to perform their duties. All S&amp;T electronic records are secured in
full compliance with the requirements of DHS IT Security Program Handbook. This handbook establishes a comprehensive
information security program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>S&amp;T has submitted a proposed records retention and disposal schedule to NARA to maintain the records for
seventy-five years. Health problems caused by radiation (such as cancer) can take years to manifest and can reoccur
multiple times during an individual’s life. Therefore, S&amp;T will retain the records for 75 years so that, if an
individual has problems they believe are attributable to radiation exposure received as a government employee, the
government will have those records available and will be able to provide an accurate accounting of an individual’s
exposure. Until NARA approves a records retention and disposal schedule, S&amp;T will retain the records indefinitely.
Upon receiving the approved schedule, S&amp;T will dispose of records according to NARA’s instructions.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>S&amp;T Safety, Health, Environmental, &amp; Energy Programs Manager, Mail Stop: 2100, Department of Homeland
Security, 245 Murray Lane, SW., Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to S&amp;T FOIA Coordinator, Mail Stop: 2100, Department of Homeland
Security, 245 Murray Lane, SW., Washington, DC 20528. Specific FOIA contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other S&amp;T system of records your request
must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning
that you must provide your full name, current address and date and place of birth. You must sign your request, and your
signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this
purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the S&amp;T may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual, accident/incident investigations, film badges, dosimetry records, and previous employee records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

	<section id="s&amp;t" toc="yes">
<systemNumber>/S&amp;T-001</systemNumber>
 <subsection type="systemName">Unclassified.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the S&amp;T Headquarters in Washington, DC, in S&amp;T field offices, and at public or
private institutions, including the National Labs, conducting research funded by S&amp;T.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice include voluntary participants in S&amp;T-funded research (<i>
note:</i> all S&amp;T-funded research that involves human subjects research is conducted in accordance with 45 CFR part
46 and is reviewed by a certified Institutional Review Board); individuals whose names may appear in publicly available
documents (e.g., newspapers and academic articles) about terrorism, terrorist events, violent groups, or other topics
related to terrorism research; individuals whose personally identifiable information may be collected through DHS
operations and maintained by other DHS components; individuals whose images, biometrics, physiological features, or other
information may be intentionally (with notice to and consent by the individual) or incidentally captured during testing
of S&amp;T technologies; subject matter experts who publish articles related to terrorism or biomedical and life sciences
research; and subject matter experts who voluntarily consent to be included in a database of experts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>S&amp;T RDT&amp;E Records will vary according to the specific project. The information may include, but is not limited
to, an individual’s:
</p><p>&#149; Name;
</p><p>&#149; Age;
</p><p>&#149; Gender;
</p><p>&#149; Contact information;
</p><p>&#149; Birthplace;
</p><p>&#149; Ethnicity;
</p><p>&#149; Level of education;
</p><p>&#149; Occupation;
</p><p>&#149; Institutional or organizational affiliation;
</p><p>&#149; Publication record, such as article and publication titles, dates and sources;
</p><p>&#149; Medical history;
</p><p>&#149; Lifestyle information (e.g., caffeine or tobacco use);
</p><p>&#149; Publicly available reports of criminal history;
</p><p>&#149; Video or still images;
</p><p>&#149; Other images (e.g., infrared thermography, terahertz, millimeter wave);
</p><p>&#149; Audio recordings;
</p><p>&#149; Fingerprints, iris images, DNA or other biometric information; and
</p><p>&#149; Physiological measurements collected using sensors (e.g., heart rate, breathing pattern, and
electrodermal activity).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Public Law 1007-296, &#167; 302(4) (codified at 6 U.S.C. 182(b)),
authorizes the Science and Technology Directorate to conduct "basic and applied research, development,
demonstration, testing, and evaluation activities that are relevant to any or all elements of the Department, through
both intramural and extramural programs." In exercising its responsibility under the Homeland Security Act, S&amp;T
is authorized to collect information, as appropriate, to support research and development related to improving the
security of the homeland. When research includes human subjects, S&amp;T complies with the provisions of DHS Management
Directive 026-04, "Protection of Human Subjects", which adopts the regulations set forth in 45 CFR part
46 and establishes Departmental policy for the protection of human subjects in research.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Records are collected for the purpose of furthering S&amp;T’s mission to push innovation and development, and the use
of high technology in support of homeland security. The purposes of the records are to:
</p><p>&#149; Understand the motivations and behaviors of terrorists, individuals that engage in violent or criminal
activities, terrorist groups, and groups that engage in violent or criminal activities.
</p><p>&#149; Understand terrorist incidents and the phenomenon of terrorism and identify trends and patterns in
terrorist activities.
</p><p>&#149; Collect and maintain searchable records of individuals (such as subject matter experts on chemical
weapons) and/or their characteristics and professional accomplishments, organized according to categories useful for the
purpose of collaboration or conduct of research, including research to determine the efficacy and utility of new or
enhanced technologies intended for eventual transition to and use by S&amp;T’s customers.
</p><p>&#149; Evaluate the performance and utility to the future customer of an experimental homeland security or first
responder technology or product in a laboratory or "real-world" setting.
</p><p>&#149; Test the accuracy of a research hypothesis. (For example, S&amp;T might hypothesize that an individual’s
behavior changes in a detectable manner when he or she is being deceitful, and then design a research experiment to test
that hypothesis.)
</p><p>&#149; Answer a research question. (For example, "Can an experimental screening technology distinguish
between threat objects and non-threat objects?").
</p><p>&#149; Conduct testing and evaluation of an experimental technology at the request of or on behalf of a
customer.
</p><p>&#149; Conduct research and development to solve a technical problem for a customer.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3):
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of former employee of DHS in his/her official
 capacity;
</p><p>3. any employee or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee; or
</p><p>4. the United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or
fraud, harm to economic or property interests, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’ officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>RDT&amp;E records maintained in hard copy are stored in a locked file cabinet or safe. Electronic records are stored
in computer files that require a password for access and are protected by a firewall. Data and systems are encrypted as
necessary, pursuant to DHS guidelines.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>In most cases, S&amp;T RDT&amp;E is focused on evaluating the performance of a given experimental technology or
system. Thus, only the aggregated performance data (e.g., the technology has a 5% false positive rate, or the technology
is accurate 92% of the time) is important and relevant to S&amp;T. For this reason, S&amp;T RDT&amp;E records are not as
a matter of course retrieved by name or other identifier assigned to the individual. However, S&amp;T may need to access
RDT&amp;E records by name or other identifier in order to make corrections to an individual’s record, resolve an anomaly
related to a specific individual’s record, and/or link disparate pieces of information related to an individual. For
example, if an individual informed a researcher that he or she had inadvertently provided incorrect information regarding
his or her medical history, the researcher would retrieve that individual’s record using the research identifier in order
to correct the erroneous data.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All RDT&amp;E records are protected by employing a multi-layer security approach to prevent unauthorized access to
sensitive or personal data through appropriate administrative, physical, and technical safeguards. Protective strategies
such as implementing physical access controls at DHS facilities; ensuring confidentiality of communications using tools
such as encryption, authentication of sending parties, and compartmentalizing databases; and employing auditing software
and personnel screening to ensure that all personnel with access to data are screened through background investigations
commensurate with the level of access required to perform their duties.
</p><p>S&amp;T RDT&amp;E records are also monitored for changes to the source data. The program manager has the capability to
maintain system back-ups for the purpose of supporting continuity of operations and the discrete need to isolate and copy
specific data transactions for the purpose of conducting privacy or security incident investigations. S&amp;T RDT&amp;E
records are secured in full compliance with the requirements of DHS IT Security Program Handbook. This handbook
establishes a comprehensive information security program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All records will be maintained in accordance with the NARA-approved retention schedule. All existing S&amp;T RDT&amp;E
records fall under General Records System 20, which covers the disposition of electronic files or records created solely
to test system performance, as well as hard-copy printouts and related documentation for the electronic files/records.
According to General Records System 20, records should be "delete[d]/destroy[ed] when the agency determines that
they are no longer needed for administrative, legal, audit, or other operational purposes." Electronic records will
be deleted from all computers, storage devices, and networks, and paper records will be shredded. Oftentimes, PII
collected during the project is retained for the duration of the project; at the conclusion of the project, PII is
destroyed. However, researchers may retain aggregated research data (without PII) indefinitely, as it may help inform
future RDT&amp;E efforts.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>S&amp;T Privacy Office, Mail Stop: 0205, Department of Homeland Security, 245 Murray Lane, SW., Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to S&amp;T FOIA Officer, Mail Stop: 0205 Department of Homeland
Security, 245 Murray Lane SW., Washington, DC 20528, specific FOIA contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other S&amp;T system of records your request
must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning
that you must provide your full name, current address and date and place of birth. You must sign your request, and your
signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this
purpose from
 Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you
 should provide the following:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information the component(s) may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>S&amp;T RDT&amp;E records include (1) Records collected directly from the individual; (2) publicly available documents
(e.g., articles from newspapers and academic journals); (3) records collected from the individual using sensors (e.g., a
heart rate monitor) or technologies (e.g., cameras, audio recorders, infrared thermography or other images, or biometric
devices).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>
<section id="tsa1" toc="yes">
<systemNumber>/TSA-001</systemNumber>
 <subsection type="systemName">Transportation Security Administration Transportation Security Enforcement Record System (TSERS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at TSA Headquarters offices in Arlington, Virginia, and at various TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Owners, operators, and employees in all modes of transportation for which DHS/TSA has security-related duties; witnesses and other third parties who provide information; individuals undergoing screening of their person (including identity verification) or property; individuals against whom investigative, administrative, or civil or criminal enforcement action has been initiated for violation of certain TSA regulations or security directives, relevant provisions of 49 U.S.C. Chapter 449, or other laws; individuals being investigated or prosecuted for violations of law; and individuals who communicate security incidents, potential security incidents, or otherwise suspicious activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information related to the screening of property and the security screening and identity verification of individuals, including identification media and identifying information such as:
</p><p>&#149; Individual’s name;
</p><p>&#149; Address;
</p><p>&#149; Date of birth;
</p><p>&#149; Gender;
</p><p>&#149; Contact information (e.g., email addresses, phone numbers);
</p><p>&#149; Social Security Number,
</p><p>&#149; Fingerprints or other biometric identifiers;
</p><p>&#149; Photographs or video; and
</p><p>&#149; Travel information or boarding passes.
</p><p>Additionally, information related to the investigation or prosecution of any alleged violation; place of violation; Enforcement Investigative Reports (EIRs); security incident reports, screening reports, suspicious-activity reports, and other incident or investigative reports; statements of alleged violators, witnesses, and other third parties who provide information; proposed penalty; investigators’ analyses and work papers; enforcement actions taken; findings; documentation of physical evidence; correspondence of TSA employees and others in enforcement cases; pleadings and other court filings; legal opinions and attorney work papers; and information obtained from various law enforcement or prosecuting authorities relating to the enforcement of laws or regulations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114(d), 44901, 44903, 44916, 46101, 46301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are created in order to maintain an enforcement and inspections system for all modes of transportation for which TSA has security related duties and to maintain records related to the investigation or prosecution of violations or potential violations of Federal, State, local, or international criminal law. They may be used, generally, to identify, review, analyze, investigate, and prosecute violations or potential violations of transportation security laws, regulations and directives or other laws as well as to identify and address potential threats to transportation security. They may also be used to record the details of TSA security-related activity, such as passenger or property screening.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. &#167; 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. &#167; 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management inspections being conducted under the authority of 44 U.S.C. &#167;&#167; 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’ efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, territorial, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the United States Department of Transportation, its operating administrations, or the appropriate State or local agency, when relevant or necessary to:
</p><p>1. Ensure safety and security in any mode of transportation;
</p><p>2. Enforce safety- and security-related regulations and requirements;
</p><p>3. Assess and distribute intelligence or law enforcement information related to transportation security;
</p><p>4. Assess and respond to threats to transportation;
</p><p>5. Oversee the implementation and ensure the adequacy of security measures at airports and other transportation facilities;
</p><p>6. Plan and coordinate any actions or activities that may affect transportation safety and security or the operations of transportation operators; or
</p><p>7. Issue, maintain, or renew a license, certificate, contract, grant, or other benefit.
</p><p>I. To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency, regarding individuals who pose, or are suspected of posing, a risk to transportation or national security.
</p><p>J. To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance, license, contract, grant, or other benefit.
</p><p>K. To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain information relevant to a DHS/TSA decision concerning the hiring or retention of an employee, the issuance of a security clearance, license, contract, grant, or other benefit.
</p><p>L. To international and foreign governmental authorities in accordance with law and formal or informal international agreement.
</p><p>M. To third parties during the course of an investigation into any matter before DHS/TSA to the extent necessary to obtain information pertinent to the investigation.
</p><p>N. To airport operators, aircraft operators, and maritime and surface transportation operators, indirect air carriers, and other facility operators about individuals who are their employees, job applicants, or contractors, or persons to whom they issue identification credentials or grant clearances to secured areas in transportation facilities when relevant to such employment, application, contract, or the issuance of such credentials or clearances.
</p><p>O. To any agency or instrumentality charged under applicable law with the protection of the public health or safety under circumstances where the public health or safety is at risk.
</p><p>P. With respect to members of the armed forces who may have violated transportation security or safety requirements and laws, disclose the individual’s identifying information and details of their travel on the date of the incident in question to the appropriate branch of the armed forces to the extent necessary to determine whether the individual was performing official duties at the time of the incident. Members of the armed forces include active duty and reserve members, and members of the National Guard. This routine use is intended to permit TSA to determine whether the potential violation must be referred to the appropriate branch of the armed forces for action pursuant to 49 U.S.C. &#167; 46301(h).
</p><p>Q. To the DOJ, U.S. Attorney’s Office, or other Federal agencies for further collection action on any delinquent debt when circumstances warrant.
</p><p>R. To a debt collection agency for the purpose of debt collection.
</p><p>S. To airport operators, aircraft operators, air carriers, maritime, and surface transportation operators, indirect air carriers, or other facility operators when appropriate to address a threat or potential threat to transportation security or national security, or when required for administrative purposes related to the effective and efficient administration of transportation security laws.
</p><p>T. To a former employee of DHS, 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 Department requires information or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility.
</p><p>U. To a court, magistrate, or administrative tribunal where a Federal agency is a party to the litigation or administrative proceeding in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.
</p><p>V. To the public, on the TSA Web site at www.tsa.gov, final agency and Administrative Law Judge decisions in criminal enforcement and other administrative matters, except that personal information about individuals will be deleted if release of that information would constitute an unwarranted invasion of privacy, including but not limited to medical information.
</p><p>W. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, where there exists a legitimate public interest in the disclosure of the information, or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy or a risk to transportation or national security.
</p><p>X. To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, order, license, or treaty, where DHS/TSA determines that the information would assist in the enforcement of a civil or criminal law.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies collecting on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper. The records may be stored on magnetic disc, tape, digital media, microfiche, and roll microfilm.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, address, Social Security number, administrative action or legal enforcement numbers, or other assigned identifier of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized personnel who also have a need-to-know for the performance of their official duties; using locks, alarm devices, and passwords; and encrypting data communications. Strict control measures are enforced to ensure that access to classified and/or sensitive information in these records is also based on need to know. Electronic access is limited by computer security measures that are strictly enforced. TSA file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>National Archives and Records Administration approval is pending for the records in this system. Paper records and information stored on electronic storage media are maintained within TSA for five years and then forwarded to Federal Records Center. Records are destroyed after ten years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Information Systems Program Manager, Office of the Chief Counsel, TSA Headquarters, West Tower, 8th Floor, TSA-2, 601 S. 12th Street, Arlington, VA 20598.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS/TSA will consider individual requests to determine whether or not information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the TSA FOIA Officer by email at <i>foia.tsa@dhs.gov</i> or by mail at Transportation Security Administration, TSA-20, FOIA Office, 601 S. 12th Street, Arlington, VA 20598. If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the alleged violator, TSA employees or contractors, witnesses to the alleged violation or events surrounding the alleged violation, other third parties who provided information regarding the alleged violation, State and local agencies, and other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and (k)(2). Portions of the system pertaining to investigations or prosecutions of violations of criminal law are exempt under 5 U.S.C. 552a(j)(2). These exemptions are reflected in the </p></xhtmlContent></subsection></section>
<section id="tsa2" toc="yes">
<systemNumber>/TSA-002</systemNumber>
 <subsection type="systemName">Transportation Security Administration Transportation Security Threat Assessment System (T-STAS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Transportation Security Administration (TSA) Headquarters, 601 South 12th Street,
Arlington, VA 20598 and TSA field offices. Records may also be maintained at the offices of TSA contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who undergo a security threat assessment, employment investigation, or other evaluation performed for
security purposes, or in order to obtain access to the following: transportation infrastructure or assets, such as
terminals, facilities, pipelines, railways, mass transit, vessels, aircraft, or vehicles; restricted airspace; passenger
baggage; cargo; shipping venues; or other facilities or critical infrastructure over which the DHS exercises authority;
Sensitive Security Information or Classified information provided in connection with transportation security matters; or
transportation-related instruction or training (such as flight training). This includes, but is not limited to, the
following individuals:
</p><p>(a) Individuals who require or seek access to airports, or maritime or surface transportation facilities, or
facilities over which DHS exercises authority.
</p><p>(b) Individuals who have or are seeking responsibility for screening individuals or carry-on baggage, and those
persons serving as immediate supervisors and the next supervisory level to those individuals, other than employees of the
DHS/TSA who perform or seek to perform these functions.
</p><p>(c) Individuals who have or are seeking responsibility for screening checked baggage or cargo, and their immediate
supervisors, and the next supervisory level to those individuals, other than employees of the DHS/TSA who perform or seek
to perform these functions.
</p><p>(d) Individuals who have or are seeking the authority to accept checked baggage for transport on behalf of an aircraft
operator that is required to screen passengers.
</p><p>(e) Pilots, copilots, flight engineers, flight navigators, and airline personnel authorized to fly in the cockpit,
relief or deadheading crewmembers, cabin crew, and other flight crew for an aircraft operator or foreign air carrier that
is required to adopt and carry out a security program.
</p><p>(f) Flight crews and passengers who request waivers of temporary flight restrictions (TFRs) or other restrictions
pertaining to airspace.
</p><p>(g) Other individuals who are connected to the transportation industry for whom DHS/TSA conducts security threat
assessments to ensure transportation security.
</p><p>(h) Individuals who have or are seeking unescorted access to cargo in the transportation system.
</p><p>(i) Individuals who are owners, officers, or directors of an indirect air carrier or a business seeking to become an
indirect air carrier.
</p><p>(j) Aliens or other individuals designated by DHS/TSA who apply for flight training or recurrent training.
</p><p>(k) Individuals transported on all-cargo aircraft, including aircraft operator or foreign air carrier employees and
their family members and persons transported for the flight.
</p><p>(l) Individuals seeking to become, or qualified as, known shippers or Certified Cargo Screening Program validators.
</p><p>(m) Known or suspected terrorists identified in the Terrorist Screening Database (TSDB) of the Federal Bureau of
Investigation’s (FBI) Terrorist Screening Center (TSC); individuals identified by DHS/TSA to the TSDB because they pose a
threat to civil aviation or national security; and individuals on classified and unclassified governmental terrorist, law
enforcement, immigration, or intelligence databases, including databases maintained by the Department of Defense,
National Counterterrorism Center, or Federal Bureau of Investigation.
</p><p>(n) Individuals who have been or seek to be distinguished from individuals on a watch list through a redress process
or other means.
</p><p>(o) Individuals who are owners, operators or directors of any transportation mode facilities, services, or assets.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>DHS/TSA’s system may contain any, or all, of the following information regarding individuals covered by this
system:
</p><p>(a) Name (including aliases or variations of spelling).
</p><p>(b) Gender.
</p><p>(c) Current and historical contact information (including, but not limited to, address information, telephone number,
and e-mail).
</p><p>(d) Government-issued licensing or identification information (including, but not limited to, Social security number;
pilot certificate information, including number and country of issuance; current and past citizenship information;
immigration status; alien registration numbers; visa information; and other licensing information for modes of
transportation).
</p><p>(e) Date and place of birth.
</p><p>(f) Name and information, including contact information and identifying number (if any) of the airport, aircraft
operator, indirect air carrier, maritime or land transportation operator, or other employer or entity that is employing
the individual, or submitting the individual’s information, or sponsoring the individual’s background check/threat
assessment.
</p><p>(g) Physical description, fingerprint and/or other biometric identifier, and photograph.
</p><p>(h) Date, place, and type of flight training or other instruction.
</p><p>(i) Control number or other unique identification number assigned to an individual or credential.
</p><p>(j) Information necessary to assist in tracking submissions, payments, and transmission of records.
</p><p>(k) Results of any analysis performed for security threat assessments and adjudications.
</p><p>(l) Other data as required by Form FD 258 (fingerprint card) or other standard fingerprint cards used by the federal
government.
</p><p>(m) Information provided by individuals covered by this system in support of their application for an appeal or
waiver.
</p><p>(n) Flight information, including crew status on board.
</p><p>(o) Travel document information (including, but not limited to, passport information, including number and country of
issuance; and current and past citizenship information and immigration status, any alien registration numbers, and any
visa information).
</p><p>(p) Criminal history records.
</p><p>(q) Data gathered from foreign governments or entities that is necessary to address security concerns in the aviation,
maritime, or land transportation systems.
</p><p>(r) Other information provided by federal, state, and local government agencies or private entities relevant to the
assessment, investigation, or evaluation.
</p><p>(s) The individual’s level of access at an airport or other transportation facility, including termination or
expiration of access.
</p><p>(t) Military service history.
</p><p>(u) Suitability testing and results of such testing.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114, 5103a, 40103(b)(3), 40113(a), 44903(b), 44936, 44939, and 46105.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>(a) Performance of security threat assessments, employment investigations, and evaluations performed for security
purposes that Federal statutes and/or DHS/TSA regulations authorize for the individuals identified in "Categories
of individuals covered by the system," above.
</p><p>(b) To assist in the management and tracking of the status of security threat assessments, employment investigations,
and evaluations performed for security purposes.
</p><p>(c) To permit the retrieval of the results of security threat assessments, employment investigations, and evaluations
performed for security purposes; including criminal history records checks and searches in other governmental,
commercial, and private data systems, performed on the individuals covered by this system.
</p><p>(d) To permit the retrieval of information from other terrorist-related, law enforcement, immigration and intelligence
databases on the individuals covered by this system.
</p><p>(e) To track the fees incurred, and payment of those fees, by the airport operators, aircraft operators, maritime and
land transportation operators, flight students, and others, where appropriate, for services related to security threat
assessments, employment investigations, and evaluations performed for security purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 522a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed as a routine use pursuant to 5 U.S.C. 522a(b)(3)
as follows;
</p><p>A. To the Department of Justice (DOJ) (including United States Attorney Offices) or other federal agency in
anticipation of, or conducting litigation, or in proceedings, before any court, adjudicative or administrative body, when
it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity, where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation, or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration, or other federal government agencies, pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised
information;
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors and their agents, grantees, experts, consultants, volunteers, or others performing or working on a
contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency
function related to this system of records. Individuals provided information under this routine use are required to
comply with the Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign agency, including law enforcement, or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the U.S. Department of Transportation, its operating administrations, or the appropriate state or local agency,
when relevant or necessary to:
</p><p>1. Ensure safety and security in any mode of transportation;
</p><p>2. Enforce safety- and security-related regulations and requirements;
</p><p>3. Assess and distribute intelligence or law enforcement information related to transportation security;
</p><p>4. Assess and respond to threats to transportation;
</p><p>5. Oversee the implementation and ensure the adequacy of security measures at airports and other transportation
facilities;
</p><p>6. Plan and coordinate any actions or activities that may affect transportation safety and security or the operations
of transportation operators; or
</p><p>7. The issuance, maintenance, or renewal of a license, endorsement, certificate, contract, grant, or other benefit.
</p><p>I. To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency regarding
individuals who pose, or are suspected of posing, a risk to transportation or national security.
</p><p>J. To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual; or the issuance of a security clearance,
license, endorsement, contract, grant, waiver, credential, or other benefit.
</p><p>K. To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a DHS/TSA decision concerning initial or recurrent security threat assessment, the hiring or
retention of an employee; the issuance of a security clearance, license, endorsement, contract, grant, waiver,
credential, or other benefit and to facilitate any associated payment and accounting.
</p><p>L. To international and foreign governmental authorities, in accordance with law and formal or informal international
agreement.
</p><p>M. To third parties during the course of a security threat assessment, employment investigation, or adjudication of a
waiver or appeal request, to the extent necessary to obtain information pertinent to the assessment, investigation, or
adjudication.
</p><p>N. To airport operators, aircraft operators, maritime and surface transportation operators, indirect air carriers and
other facility operators about individuals who are their employees, job applicants or contractors, or persons to whom
they issue identification credentials or grant clearances to secured areas in transportation facilities when relevant to
such employment, application, contract, training or the issuance of such credentials or clearances.
</p><p>O. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>P. To a court, magistrate, or administrative tribunal where a federal agency is a party to the litigation or
administrative proceeding in the course of presenting evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.
</p><p>Q. To the appropriate federal, state, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, order, license, or treaty, where
DHS/TSA determines that the information would assist in the enforcement of a civil or criminal laws.
</p><p>R. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information except to the extent it is determined that
release of the specific information in the context of a particular case would constitute an unwarranted invasion of
personal privacy or a risk to transportation or national security.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records may be maintained on paper and in computer-accessible storage media. Records may also be stored on
microfiche and roll microfilm. Records that are sensitive or classified are safeguarded in accordance with agency
procedures, and applicable Executive Orders and statutes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, social security number, identifying number of the submitting or sponsoring
entity, other case number assigned by DHS/TSA or other entity/agency, biometric, or a unique identification number, or
any other identifying particular assigned or belonging to the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration approved retention and disposal policy N1-
560-06, individuals who were not identified as possible security threat, records will be destroyed one year after
DHS/TSA is notified that access based on security threat assessment is no longer valid; where an individual was
identified as a possible security threat and subsequently cleared, records will be destroyed seven years after completion
of the security threat assessment or one year after being notified that access based on the security threat assessment is
no longer valid, whichever is longer; and where the individual is an actual match to a watchlist, records will be
destroyed 99 years after the security threat assessment or seven years after DHS/TSA is notified the individual is
deceased, whichever is shorter.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director for Compliance, Transportation Threat Assessment &amp; Credentialing Office, TSA-19,
Transportation Security Administration, 601 South 12th Street, Arlington, VA 20598.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS/TSA will consider individual requests
to determine whether or not information may be released. Thus, individuals seeking notification and access to any record
contained in the system of records, or seeking to contest its content, may submit a request in writing to the DHS/TSA’s
FOIA Officer. DHS/TSA’s FOIA Officer is located at; Freedom of Information Act Office, TSA-20, 601 S. 12th Street,
11th Floor, East Tower, Arlington, VA 20598-6020, 1-866-FOIA-TSA or 571-227-2300,
Fax: 571-227-1406, E-mail: <i>foia.tsa@dhs.gov.</i>
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records;
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure," above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from individuals subject to a security threat assessment, employment investigation, or other
security analysis; from aviation, maritime, and land transportation operators, flight schools, or other persons
sponsoring the individual; and any other persons, including commercial entities that may have information that is
relevant or necessary to the assessment or investigation. Information about individuals is also used or collected from
domestic and international intelligence sources and other governmental, private, and public databases. The sources of
information in the criminal history records obtained from the Federal Bureau of Investigation are set forth in the
Privacy Act system of records notice Department of Justice Federal Bureau of Investigation--009 Fingerprint
Identification Records System (72 FR 3410, January 1, 2007).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted portions of this system from subsections (c)(3); (d); (e)(1), (e)
(4)(G); (H); (I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1) and (k)(2) as reflected in the final rule
published on June 25, 2004 in 69 FR 35536. In addition, to the extent a record contains information from other exempt
systems of records, DHS/TSA will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="tsa3" toc="yes">
<systemNumber>/TSA-003</systemNumber>
<subsection type="systemName">Employee Transportation Facilitation Records
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the Office of Real Estate Services, TSA Headquarters in Arlington, Virginia; at various
TSA field offices, the DOT Headquarters Parking and Transit Office in Washington, DC; and at a digital safe site managed
by a government contractor.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants or holders of parking permits, members of carpools and vanpools, applicants for ridesharing
information, applicants or recipients of transit benefits, applicants or recipients of parking subsidies issued under the
Parking Information Payment System (PIPS).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of holders of parking permits; records of carpool and vanpool members; records and reports of the status
of rideshare applications; applications and certifications of fare subsidy recipients; records and reports of
disbursements to fare subsidy recipients; information collected related to the payment of parking subsidies; records and
reports of disbursements to parking subsidy recipients; information necessary to establish direct debit payment when
appropriate. These records may include an individual’s name, title, social security number, duty station, commuter costs,
method of commute, subsidy amount, bank account information, and the identities of other carpool members.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 114; E.O. 13150; E.O. 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Records are maintained to facilitate management of parking resources, transportation resources and subsidy
benefits, to create and enlarge carpools and vanpools, to ensure employee eligibility for any benefits received, to
contact employees regarding matters related to these programs, and to prevent the misuse of government resources.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To contractors, grantees, experts, consultants, or other like persons when necessary to perform a function or
service related to this system of records for which they have been engaged. Such recipients are required to comply with
the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(2) To transportation facility operators when necessary to perform a function or service related to this system of
records or to determine program eligibility.
</p><p>(3) To the Department of Transportation (DOT) or other Federal, State, local, tribal, or territorial agencies when
necessary to perform a function or service related to this system of records or to determine program eligibility, which
may involve the use of an authorized computer matching program.
</p><p>(4) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(5) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which TSA exercises jurisdiction or when conducting litigation or
in proceedings before any court, adjudicative or administrative body, when: (a) TSA, or (b) any employee of TSA in
his/her official capacity, or (c) any employee of TSA in his/her individual capacity where DOJ or TSA has agreed to
represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest
in such litigation, and TSA determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which TSA collected the records.
</p><p>(6) 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.
</p><p>(7) To the National Archives and Records Administration or other appropriate Federal agency in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(8) To other Federal employees or persons voluntarily participating in ridesharing programs only to the extent
necessary for the operation of these programs.
</p><p>(9) To the Department of Justice, United States Attorney’s Office, or other Federal agencies for further collection
action on any delinquent debt when circumstances warrant, or to a debt collection agency for the purpose of debt
collection.
</p><p>Disclosures to consumer reporting agencies:
</p><p>Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies
collecting on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in hard copy or in electronic format on a system database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, address, social security number, permit number, or other assigned identifier of
the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Except for carpool listings, access is accorded only to parking and fare subsidy management offices. Printouts of
carpool listings contain only name, agency, and work telephone number. Information in this system is safeguarded in
accordance with applicable laws, rules and policies. All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. Control measures are enforced to ensure that access to
sensitive information in these records, such as Social Security Numbers, is based on a "need to know."
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained in accordance with a schedule to be approved by the National Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Transportation Benefits Coordinator, Office of Real Estate Services, TSA Headquarters, TSA-17, 601 South
12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure,"  above. Provide your full name and a description of information that you seek,
including the time frame during which the record(s) may have been generated. Individuals requesting access must comply
with the Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure"  and "Record access procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from employees participating in parking, ridesharing, and
transit benefits programs, from notifications from other Federal agencies in the program, and from periodic
certifications and reports regarding fare subsidies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa4" toc="yes">
<systemNumber>/TSA-004</systemNumber>
<subsection type="systemName">Personnel Background Investigation File System
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the offices of the Transportation Security Administration Headquarters located in
Arlington, Virginia. Some records may also be maintained at the offices of a TSA contractor or in TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former TSA employees, applicants for TSA employment, and TSA contract employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains an index reference record used to track the status of an applicant’s background
investigation, Standard Form 85P--" Questionnaire For Public Trust Positions,"  investigative summaries and
compilations of criminal history record checks, and administrative records and correspondence incidental to the
background investigation process.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 3301, 3302; 49 U.S.C. 114, 44935; 5 CFR Parts 731, 732, and 736; and Executive Orders 10450, 10577, and
12968.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system will maintain investigative and background records used to make suitability and eligibility
determinations for the individuals listed under "Categories of individuals."
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the United States Department of Transportation, its operating administrations, or the appropriate state or
local agency when relevant or necessary to (a) ensure safety and security in any mode of transportation; (b) enforce
safety- and security-related regulations and requirements; (c) assess and distribute intelligence or law enforcement
information related to transportation security; (d) assess and respond to threats to transportation; (e) oversee the
implementation and ensure the adequacy of security measures at airports and other transportation facilities; (f) plan and
coordinate any actions or activities that may affect transportation safety and security or the operations of
transportation operators; or (g) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or
other benefit.
</p><p>(2) Except as noted in Question 14 of the Questionnaire for Public Trust Positions, to the appropriate Federal, State,
local, tribal, territorial, foreign, or international agency responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation, or order, where TSA becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
</p><p>(3) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency regarding
individuals who pose or are suspected of posing a risk to transportation or national security.
</p><p>(4) To contractors, grantees, experts, consultants, or other like persons when necessary to perform a function or
service related to this record for which they have been engaged. Such recipients shall be required to comply with the
Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(5) To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>(6) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>(7) To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>(8) To third parties during the course of an investigation into violations or potential violations of transportation
security laws to the extent necessary to obtain information pertinent to the investigation.
</p><p>(9) To airport operators, aircraft operators, and maritime and land transportation operators about individuals who are
their employees, job applicants, or contractors, or persons to whom they issue identification credentials or grant
clearances to secured areas in transportation facilities when relevant to such employment, application, contract, or the
issuance of such credentials or clearances.
</p><p>(10) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which TSA exercises jurisdiction or when conducting litigation or
in proceedings before any court, adjudicative or administrative body, when: (a) TSA, or (b) any employee of TSA in
his/her official capacity, or (c) any employee of TSA in his/her individual capacity where DOJ or TSA has agreed to
represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest
in such litigation, and TSA determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which TSA collected the records.
</p><p>(11) 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.
</p><p>(12) To the National Archives and Records Administration or other appropriate Federal agency in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on paper and in computer-accessible storage media. Records are also stored on microfiche
and roll microfilm.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, address, and social security account number or other assigned tracking identifier
of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to TSA working and storage areas is restricted to employees on a "need to know"  basis. Strict control
measures are enforced to ensure that access to these records is also based on "need to know."  Generally, TSA file areas
are locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records and information stored on electronic storage are destroyed upon notification of death or not later
than 5 years after separation or transfer of employee or no later than 5 years after contract relationship expires,
whichever is applicable.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Transportation Credentialing, TSA Headquarters, TSA-19, 601 South 12th Street, Arlington, VA
22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure"  above. Provide your full name and a description of information that you seek,
including the time frame during which the record(s) may have been generated. Individuals requesting access must comply
with the Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure"  and "Record access procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from the job applicant on the Questionnaire For Public Trust
Positions, law enforcement and intelligence agency record systems, publicly available government records and commercial
databases.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and (k)(5).
</p></xhtmlContent></subsection></section>
<section id="tsa5" toc="yes">
<systemNumber>/TSA-005</systemNumber>
<subsection type="systemName">Internal Investigation Record System (IIRS)
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the Office of the Assistant Administrator for Internal Affairs and Program Review and
the Office of the Assistant Administrator for Human Resources, Transportation Security Administration (TSA) Headquarters
in Arlington, Virginia. Records may also be maintained at TSA’s Office of Chief Counsel, the Office of the Assistant
Administrator for Aviation Operations, or at various TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Current and former TSA employees and current and former consultants, contractors, and subcontractors with
whom the agency has done business, and their employees; (b) Witnesses, complainants, and other individuals who have been
identified as relevant to the investigation; (c) Individuals who have been identified as relevant to investigations of
security-related incidents or reviews of TSA programs and operations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(a) Information relating to investigations conducted by TSA regarding or relevant to covered individuals,
including but not limited to identifying information of relevant parties (e.g., subject, complainants, witnesses);
correspondence; memoranda (including legal opinions or advice provided by agency counsel); statements and other
information provided by investigation subjects, complainants, witnesses, or others; details of security-related incidents
or alleged criminal, civil, or administrative misconduct, or that are indicative of such misconduct; and records
concerning an individual’s employment status or conduct while employed by TSA. "Investigation"  may include action that
is taken in response to complaints or inquiries regarding covered individuals.
</p><p>(b) Files and reports pertaining to investigations prepared by the Office of Internal Affairs and Program Review or
other TSA offices, to include all related material such as exhibits, statements, affidavits, records obtained during the
course of the investigation (including those obtained from other sources, such as Federal, State, local, international,
or foreign investigatory or law enforcement agencies and other government agencies), and records involving the
disposition of the investigation and any resulting agency action (e.g., criminal prosecutions, civil proceedings,
administrative action).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>(a) To facilitate and assist in the management, tracking, and retrieval of investigations of allegations or
appearances of misconduct (and related incidents) of current or former TSA employees or contractors and investigations of
security-related incidents or reviews of TSA programs and operations.
</p><p>(b) To promote economy, efficiency, and effectiveness of the Internal Investigation system, to conduct and supervise
investigations covered by this system, and to detect fraud and abuse in the investigations program.
</p><p>(c) To provide support for any adverse action or counseling that may occur as a result of the findings of the
investigation.
</p><p>(d) To monitor case assignment, disposition, status, and results of investigations.
</p><p>(e) To permit the retrieval of investigation results performed on the individuals covered in this system.
</p><p>(f) To take action on or respond to a complaint or inquiry concerning a TSA employee or contractor.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the United States Department of Transportation, its operating administrations, or the appropriate state or
local agency when relevant or necessary to (a) ensure safety and security in any mode of transportation; (b) enforce
safety- and security-related regulations and requirements; (c) assess and distribute intelligence or law enforcement
information related to transportation security; (d) assess and respond to threats to transportation; (e) oversee the
implementation and ensure the adequacy of security measures at airports and other transportation facilities; (f) plan and
coordinate any actions or activities that may affect transportation safety and security or the operations of
transportation operators; or (g) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or
other benefit.
</p><p>(2) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(3) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency regarding
individuals who pose or are suspected of posing a risk to transportation or national security.
</p><p>(4) To contractors, grantees, experts, consultants, or other like persons when necessary to perform a function or
service related to this system of records for which they have been engaged. Such recipients are required to comply with
the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(5) To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>(6) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>(7) To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>(8) To third parties during the course of an investigation into violations or potential violations of transportation
security laws to the extent necessary to obtain information pertinent to the investigation.
</p><p>(9) To airport operators, aircraft operators, and maritime and land transportation operators about individuals who are
their employees, job applicants, or contractors, or persons to whom they issue identification credentials or grant
clearances to secured areas in transportation facilities when relevant to such employment, application, contract, or the
issuance of such credentials or clearances.
</p><p>(10) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which TSA exercises jurisdiction or when conducting litigation or
in proceedings before any court, adjudicative or administrative body, when: (a) TSA, or (b) any employee of TSA in
his/her official capacity, or (c) any employee of TSA in his/her individual capacity where DOJ or TSA has agreed to
represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest
in such litigation, and TSA determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which TSA collected the records.
</p><p>(11) 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.
</p><p>(12) To the National Archives and Records Administration or other appropriate Federal agency in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(13) To complainants to the extent necessary to provide such persons with relevant information and explanations
concerning the progress and/or results of the investigation or case arising from the matters about which they complained.
</p><p>(14) To professional organizations or associations with which individuals covered by this system of records may be
affiliated, such as law enforcement disciplinary authorities, to meet those organizations’ responsibilities in connection
with the administration and maintenance of standards of conduct and discipline.
</p><p>(15) To airport operators, aircraft operators, and/or maritime and land transportation operators when appropriate to
address a threat or potential threat to transportation security, or when required for administrative purposes related to
the effective and efficient administration of transportation security laws.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In electronic storage media and hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, unique numbers assigned to the matter, or other assigned tracking identifier of
the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to those authorized with a need to know and using locked cabinets, alarms, and
passwords. TSA file areas are locked after normal duty hours and the facilities are protected from the outside by
security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>National Archives and Records Administration approval is pending for the records in this system. The request
states that paper records and information stored on electronic storage media are maintained within the Office of Internal
Affairs and Program Review for 3 years and then forwarded to the Federal Records Center. Records are destroyed after 15
years. The disposition period for records maintained in other offices is still under consideration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Management Analyst, Office of Internal Affairs and Program Review, TSA Headquarters, TSA-13, 601 South 12th
Street, Arlington, VA 22202-4220.
</p><p>Deputy Assistant Administrator for Operations, TSA Office of Human Resources, TSA Headquarters, TSA-21, 601
South 12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Managers identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure"  above. Provide your full name and a description of information that you seek,
including the time frame during which the records(s) may have been generated and, if applicable the airport to which the
covered individual was assigned at the time of the conduct or incident under investigation. Individuals requesting access
must comply with the Department of Homeland Security’s Privacy Act regulations on verification of identity (6 CFR
5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same a "Notification procedure"  and "Record access procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is primarily obtained from individuals associated with TSA investigations
including investigations of alleged misconduct of TSA employees or contractors and investigations of security-related
incidents or reviews of TSA programs and operations. "Individuals"  include TSA employees or contractors, witnesses to
the alleged violation or events surrounding the alleged misconduct or other third parties who provided information
regarding the alleged misconduct and passengers or others relevant to security-related incidents or reviews of TSA
programs and operations. Information may also be collected from documents such as incident reports and audit reports, and
from other sources, such as law enforcement, financial institutions, employers, state and local agencies, and other
Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="tsa6" toc="yes">
<systemNumber>/TSA-006</systemNumber>
<subsection type="systemName">Correspondence and Matters Tracking Records (CMTR).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the TSA Office of the Executive Secretariat, TSA Headquarters in Arlington, Virginia.
Records may also be located at the Office of Legislative Affairs, Office of Civil Rights and Liberties, Redress Office,
and the Office of the Ombudsman (which includes the Consumer Response Center (CRC)), to the extent those offices maintain
matter tracking information. Records may also be maintained in other offices at TSA Headquarters and the various TSA
field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>To the extent not covered by any other system, this system covers individuals who submit inquiries, comments,
complaints, or claims to TSA in writing, in person, or by telephone, for response and resolution and those with any
matter pending before TSA. This includes TSA employees, Members of Congress and their staff, officers and employees of
other Executive branch agencies and the White House, tort and property claimants who have filed claims against the
Government or TSA, stakeholders, passengers in transportation, and members of the public.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence and information related thereto, including name, address, and telephone number of individuals
contacting TSA; records of contacts made by or on behalf of individuals, including inquiries, comments, complaints,
resumes and letters of reference; staff reports; TSA’s responses to correspondence and calls; and staff recommendations
on actions requiring approval or action by a TSA official. The system also includes records, including those prepared by
TSA employees, related to matters under consideration by TSA.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 28 U.S.C. 1346(b), 1402(b), 2401(b), 2412(c), 2671-80; 31 U.S.C. 3325, 3332, 3701, 3711,
3721; 49 U.S.C. 114.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>(a) To facilitate and assist in the management, tracking, retrieval, and response to incoming correspondence,
inquiries, claims, and complaints associated with all subject matters over which TSA exercises jurisdiction.
</p><p>(b) To monitor assignment, disposition, status, and results of correspondence, inquiries, claims, and complaints sent
to TSA and, generally, to review, analyze, investigate, and study trends identified by the concerns expressed.
</p><p>(c) To facilitate and assist in the management, tracking, and retrieval of information associated with matters and
issues under consideration by TSA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A. To the Department of Justice (DOJ) (including United States Attorney offices) or other federal agency in
anticipation of or conducting litigation or in proceedings before any court, adjudicative or administrative body, when it
is necessary to the litigation and one of the following is a party to the litigation or has an interest in such
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any current or former employee of DHS in his/her official capacity, or
</p><p>3. Any current or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee, or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS when necessary to perform 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign agency, including law enforcement, or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the United States Department of Transportation and its operating administrations when relevant or necessary to
</p><p>1. Ensure safety and security in any mode of transportation;
</p><p>2. Enforce safety- and security-related regulations and requirements;
</p><p>3. Assess and distribute intelligence or law enforcement information related to transportation security;
</p><p>4. Assess and respond to threats to transportation;
</p><p>5. Oversee the implementation and ensure the adequacy of security measures at airports and other transportation
facilities;
</p><p>6. Plan and coordinate any actions or activities that may affect transportation safety and security or the operations
of transportation operators; or
</p><p>7. The issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>I. To a federal, state, local, tribal, territorial, foreign, or international agency, in response to queries regarding
persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to
airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>J. To a federal, state, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>K. To a federal, state, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a DHS/TSA decision concerning initial or recurrent security threat assessment, the hiring or
retention of an employee; the issuance of a security clearance, license, endorsement, contract, grant, waiver,
credential, or other benefit and to facilitate any associated payment and accounting.
</p><p>L. To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>M. To third parties during the course of an investigation into any matter before DHS/TSA to the extent necessary to
obtain information pertinent to the investigation.
</p><p>N. To airport operators, aircraft operators, and maritime and surface transportation operators, indirect air carriers,
and other facility operators about individuals who are their employees, job applicants, or contractors, or persons to
whom they issue identification credentials or grant clearances to secured areas in transportation facilities when
relevant to such employment, application, contract, or the issuance of such credentials or clearances.
</p><p>O. To a debt collection agency for the purpose of debt collection.
</p><p>P. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>Q. To a court, magistrate, or administrative tribunal where a federal agency is a party to the litigation or
administrative proceeding in the course of presenting evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation or settlement negotiations or in connection with criminal law proceedings.
</p><p>R. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel,
where there exists a legitimate public interest in the disclosure of the information except to the extent it is
determined that release of the specific information in the context of a particular case would constitute an unwarranted
invasion of personal privacy or a risk to transportation or national security.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12) for the
purpose of collecting a debt on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records may be maintained on paper, audio, and video recordings, and in computer accessible storage media.
Records may also be stored on microfiche and roll microfilm. Records that are sensitive or classified are safeguarded in
accordance with agency procedures and applicable Executive Orders and statutes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, Social security number or other assigned identifier of an individual covered by
this system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know and password protection
identification features. TSA file areas are locked after normal duty hours and the facilities are protected from the
outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with NARA approved records schedule, N1-560-03-4, Contact Center and Ombudsman
inquiries are destroyed after three years; correspondence files including Congressional correspondence are retained
permanently; redress records are retained for seven years for individuals who were cleared as possible matches, and 99
years for individual who were actual matches.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of the Executive Secretariat, TSA Headquarters, 601 S. 12th Street, Arlington, VA 20598.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system as reflected in the final rule published on June 25,
2004 (69 FR 35536). However, TSA will consider individual requests to determine whether or not information may be
released. This, individuals seeking notification of and access to any record contained in this system of records, or
seeking to contest its content, may submit a request in writing to the Headquarters or component’s FOIA Officer, whose
contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." TSA’s FOIA office may be
reached by mail at Transportation Security Administration, TSA-20, FOIA Office, 601 S. 12th Street, Arlington, VA
20598. If an individual believes more than one component maintains Privacy Act records concerning him/her the individual
may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building
410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system or records you
request must conform with the privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and data and place of birth. You must sign your request,
and your signature must be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this
purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to other living individual, you must include a statement
from the individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from calls and correspondence from or on behalf of individuals who contact TSA with
inquiries, comments, complaints, or claims, as well as from TSA employees or contractors and witnesses, and other third
parties who provide pertinent information where applicable. Information may also be collected from documents such as
records of the contact made with TSA, incident reports, and from other sources, such as employers, state and local
agencies, other federal agencies, and related material for background as appropriate.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 &#167;&#167; 552a(k)(1) and (k)(2) as reflected in the final rule
published on June 25, 2004 (69 FR 35536).
</p></xhtmlContent></subsection></section>
<section id="tsa7" toc="yes">
<systemNumber>/TSA-007</systemNumber>
<subsection type="systemName">Freedom of Information Act and Privacy Act Record System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of records is located in the Freedom of Information Act Office, Office of Law Enforcement and
Security Liaison, Transportation Security Administration (TSA) Headquarters in Arlington, Virginia. Records will also be
maintained at various TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All individuals who submit Freedom of Information Act (FOIA) and Privacy Act (PA) requests to TSA; individuals
whose requests and/or records have been referred to TSA by other agencies; and in some instances, attorneys or other
persons representing individuals submitting such requests and appeals, individuals who are the subjects of such requests,
and/or TSA personnel assigned to handle such requests or appeals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records received, created, or compiled in response to FOIA/PA requests or appeals, including: The original
requests and administrative appeals; intra- or inter-agency memoranda, correspondence, notes and other documentation
related to the processing of the FOIA/PA request; correspondence with the individuals or entities that submitted the
requested records, including when those records might contain confidential business information or personal information;
and copies of the requested records. Types of information in the records may include: requesters’ and their attorneys’ or
representatives’ names, addresses, telephone numbers, and TSA FOIA case numbers; names, office telephone numbers, and
office routing symbols of TSA employees; and names, telephone numbers, and addresses of the submitter of the information
requested.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 5 U.S.C. 552; 5 U.S.C. 552a; 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is maintained for the purpose of processing access requests and administrative appeals under the FOIA
and access and amendment requests and appeals under the PA; for the purpose of participating in litigation arising from
such requests and appeals; and for the purpose of assisting TSA in carrying out any other responsibilities under the FOIA
or the PA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the United States Department of Transportation and its operating administrations when relevant or
necessary to (a) ensure safety and security in any mode of transportation; (b) enforce safety- and security-related
regulations and requirements; (c) assess and distribute intelligence or law enforcement information related to
transportation security; (d) assess and respond to threats to transportation; (e) oversee the implementation and ensure
the adequacy of security measures at airports and other transportation facilities; (f) plan and coordinate any actions or
activities that may affect transportation safety and security or the operations of transportation operators; or (g) the
issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>(2) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(3) To contractors, grantees, experts, consultants, or volunteers when necessary to perform a function or service
related to this system of records for which they have been engaged. Such recipients are required to comply with the
Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(4) To a Federal, State, local, tribal, territorial, foreign, or international agency, in response to queries
regarding persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a
threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(5) To the Department of State and other Intelligence Community agencies to further the mission of those agencies
relating to persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a
threat to airline or passenger safety; a threat to aviation safety, civil aviation, or national security.
</p><p>(6) To a Federal, State, territorial, tribal, local, international, or foreign agency or entity for the purpose of
consulting with that agency or entity to assist TSA to make a determination regarding access to or amendment of
information, or for the purpose of verifying the identity of an individual or the accuracy of information submitted by an
individual who has requested access to or amendment of information.
</p><p>(7) To a Federal agency or entity that furnished the record or information for the purpose of permitting that agency
or entity to make a decision regarding access to or correction of the record or information, or to a federal agency or
entity for purposes of providing guidance or advice regarding the handling of particular requests.
</p><p>(8) To the Department of Justice (DOJ) in review, settlement, defense, and prosecution of claims, complaints, and law
suits involving matters over which TSA exercises jurisdiction.
</p><p>(9) To the DOJ or other Federal agency conducting litigation or in proceedings before any court, adjudicative or
administrative body, when: (a) TSA, or (b) any employee of TSA in his/her official capacity, or (c) any employee of TSA
in his/her individual capacity where DOJ or TSA has agreed to represent the employee, or (d) the United States or any
agency thereof, is a party to the litigation or has an interest in such litigation, and TSA determines that the records
are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which
TSA collected the records.
</p><p>(10) 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.
</p><p>(11) To the General Services Administration and the National Archives and Records Administration in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(12) To the DOJ, United States Attorney’s Office, or other federal agencies for further collection action on any
delinquent debt when circumstances warrant.
</p><p>(13) To a debt collection agency for the purpose of debt collection.
</p><p>(14) To the submitter or subject of a record or information to assist TSA in making a determination as to access or
amendment.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12), for the
purpose of collecting a debt on behalf of the United States.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are on paper and/or in electronic form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the requester/appellant or the attorney or other individual representing the
requester, or other identifier assigned to the request or appeal.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know; using locks, and password
protection identification features. Classified information is appropriately stored in accordance with applicable
requirements. TSA file areas are locked after normal duty hours and the facilities are protected from the outside by
security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the National Archives and Records Administration’s
General Records Schedule 14. Files may be retained from 2 to 6 years, depending on the type of file. For requests that
result in litigation, the files related to that litigation will be retained for 3 years after final court adjudication.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Director, Freedom of Information/Privacy Act Division, Office of Law Enforcement &amp; Security
Liaison, TSA Headquarters, West Tower, 10th Floor, TSA-20, 601 S. 12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedures"  above. Provide your full name and a description of information that you seek,
including the time frame during which the record(s) may have been generated. Individuals requesting access must comply
with the Department of Homeland Security’s Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure"  and "Record access procedures"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from those individuals who submit requests and administrative
appeals pursuant to the FOIA and the PA; the agency records searched and identified as responsive in the process of
responding to such requests and appeals; Departmental personnel assigned to handle such requests and appeals; other
agencies or entities that have referred to TSA requests concerning TSA records, or that have consulted with TSA regarding
handling of particular requests; and submitters or subjects of records or information that have provided assistance to
TSA in making access or amendment determinations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="tsa8" toc="yes">
<systemNumber>/TSA-008</systemNumber>
<subsection type="systemName">Transportation Security Administration Notification Contact Lists
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The records of this system are electronically maintained in a digital safe site at TSA Headquarters in Northern
Virginia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>TSA employees and individuals who interact with TSA in providing transportation security services, including
land, air, and maritime carrier and facility operators, local government officials, law enforcement officials, and
emergency response personnel. Members of the public or the news media who ask to receive TSA travel alert notifications
and news releases.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Personal and business contact information, which includes but is not limited to name, work title, work location,
work phone numbers, pager numbers, cellular phone numbers, home phone numbers, e-mail addresses, and home addresses.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 49 U.S.C. 114, Pub. L. 107-347.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system of records is designed to allow TSA to relay information throughout the organization, to
transportation security emergency first responders, and to those individuals who ask to receive TSA travel alert
notifications and news releases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the United States Department of Transportation, its operating administrations, or the appropriate state or
local agency when relevant or necessary to (a) ensure safety and security in any mode of transportation; (b) enforce
safety- and security-related regulations and requirements; (c) assess and distribute intelligence or law enforcement
information related to transportation security; (d) assess and respond to threats to transportation; (e) oversee the
implementation and ensure the adequacy of security measures at airports and other transportation facilities; (f) plan and
coordinate any actions or activities that may affect transportation safety and security or the operations of
transportation operators; or (g) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or
other benefit.
</p><p>(2) To contractors, grantees, experts, consultants, or other like persons when necessary to perform a function or
service related to this system of records for which they have been engaged. Such recipients are required to comply with
the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(3) To the National Archives and Records Administration or other appropriate Federal agency in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(4) To any agency or instrumentality charged under applicable law with the protection of the public health or safety
under exigent circumstances where the public health or safety is at risk.
</p><p>(5) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(6) To airport operators, aircraft operators, and/or maritime and land transportation operators when appropriate to
address a threat or potential threat to transportation security, or when required for administrative purposes related to
the effective and efficient administration of transportation security laws.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in computer-accessible storage media and hardcopy format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, address, or other assigned identifier of the individual on whom the records are
maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know by using locks, alarm devices,
passwords, and encrypting data communications. Electronic access is limited by computer security measures that are
strictly enforced. TSA file areas are locked after normal duty hours and facilities are protected by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained in accordance with a schedule to be approved by the National Archives and
Records Administration. Individuals who ask to receive TSA notifications and news releases will be deactivated from the
contact list upon their own request.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>TSA Office of Information Technology, Office of the Chief Information Officer, TSA Headquarters, TSA-11,
601 South 12th Street, Arlington, VA 22202-4220 (TSA Employee Contact List and TSA Alert Notification System). TSA
Public Affairs Office, TSA Headquarters, TSA-4, 601 South 12th Street, Arlington, VA 22202-4220 (Public
Affairs News Releases). TSA Transportation Security Policy Office, TSA Headquarters, TSA-9, 601 South 12th Street,
Arlington, VA 22202-4220 (E-mail Travel Alert Notification List).
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether a contact list within this system contains records relating to you, write to the appropriate
System Manager(s) identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure,"  above. Provide your full name and a description of information that you seek,
including the time frame during which the record(s) may have been generated. Individuals requesting access must comply
with the Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure"  and "Record access procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from TSA Human Resources, TSA employees or contractors, other
government agencies, and by individuals who voluntarily sign-up to receive TSA notifications or news releases.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa9" toc="yes">
<systemNumber>/TSA-009</systemNumber>
<subsection type="systemName">General Legal Records (GLR).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of records is located in the Office of the Chief Counsel, Transportation Security Administration
(TSA) Headquarters in Arlington, Virginia. Records will also be maintained at various TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>TSA employees and former employees, other Federal agency employees, members of the public, individuals involved
in litigation with TSA or involving TSA, witnesses, and to the extent not covered by any other system, tort and property
claimants who have filed claims against the Government and individuals who are the subject of an action requiring
approval or action by a TSA official, such as appeals, actions, training, awards, foreign travel, promotions, selections,
grievances, delegations, etc.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>To the extent not covered by another system, records relating to litigation by or against the U.S. Government (or
litigation in which the U.S. Government is not a party, but has an interest) resulting from questions concerning TSA
authority, criminal actions, claims, torts, employment and sex discrimination, Rehabilitation Act, personnel matters,
contracts, foreclosures, actions against TSA officials, criminal actions, titles to real property, other civil matters,
and records relating to requests for TSA records or the testimony of TSA employees in state law criminal or civil
litigation in which TSA is not a party. Included are statements of claims, documentary evidence, copies of condemnation
or foreclosure proceedings and decisions, lists of witnesses, supporting documents, correspondence, legal opinions and
memoranda and related records. The system also includes claims by or against the Government, other than litigation cases,
arising from a transaction with TSA, and documents related thereto, including demographic information, vouchers, witness
statements, legal decisions, and related material pertaining to such claims.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 5 U.S.C 7301; 5 U.S.C. 7501; 28 U.S.C. 1346(b), (c), 1402(b), 2401(b), 2412(c), 2671-80; 31
U.S.C. 3701, 3721; 42 U.S.C. 20003 et seq.; 44 U.S.C. 3101; 49 U.S.C. 114.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is maintained to assist attorneys in the Office of the Chief Counsel in providing legal advice to TSA
management on a wide variety of legal issues; to respond to claims by employees, former employees, and other individuals;
to assist in the settlement of claims against the government; to represent TSA during litigation, and to maintain
internal statistics.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the United States Department of Transportation and its operating administrations when relevant or
necessary to (a) ensure safety and security in any mode of transportation; (b) enforce safety- and security-related
regulations and requirements; (c) assess and distribute intelligence or law enforcement information related to
transportation security; (d) assess and respond to threats to transportation; (e) oversee the implementation and ensure
the adequacy of security measures at airports and other transportation facilities; (f) plan and coordinate any actions or
activities that may affect transportation safety and security or the operations of transportation operators; or (g) the
issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>(2) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(3) To contractors, grantees, experts, consultants, or volunteers when necessary to perform a function or service
related to this system of records for which they have been engaged. Such recipients are required to comply with the
Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(4) To a Federal, state, local, tribal, territorial, foreign, or international agency, in response to queries
regarding persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a
threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(5) To the Department of State and other Intelligence Community agencies to further the mission of those agencies
relating to persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a
threat to airline or passenger safety; a threat to aviation safety, civil aviation, or national security.
</p><p>(6) To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>(7) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>(8) To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>(9) To third parties during the course of an investigation into violations or potential violations of transportation
security laws to the extent necessary to obtain information pertinent to the investigation.
</p><p>(10) To airport operators, aircraft operators, and maritime and land transportation operators about individuals who
are their employees, job applicants, or contractors, or persons to whom they issue identification credentials or grant
clearances to secured areas in transportation facilities when relevant to such employment, application, contract, or the
issuance of such credentials or clearances.
</p><p>(11) To the Department of Justice (DOJ) in review, settlement, defense, and prosecution of claims, complaints, and law
suits involving matters over which TSA exercises jurisdiction.
</p><p>(12) To the DOJ or other Federal agency conducting litigation or in proceedings before any court, adjudicative or
administrative body, when: (a) TSA, or (b) any employee of TSA in his/her official capacity, or (c) any employee of TSA
in his/her individual capacity where DOJ or TSA has agreed to represent the employee, or (d) the United States or any
agency thereof, is a party to the litigation or has an interest in such litigation, and TSA determines that the records
are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which
TSA collected the records.
</p><p>(13) 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.
</p><p>(14) To the General Services Administration and the National Archives and Records Administration in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(15) To the Attorney General of the United States or his/her official designee, when information indicates that an
individual meets any of the disqualifications for receipt, possession, shipment, or transport of a firearm under the
Brady Handgun Violence Prevention Act. In case of a dispute concerning the validity of the information provided by TSA to
the Attorney General, or his/her designee, it shall be a routine use of the information in this system of records to
furnish records or information to the national Background Information Check System, established by the Brady Handgun
Violence Prevention Act, as may be necessary to resolve such dispute.
</p><p>(16) To the DOJ, United States Attorney’s Office, or other federal agencies for further collection action on any
delinquent debt when circumstances warrant.
</p><p>(17) To a debt collection agency for the purpose of debt collection.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12)
collecting on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are on paper and/or in electronic form. Records that are classified are stored in
accordance with applicable executive orders and statutes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of an individual or by a case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have an official need for access in order to perform
their duties and using locks and password protection identification features. Classified information is appropriately
stored in secured safes in accordance with applicable requirements. During normal hours of operation, all records of the
Office of the Chief Counsel are maintained in areas accessible only to authorized personnel of TSA. TSA file areas are
locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>National Archives and Records Administration approval is pending for the records in this system. The records will
be retained and disposed of in accordance with the applicable provisions of the records schedule for the Office of the
Chief Counsel. Chief Counsel office files are generally retained from 3 to 15 years, depending on the type of file.
Formal legal files and significant litigation files are retained permanently for eventual transfer to the National
Archives of the United States.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Operations, Office of the Chief Counsel, TSA Headquarters, West Building, Floor 8, TSA-2 (Chief
Counsel), 601 S. 12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedures"  above. Provide your full name and a description of information that you seek,
including the time frame during which the record(s) may have been generated. Individuals requesting access must comply
with the Department of Homeland Security’s Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure,"  and "Record access procedures"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from Federal employees and former employees and other
individuals involved in litigation or other action or matter in which TSA is a party or has an association. Information
also is obtained from documents related to such litigation, action, or matter.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="tsa11" toc="yes">
<systemNumber>/TSA-011</systemNumber>
<subsection type="systemName">Transportation Security Intelligence Service (TSIS) Operations Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Transportation Security Administration’s Office of the Transportation Security
Intelligence Service in Arlington, Virginia and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals identified in intelligence, counterintelligence, transportation security, or information system
security reports and supporting materials, including but not limited to individuals involved in matters of intelligence,
law enforcement or transportation security, information systems security, the compromise of classified information, or
terrorism.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include biographic and biometric information; intelligence requirements, analysis, and reporting;
information systems security analysis and reporting; articles, public-source data, and other published information on
individuals and events of interest to TSA; actual or purported compromises of classified intelligence; countermeasures in
connection therewith; identification of classified source documents and distribution thereof; records related to
transportation security matters (<i>e.g.,</i> reports of security-related incidents), and law enforcement records as they
pertain to issues involving transportation security.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114; National Security Act of 1947, as amended, 50 U.S.C. 403-3(d); National Security Agency Act
of 1959, Pub. L. 86-36, as amended, 50 U.S.C. 402. <i>Note:</i> E.O. 12333; E.O. 13292 and 12958; E.O. 9397; and National
Security Directive 42.</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records on intelligence, counterintelligence, transportation security, and information systems
security matters as they relate to TSA’s mission of protecting the nation’s transportation systems. To identify potential
threats to transportation security, uphold and enforce the law, and ensure public safety.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the privacy act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) (including United States attorney Offices) or other Federal agency in
anticipation of conducing, or conducting litigation or in proceedings before any court, adjudicative or administrative
body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in
such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any current or former employee of DHS in his/her official capacity, or
</p><p>3. Any current or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee, or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal agencies pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors and their agents, grantees, experts, consultants, or others performing or working on a contract,
service, grant cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign agency, including law enforcement, or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the United States Department of Transportation, its operating administrations, or the appropriate State or local
agency when relevant or necessary to:
</p><p>1. Ensure safety and security in any mode of transportation;
</p><p>2. Enforce safety- and security-related regulations and requirements;
</p><p>3. Assess and distribute intelligence or law enforcement information related to transportation security;
</p><p>4. Assess and respond to threats to transportation;
</p><p>5. Oversee the implementation and ensure the adequacy of security measures at airports and other transportation
facilities;
</p><p>6. Plan and coordinate any actions or activities that may affect transportation safety and security or the operations
of transportation operators; or
</p><p>7. The issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>I. To Federal, State, local, Tribal, territorial, foreign, or international agencies to provide intelligence,
counterintelligence, information systems and transportation security information, and other information for the purpose
of counterintelligence or antiterrorism activities authorized by U.S. law or Executive Order or for the purpose of
enforcing laws that protect national security of the U.S.
</p><p>J. To U.S. Government agencies regarding compromises of classified information including the document(s) apparently
compromised, implications of disclosure of intelligence sources and methods, investigative data on compromises, and
statistical and substantive analysis of the data.
</p><p>K. To any U.S. Government organization in order to facilitate any security, employment, detail, liaison, or
contractual decision by any U.S. Government organization, or to facilitate access to any U.S. Government information
system.
</p><p>L. To U.S. agencies involved in the protection of intelligence sources and methods to facilitate such protection and
to support intelligence analysis and reporting.
</p><p>M. To a Federal, State, local, Tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>N. To a Federal, State, local, Tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a DHS/TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>O. To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>P. To third parties during the course of or as follow-up to an investigation into violations or potential violations
of the law, or an investigation related to the hiring or retention of an individual, or the issuance of a security
clearance, license, contract, grant, or other benefit, to the extent necessary to obtain information pertinent to the
follow-up inquiry or investigation.
</p><p>Q. To airport operators, aircraft operators, maritime and surface transportation operators, indirect air carriers, and
other facility operators about individuals who are their employees, job applicants, or contractors, or persons to whom
they issue identification credentials or grant clearances to secured areas in transportation facilities when relevant to
such employment, application, contract, training or the issuance of such credentials or clearances.
</p><p>R. To the appropriate Federal, State, local, Tribal, territorial, foreign, or international agency regarding
individuals who pose or are suspected of posing a risk to transportation or national security.
</p><p>S. To airport operators, aircraft operators, maritime and surface transportation operators, indirect air carriers, or
other facility operators when appropriate to address a threat or potential threat to transportation security, or when
required for administrative purposes related to the effective and efficient administration of transportation security
laws.
</p><p>T. To a court, magistrate, or administrative tribunal where a Federal agency is a party to the litigation or
administrative proceeding in the course of presenting evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.
</p><p>U. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>V. To the news media and the public, with the approval of the DHS Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information except to the extent it is determined that
release of the specific information in the context of a particular case would constitute an unwarranted invasion of
personal privacy or a risk to transportation or national security.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records may be maintained on paper, audio and video recordings, and in computer-accessible storage media. Records
may also be stored on microfiche and roll microfilm. Records that are sensitive or classified are safeguarded in
accordance with agency procedures, and applicable Executive Orders and statutes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the individual’s name, Social Security number, or other assigned personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pursuant to the approved National Archives and Records Administration records retention schedule N1-560
-04-12, routine and insignificant case files are destroyed after thirty years; significant case files are
retained permanently; watch logs are destroyed after thirty years; watchlists are destroyed 99 years after date of entry
or seven years after confirmation of death, whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Transportation Security Administration, Special Assistant, Office of Intelligence, TSA-10, 601 South 12th
Street, Arlington, VA 20598.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, the Transportation Security Administration
will consider individual requests to determine whether or not information may be released. Thus, individuals seeking
notification and access to any record contained in the system of records, or seeking to contest its content, may submit a
request in writing to the Headquarters or component’s FOIA Officer, whose contact information can be found at <i>
https://www.dhs.gov/foia</i> under "contacts." TSA’s FOIA Officer is located at: Freedom of Information Act
Office, TSA-20, 601 S. 12th Street, 11th Floor, East Tower, Arlington, VA 20598-6020, 1-866-FOIA
-TSA or 571-227-2300, Fax: 571-227-1406, E-mail: <i>foia.tsa@dhs.gov</i>. If an individual
believes more than one component maintains Privacy Act records concerning him or her the individual may submit the
request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-
0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from subject individuals; other Federal, State, local and
foreign agencies and organizations; hard-copy media, including periodicals, newspapers, and broadcast transcripts, and
commercial and public record databases and Web sites; public and classified reporting, intelligence source documents,
investigative reports, and correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5) as reflected in the
final rule published on August 4, 2006, in 71 FR 44223.
</p></xhtmlContent></subsection></section>
<section id="tsa12" toc="yes">
<systemNumber>/TSA-012</systemNumber>
<subsection type="systemName">Transportation Worker Identification Credentialing (TWIC) System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records will be maintained in a secure, centralized location for selected transportation facilities within three
geographic regions: Delaware River and Bay, Los Angeles/Long Beach, California, and the State of Florida. Locations
within the Los Angeles/Long Beach region include Carson, CA; Terminal Island, CA; Oakland, CA; San Pedro, CA; Long Beach,
CA; and Los Angeles, CA. Locations within the Delaware River and Bay area include Philadelphia, PA; Islip, NY; Camden,
NJ; and Wilmington, DE. Locations within Florida include Pensacola, Panama City, St. Joe, Amelia Island, Jacksonville,
Tampa, St. Petersburg, Palmetto, Cape Canaveral, Ft. Pierce, Riviera Beach, Fort Lauderdale, Miami, and Key West.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Transportation workers and individuals, and/or authorized visitors, participating in the Prototype Phase of the
Transportation Worker Identification Credential (TWIC) Program who are authorized unescorted entry to secure
transportation areas.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system will contain a minimum amount of information during the TWIC Prototype Phase and may include: (1)
Individual’s name; (2) other demographic data to include: address, phone number, social security number, date of birth,
and place of birth; (3) administrative identification codes and unique card serial number; (4) systems identification
codes; (5) company/organization or affiliation; (6) issue date; (7) biometric data and digital photograph; (8) access
level information; (9) copies of documents that verify address and identity, such as birth certificates, government photo
identification, drivers licenses and the like, and (10) expiration date.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114; 49 U.S.C. 44903(g); 46 U.S.C. 70105.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>In cooperation with transportation facility operators, the records are maintained to evaluate and test certain
technologies and business processes in the Prototype Phase of TSA’s pilot project to develop a TWIC to improve identity
management and access control for transportation workers requiring unescorted access to secure areas of transportation
facilities. Additionally, TSA will use certain data elements to support the development and operation of site specific
security plans at local transportation facilities. This system is not intended to cover security threat assessments that
will be conducted on individuals who seek to obtain a TWIC. Records pertaining to security threat assessments conducted
on volunteers of this pilot are maintained in DHS/TSA 002, the Transportation Security Threat Assessment System (T-
STAS).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible
for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(2) To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual as an employee or a contractor, or the
issuance of a security clearance or license.
</p><p>(3) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>(4) 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.
</p><p>(5) To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>(6) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which TSA exercises jurisdiction or when conducting litigation or
in proceedings before any court, adjudicative or administrative body, when: (a) TSA, or (b) any employee of TSA in
his/her official capacity, or (c) any employee of TSA in his/her individual capacity where DOJ or TSA has agreed to
represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest
in such litigation, and TSA determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which TSA collected the records.
</p><p>(7) To the National Archives and Records Administration or other appropriate Federal agency pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(8) To the United States Department of Transportation, its operating administrations, or the appropriate state or
local agency when relevant or necessary to: (a) Ensure safety and security in any mode of transportation; (b) enforce
safety- and security-related regulations and requirements; (c) assess and distribute intelligence or law enforcement
information related to transportation security; (d) assess and respond to threats to transportation; (e) oversee the
implementation and ensure the adequacy of security measures at airports and other transportation facilities; (f) plan and
coordinate any actions or activities that may affect transportation safety and security or the operations of
transportation operators; or (g) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or
other benefit.
</p><p>(9) To TSA contractors, agents, grantees, experts, consultants, or other like persons when necessary to perform a
function or service related to this system of records for which they have been engaged. Such recipients are required to
comply with the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(10) To third parties during the course of an investigation into violations or potential violations of transportation
security laws to the extent necessary to obtain information pertinent to the investigation.
</p><p>(11) To airport operators, aircraft operators, and maritime and land transportation operators and contractors about
individuals who are their employees, job applicants, or contractors, or persons to whom they issue identification
credentials or grant clearances or access to secured areas in transportation facilities when relevant to such employment,
application, contract, the issuance of such credentials or clearances, or access to such secure areas.
</p><p>(12) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency regarding
individuals who pose or are suspected of posing a risk to transportation or national security.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper, bar code, magnetic stripe, optical memory, disk, integrated circuit chip (ICC), and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data records contained within bar codes, magnetic stripe, optical memory stripe, disk, ICC, and/or electronic
media may be retrieved by the individuals’ name, unique card number, or organization; paper records, where applicable,
are retrieved alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Unauthorized personnel are denied physical access to the location where records are stored. For computerized
records, safeguards established in accordance with generally acceptable information security guidelines via use of
security codes, passwords, Personal Identification Numbers (PINs), etc. Data security and integrity safeguards will be
observed during data transmission to the database using strong encryption and digital signing methodologies.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Record disposition authority for these records is pending at the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director for Compliance, Credentialing Program Office, TSA Headquarters, TSA-19, 601 S. 12th
Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine if this system contains a record relating to you, write to the system manager at the address
indicated above and provide your full name, current address, date of birth, place of birth, and a description of
information that you seek, including the time frame during which the record(s) may have been generated. You may also
provide your Social Security Number or other unique identifier(s) but you are not required to do so. Individuals
requesting access must comply with the Department of Homeland Security’s Privacy Act regulations on verification of
identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>TSA obtains information in this system from the individuals who are covered by the system, their employers, or
their transportation facility.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa13" toc="yes">
<systemNumber>/TSA-013</systemNumber>
<subsection type="systemName">Federal Flight Deck Officer Record System (FFDORS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Flight Deck Officer (FFDO) Program Records are maintained at the offices of the Transportation Security
Administration (TSA) Headquarters in Reston, Virginia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>1. All individuals who volunteer to participate in the FFDO program,
</p><p>2. FFDO program participants, <i>i.e.,</i> those volunteers who are accepted into the FFDO training program and
deputized as FFDOs, and
</p><p>3. former FFDO program participants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system includes all records required in connection with an individual’s voluntary participation in the
program, including records associated with FFDO application, selection, training, participation, retention and
requalification. FFDORS includes records about individuals who applied but were not accepted into the program. Such
records may include, but are not limited to the following:
</p><p>(a) Volunteer forms prepared by applicants for program participation containing such information as work history,
education, military service, certificates of specialized training, awards and honors;
</p><p>(b) Copies of correspondence between the applicant and TSA, and between TSA and other agencies, applicant places of
employment, and educational institutions, for the purposes of verifying information provided to TSA by the applicant;
</p><p>(c) The FD-258 Fingerprint card, investigative summaries, and compilations of criminal history record checks, to
include administrative records and correspondence incidental to the background investigation process, obtained from
various law enforcement authorities;
</p><p>(d) Results of written cognitive and noncognitive assessments and information regarding how the volunteer form was
rated, prepared by TSA employees or contract psychologists;
</p><p>(e) Records regarding the TSA’s final decision to accept or reject volunteers for the FFDO program for suitability or
medical reasons, including records prepared by TSA employees, and responses to and results of approved psychological
assessments or similar tests administered by TSA;
</p><p>(f) Results of telephonic or in-person interviews with program volunteers, including summary recommendations regarding
the individual’s participation in the program, prepared by TSA employees;
</p><p>(g) Records prepared by TSA employees related to the selection or rejection of volunteer applicants (to include
records generated as a result of any administrative appeal of TSA’s determination to reject an applicant), and records
related to recertification and decertification;
</p><p>(h) Records prepared by TSA employees related to training, including academic and firearms performance; and
</p><p>(i) Records prepared by TSA employees related to requalification and deputation renewal.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114, 44921.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records necessary for the assessment and acceptance of volunteers, and
the training, participation and recertification of deputized volunteer pilots of air carriers providing commercial air
transportation as federal law enforcement to defend the flight decks of aircraft of such air carriers against acts of
criminal violence or air piracy.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A. To the Department of Justice (DOJ) (including United States Attorney Offices) or other federal agency in
anticipation of, or conducting litigation, or in proceedings before any court, adjudicative or administrative body, when
it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such
litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any current or former employee of DHS in his/her official capacity;
</p><p>3. Any current or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee, or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign agency, including law enforcement, or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the United States Department of Transportation, its operating administrations, or the appropriate state or local
agency when relevant or necessary to:
</p><p>1. Ensure safety and security in any mode of transportation;
</p><p>2. Enforce safety- and security-related regulations and requirements;
</p><p>3. Assess and distribute intelligence or law enforcement information related to transportation security;
</p><p>4. Assess and respond to threats to transportation;
</p><p>5. Oversee the implementation and ensure the adequacy of security measures at airports and other transportation
facilities;
</p><p>6. Plan and coordinate any actions or activities that may affect transportation safety and security or the operations
of transportation operators; or
</p><p>7. The issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.
</p><p>I. To a Federal, State, local, tribal, territorial, foreign, or international agency, in response to queries regarding
persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to
airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>J. To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency regarding
individuals who pose or are suspected of posing a risk to transportation or national security.
</p><p>K. To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>L. To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a DHS/TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>M. To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.
</p><p>N. To third parties to the extent necessary to obtain information pertinent to the individual’s fitness and
qualifications for the FFDO program.
</p><p>O. To airport operators, aircraft operators, and maritime and surface transportation operators, indirect air carriers,
and other facility operators about individuals who are their employees, job applicants, or contractors, or persons to
whom they issue identification credentials or grant clearances to secured areas in transportation facilities when
relevant to such employment, application, contract, training or the issuance of such credentials or clearances.
</p><p>P. To the DOJ in review, settlement, defense, and prosecution of claims, complaints, and lawsuits involving matters
over which DHS/TSA exercises jurisdiction.
</p><p>Q. To a former employee of DHS, 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-relate or other official purposes where the
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>R. To a court, magistrate, or administrative tribunal where a Federal agency is a party to the litigation or
administrative proceeding in the course of presenting evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation or settlement negotiations or in connection with criminal law proceedings.
</p><p>S. To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, order, license, or treaty, where
DHS/TSA determines that the information would assist in the enforcement of a civil or criminal laws.
</p><p>T. To the news media and the public, with the approval of the DHS Chief Privacy Officer in consultation with counsel,
when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy or a risk to
transportation or national security.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system may be maintained on paper and in computer-accessible storage media. Records may also be
stored on microfiche and roll microfilm. Records that are sensitive or classified are safeguarded in accordance with
agency procedures, and applicable Executive Orders and statutes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information can be retrieved by name, address, social security, and account number or other assigned tracking
identifier of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies. All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know; using locks, alarm devices, and
passwords; and encrypting data communications. TSA file areas are locked after normal duty hours and security personnel
protect the facilities from the outside.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records associated with the assessment of FFDO’s will be destroyed one year after TSA is notified that access
based on security threat assessment is no longer valid; where an individual was a possible match to a watchlist, records
will be destroyed seven years after completion of the security threat assessment or one year after being notified that
access based on the security threat assessment is no longer valid, whichever is longer; and where the individual is an
actual match to a watchlist records will be destroyed 99 years after the security threat assessment or seven years after
TSA is notified the individual is deceased, whichever is shorter.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Transportation Security Administration, Office of Law Enforcement/Federal Air Marshal Service. 1900 Oracle Way,
Suite 500, Reston, VA 20190.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, TSA will consider individual requests to
determine whether or not information may be released. Thus, individuals seeking notification and access to any record
contained in the system of records, or seeking to contest its content, may submit a request in writing to the
Headquarters or component’s FOIA Officer, whose contact information can be found at <i>https://www.dhs.gov/foia</i> under
"contacts." TSA’s FOIA Officer is located at: Freedom of Information Act Office, TSA-20, 601 S. 12th
Street, 11th Floor, East Tower, Arlington, VA 20598-6020, 1-866-FOIA-TSA or 571-227-
2300, Fax: 571-227-1406, E-mail: <i>foia.tsa@dhs.gov.</i> If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is primarily obtained from the FFDO volunteer form or derived from
information the applicant supplied, reports from medical personnel on physical and psychological results of examinations,
training records, and law enforcement and intelligence agency record systems, commercial and public databases and Web
sites and individuals interviewed as part of the background investigation.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1), (k)(2) and (k)(6) as reflected in the final rule
published on June 25, 2004.
</p></xhtmlContent></subsection></section>
<section id="tsa14" toc="yes">
<systemNumber>/TSA-014</systemNumber>
<subsection type="systemName">Telecommunications Usage Detail Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the Office of Information Technology at TSA Headquarters in Arlington, Virginia and at
various TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and contractor personnel who use or are assigned government telephones, cell phones, facsimile
machines, computers connected to the Internet, or other telecommunications equipment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relating to the use of government telecommunications equipment; records indicating assignment of
telecommunications equipment to individuals, which may include the individual’s name, duty title, address, social
security number, assigned equipment identifying information, and assigned phone number; and records relating to the
location of government telecommunications equipment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 114; E.O. 9397 (Social Security Number).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Records are maintained to facilitate the management of telecommunications equipment, to prevent the misuse of
government resources, and to serve as the basis for appropriate disciplinary action in the event government resources
have been misused.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To contractors, grantees, experts, consultants, or volunteers when necessary to perform a function or service
related to this system of records for which they have been engaged. Such recipients are required to comply with the
Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(2) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(3) To the Department of Justice (DOJ) or other Federal agency conducting litigation or in proceedings before any
court, adjudicative or administrative body, when: (a) TSA, or (b) any employee of TSA in his/her official capacity, or
(c) any employee of TSA in his/her individual capacity where DOJ or TSA has agreed to represent the employee, or (d) the
United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and TSA
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which TSA collected the records.
</p><p>(4) 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.
</p><p>(5) To the General Services Administration and the National Archives and Records Administration in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(6) To the Department of Justice, United States Attorney’s Office, or other agency for debt collection action on any
delinquent debt when circumstances warrant.
</p><p>(7) To respond to a Federal agency’s request made in connection with the hiring or retention of an employee, the
letting of a contract, or issuance of a grant, license or other benefit by the requesting agency, but only to the extent
that the information disclosed is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>(8) To a telecommunications company providing telecommunications support to permit servicing of the account.
</p><p>(9) To third parties during the course of an investigation into violations or potential violations of relevant laws,
regulations, or policies to the extent necessary to obtain information pertinent to the investigation.
</p><p>Disclosures to consumer reporting agencies:</p>
<p>Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies collecting
on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in hard copy or in electronic format on a system database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, duty title, address, social security number, equipment number, phone number, or
other assigned identifier of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules, and policies. All records
are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. Control
measures are enforced to ensure that access to sensitive information in these records, such as Social Security Numbers,
is based on a "need to know."
</p><p>Retention and disposal:
</p><p>Records in this system will be retained in accordance with a schedule to be approved by the National Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Telecommunications Equipment Manager, Office of Information Technology, TSA Headquarters, TSA-11, 601 S.
12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure,"  above. Provide your full name and a description of information that you seek,
including the time frame during which the record(s) may have been generated. Individuals requesting access must comply
with the Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure"  and "Record Access Procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from employees and contractor personnel who use or are assigned
government telecommunications equipment, telecommunications equipment assignment lists, call detail log entries (which
include but are not limited to whom the call was made, from where the call was made, and call duration), and the results
of inquiries related to the assignment of responsibility for the misuse of government telecommunications equipment or the
placement of unofficial calls or transmissions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa15" toc="yes">
<systemNumber>/TSA-015</systemNumber>
<subsection type="systemName">Registered Traveler (RT) Operations Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records will be maintained at TSA Headquarters in Arlington, Virginia, at other authorized TSA or DHS secure
facilities as necessary, and at a digital safe site managed by a government contractor.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who voluntarily apply to participate in the RT Pilot Program, who agree to provide personal
information to TSA that may be used as part of a security assessment, and who may or may not meet the eligibility
criteria as determined by TSA;
 (b) Authorized Federal law enforcement officers (LEOs); and (c) Individuals who participate in the Federal Flight Deck
 Officer (FFDO) program. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information in the system includes some or all of the following: Full name, current home address, current home
phone number, current cell phone number (if applicable), social security number, date of birth, place of birth,
nationality, gender, prior home addresses, arrival date in United States (non-U.S. citizens only), digital photo,
reference biometric (i.e., fingerprint(s), iris scan, facial geometry, hand geometry, handwriting/signature, others),
unique identification record number, unique token or credential serial number, security assessments, information
pertaining to adjudication results, RT eligibility status, token or credential issue date, token or credential expiration
date, information and data provided by Federal, State, and local government agencies and foreign governments that is
necessary to conduct a security assessment to determine if an individual poses a potential threat to aviation security.
Authorized Federal LEOs may have a Federal LEO code name and unique administrative code number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114; Section 109(a)(3), Aviation and Transportation Security Act (ATSA), Public Law 107-71.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system utilized during the RT Pilot Program will facilitate the development, testing, and administration of
the RT concept, including conducting security assessments on program applicants; additional security assessments may or
may not be conducted on authorized LEOs, FFDOs, and other authorized government officials. The purpose of the RT pilot
program is to </p>
	<p>(1) pre-screen and positively identify volunteer travelers using advanced identification technologies,
including biometrics, which may expedite the pre-boarding process for the traveler and improve the allocation of TSA’s
security resources on individuals who may pose a security threat;</p>
	<p>(2) prevent potential threats from individuals who are
impersonating Federal LEOs and seek to board commercial aircraft while armed; </p><p>(3) assist in the management and tracking
of the status of security assessments for applicants and those deemed eligible for the Registered Traveler Pilot Program;</p><p>
(4) permit the retrieval of the results of security assessments, including criminal history records checks and searches
in other governmental identification systems, performed on the individuals covered by this system; </p><p>(5) permit the
retrieval of information from other law enforcement and intelligence databases on individuals covered by this system; and</p><p>
(6) identify potential threats to transportation security, uphold and enforce the law, and ensure public safety.</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the United States Department of Transportation, its operating administrations, or the appropriate state or
local agency when relevant or necessary to (a) ensure safety and security in any mode of transportation; (b) enforce
safety and security related regulations and requirements; (c) assess and distribute intelligence or law enforcement
information related to transportation security; (d) assess and respond to threats to transportation; (e) oversee the
implementation and ensure the adequacy of security measures at airports and other transportation facilities; (f) plan and
coordinate any actions or activities that may affect transportation safety and security or the operations of
transportation operators; or (g) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or
other benefit.</p>
<p>(2) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.</p>
<p>(3) To contractors, grantees, experts, consultants, or volunteers when necessary to perform a function or service
related to this system of records for which they have been engaged. Such recipients are required to comply with the
Privacy Act, 5 U.S.C. 552a, as amended.</p>
<p>(4) To airports and aircraft operators to the extent necessary to identify Registered Travelers and ensure the proper
ticketing, security screening, and boarding of those passengers.</p>
<p>(5) To a Federal, State, local, tribal, territorial, foreign, or international agency, in response to queries
regarding persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a
threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.</p>
<p>(6) To the Department of State and other Intelligence Community agencies to further the mission of those agencies
relating to persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a
threat to airline or passenger safety; a threat to aviation safety, civil aviation, or national security.</p>
<p>(7) To international and foreign governmental authorities in accordance with law and formal or informal international
agreement.</p>
<p>(8) To authorized law enforcement and other government agencies, as necessary, to conduct the security assessments
and, if applicable, to facilitate payment and accounting.</p>
<p>(9) To the Department of Justice in review, settlement, defense, and prosecution of claims, complaints, and lawsuits
involving matters over which TSA exercises jurisdiction.</p>
<p>(10) To the DOJ or other Federal agency conducting litigation or in proceedings before any court, adjudicative or
administrative body, when: (a) TSA, or (b) any employee of TSA in his/her official capacity, or (c) any employee of TSA
in his/her individual capacity where DOJ or TSA has agreed to represent the employee, or (d) the United States or any
agency thereof, is a party to the litigation or has an interest in such litigation, and TSA determines that the records
are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which
TSA collected the records.</p>
<p>(11) 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.</p>
<p>(12) To the General Services Administration and the National Archives and Records Administration in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.</p>
<p>(13) To the Attorney General of the United States or his/her official designee, when information indicates that an
individual meets any of the disqualifications for receipt, possession, shipment, or transport of a firearm under the
Brady Handgun Violence Prevention Act. In case of a dispute concerning the validity of the information provided by TSA to
the Attorney General, or his/her designee, it shall be a routine use of the information in this system of records to
furnish records or information to the national Background Information Check System, established by the Brady Handgun
Violence Prevention Act, as may be necessary to resolve such dispute.</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records may be stored on magnetic disc, tape, digital media, CD-ROM, bar code, magnetic stripe, optical memory
stripe, disk, integrated circuit chip, and/or other approved technologies and may also be retained in hard copy format in
secure file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the applicant’s name, unique identification record number, or other unique
administrative identifier; paper records, where applicable, are retrieved alphabetically by name or other unique
administrative identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable rules and policies, including any
applicable TSA and DHS automated systems security and access policies. The computer system from which records could be
accessed is policy and security based, meaning access is limited to those individuals who require it to perform their
official duties. The system also maintains a real-time auditing function of individuals who access the system. Classified
information is appropriately stored in a secured facility, secured databases, and containers and in accordance with other
applicable requirements, including those pertaining to classified information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be retained in accordance with a schedule to be approved by the National Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Registered Traveler Program Manager, Credentialing Program Office, TSA Headquarters, TSA-19, East Tower,
601 S. 12th Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine if this system contains a record relating to you, write to the system manager at the address
indicated above and provide your full name, current address, date of birth, place of birth, and a description of
information that you seek, including the time frame during which the record(s) may have been generated. You may also
provide your Social Security Number or other unique identifier(s) but you are not required to do so. Individuals
requesting access must comply with the Department of Homeland Security’s Privacy Act regulations on verification of
identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system may be obtained from the RT applicant, law enforcement and intelligence
agency record systems, government and commercial databases, military and National Guard records, and other Department of
Homeland Security systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)
pursuant to 5 U.S.C. 552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="tsa16" toc="yes">
<systemNumber>/TSA-016</systemNumber>
<subsection type="systemName">Transportation Security Technology Testing System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records will be maintained at TSA Headquarters in Arlington, Virginia, at various TSA field offices, at
transportation facilities where technology testing takes place, and at digital safe sites operated by government
contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>TSA employees, contractors, transportation workers, and other individuals who participate in transportation
security technology testing programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include (1) individual’s name; (2) demographic data to include age, gender, primary language spoken,
and ethnicity; (3) administrative identification codes; (4) systems identification codes; (5) company, organization, or
affiliation; (6) issue date and other enrollment information; (7) physical descriptors, biometric data, and digital
photograph; (8) facility access level information; (9) job title and function; (10) expiration date; and (11) access
dates and times.
</p><p>Authorities for maintenance of the system:
</p><p>49 U.S.C. 114; 49 U.S.C. 44903; 49 U.S.C. 44912.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are maintained to document the research, development, and testing of emerging transportation security
technologies, to improve access control into transportation facilities and modes of transportation, to improve ticketing
and baggage control for passengers and crew, to improve cargo tracking capabilities, and to improve transportation
facility security plans.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible
for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(2) To TSA contractors, agents, grantees, experts, consultants, or other like persons when necessary to perform a
function or service related to this system of records for which they have been engaged. Such recipients are required to
comply with the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(3) To airport operators, aircraft operators, and maritime and land transportation operators about individuals who are
their employees, job applicants, or contractors, or persons to whom they issue identification credentials or grant
clearances or access to secured areas in transportation facilities when relevant to such employment, application,
contract, the issuance of such credentials or clearances, or access to such secure areas.
</p><p>(4) 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.
</p><p>(5) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, or prosecution of
claims, complaints, and law suits involving matters over which TSA exercises jurisdiction or when conducting litigation
or in proceedings before any court, adjudicative or administrative body, when: (a) TSA, or (b) any employee of TSA in
his/her official capacity, or (c) any employee of TSA in his/her individual capacity where DOJ or TSA has agreed to
represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest
in such litigation, and TSA determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which TSA collected the records.
</p><p>(6) To the National Archives and Records Administration or other authorized Federal agency in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(7) To the United States Department of Transportation, its operating administrations, or the appropriate state or
local agency when relevant or necessary to (a) ensure safety and security in any mode of transportation; (b) enforce
safety-and security-related regulations and requirements; (c) assess and distribute intelligence or law enforcement
information related to transportation security; (d) assess and respond to threats to transportation; (e) oversee the
implementation and ensure the adequacy of security measures at airports and other transportation facilities; (f) plan and
coordinate any actions or activities that may affect transportation safety and security or the operations of
transportation operators; or (g) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or
other benefit.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper, bar code, magnetic stripe, optical memory stripe, disk, video, integrated circuit chip, and electronic
media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data records contained within bar codes, magnetic stripe, optical memory stripe, disk, video, integrated circuit
chip, and/or electronically stored may be retrieved by employee name, unique card number, or other personal identifier;
paper records, where applicable, are retrieved alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is protected from unauthorized access through appropriate administrative, physical and
technical safeguards. Unauthorized personnel are denied physical access to the location where records are stored. For
computerized records, safeguards are in accordance with generally acceptable information security guidelines via use of
security codes, passwords, Personal Identification Numbers (PINs), and other similar safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Record disposition authority for these records is pending National Archives and Records Administration approval.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Security Technology and Chief Technology Officer, TSA Headquarters, TSA-20, 601 S. 12th Street,
Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine if this system contains a record relating to you, write to the system manager at the address
indicated above and provide your full name, current address, date of birth, place of birth, and a description of
information that you seek, including the time frame during which the record(s) may have been generated. You may also
provide your Social Security Number or other unique identifier(s) but you are not required to do so. Individuals
requesting access must comply with the Department of Homeland Security’s Privacy Act regulations on verification of
identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>TSA obtains information in this system from the individuals who are covered by the system, their employers, or
the participating transportation facility.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa17" toc="yes">
<systemNumber>/TSA-017</systemNumber>
<subsection type="systemName">Secure Flight Test Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at: the Office of Transportation Vetting and Credentialing (OTVC), Transportation Security
Administration (TSA), Department of Homeland Security, P.O. Box 597, Annapolis Junction, MD 20701-0597; the OTVC
assessment facility in Colorado Springs, Colorado; and at EagleForce Associates, Inc., McLean, VA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals traveling within the United States by passenger air transportation on certain domestic flights
completed in June 2004;
</p><p>(b) Individuals identified in commercial data purchased and held by a TSA contractor for purposes of comparing such
data with the June 2004 Passenger Name Records and testing the Secure Flight program;
</p><p>(c) Individuals known or reasonably suspected to be or have been engaged in conduct constituting, in preparation for,
in aid of, or related to terrorism.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(a) Passenger Name Records (PNRs) for certain passenger air transportation flights completed in June 2004
provided by aircraft operators in response to the Transportation Security Administration Order issued November 15, 2004
(69 FR 65625), (the June 2004 PNRs), the specific contents of which often vary by aircraft operator;
</p><p>(b) Information obtained from the Terrorist Screening Center about individuals known or reasonably suspected to be or
to have been engaged in conduct constituting, in preparation for, in aid of, or related to terrorism;
</p><p>(c) Authentication scores and codes obtained from commercial data providers;
</p><p>(d) PNRs that were enhanced with certain fields of information obtained from commercial data--full name, address,
date of birth, gender--and that were provided to TSA for purposes of testing the Secure Flight program;
</p><p>(e) Commercial data purchased and held by a TSA contractor for purposes of comparing such data with June 2004 PNRs and
testing the Secure Flight program;
</p><p>(f) Results of comparisons of individuals identified in PNRs to watch lists obtained from the Terrorist Screening
Center.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114, 44901, and 44903.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system will be used to test the Secure Flight program. The purpose of the program is to enhance the security
of domestic air travel by identifying passengers who warrant further scrutiny prior to boarding an aircraft. The purposes
of testing the Secure Flight program are: (1) To test the Government’s ability to process and compare passenger
information against terrorist watch list information held by the Terrorist Screening Center (TSC) in the Terrorist
Screening Database (TSDB); (2) to test the Government’s ability to operate a streamlined version of the rule set used
under the existing computer-assisted passenger prescreening system (CAPPS) currently used by aircraft operators; and (3)
to test the Government’s ability to verify the identities of passengers using commercial data and to improve the efficacy
of watch list comparisons by making passenger information more complete and accurate using commercial data. For more
detail on the purposes and conduct of the Secure Flight testing, please see the revised PIA for the Secure Flight Test
Phase, which is published below.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the Federal Bureau of Investigation where TSA becomes aware of information that may be related to an
individual identified in the Terrorist Screening Database as known or reasonably suspected to be or having been engaged
in conduct constituting, in preparation for, in aid of, or related to terrorism.
</p><p>(2) To contractors, grantees, experts, consultants, or other like persons when necessary to perform a function or
service related to the Secure Flight program or the system of records for which they have been engaged. Such recipients
are required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(3) To the Department of Justice (DOJ) or other Federal agency in the review, settlement, defense, and prosecution of
claims, complaints, and lawsuits involving matters over which TSA exercises jurisdiction or when conducting litigation or
in proceedings before any court, adjudicative or administrative body, when: (a) TSA; or (b) any employee of TSA in
his/her official capacity; or (c) any employee of TSA in his/her individual capacity, where DOJ or TSA has agreed to
represent the employee; or (d) the United States or any agency thereof, is a party to the litigation or has an interest
in such litigation, and TSA determines that the records are both relevant and necessary to the litigation and the use of
such records is compatible with the purpose for which TSA collected the records.
</p><p>(4) To the National Archives and Records Administration (NARA) or other Federal agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(5) 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.
</p><p>(6) To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in a secure facility at the Office of Transportation Vetting and Credentialing
(OTVC), Transportation Security Administration (TSA), Department of Homeland Security, P.O. Box 597, Annapolis Junction,
MD 20701-0597; the OTVC assessment facility in Colorado Springs, Colorado; and at EagleForce, Inc., McLean, VA. The
records are stored on magnetic disc, tape, digital media, and CD-ROM, and may also be retained in hard copy format
in secure file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data are retrievable by the individual’s name or other identifier, as well as non-identifying information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable rules and policies, including any
applicable OTVC, TSA, and DHS automated systems security and access policies. Access to computer systems containing the
records in this system of records is limited and can be accessed only by those individuals who require it to perform
their official duties. Safeguards also include a real time auditing function of individuals who access computer systems
containing the records in this system of records. Classified information, if any, will be appropriately stored in a
secured facility, in secured databases and containers, and in accordance with other applicable requirements, including
those pertaining to classified information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TSA has determined that the records contained in the Secure Flight Test records system are covered by NARA
General Records Schedule (GRS) 20, which applies to electronic records. It covers electronic files or records created
solely to test system performance, as well as hard-copy printouts and related documentation for the electronic
files/records. Under GRS 20, an agency may delete or destroy such records when the agency determines that they are no
longer needed for administrative, legal, audit, or other operational purposes. In accordance with GRS 20, TSA has
destroyed certain copies of the original PNRs provided by the air carriers. In addition, in accordance with applicable
law, TSA plans to direct and document the destruction of the remaining PNRs and commercial data in its possession or in
the possession of EagleForce as testing activities and analyses are completed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Administrator, Secure Flight/Registered Traveler, Transportation Security Administration, P.O. Box 597,
Annapolis Junction, MD 20701-0597.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See "Record access procedure" .
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>DHS has determined that all persons may request access to information about them contained in the system by
sending a written request to the TSA Privacy Officer, Transportation Security Administration (TSA-9), 601 South
12th Street, Arlington, VA 22202.
</p><p>To the extent permitted by law, such access will be granted. Individuals requesting access must comply with the
Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)). Individuals must
submit their full name, current address, and date and place of birth. Individuals must sign the request and the signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa19" toc="yes">
<systemNumber>/TSA-019</systemNumber>
<subsection type="systemName">Secure Flight Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified; Sensitive Security Information.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Transportation Security Administration (TSA), 601 South 12th Street,
Arlington, VA, and at other secure TSA facilities in Annapolis Junction, Maryland and Colorado Springs,
Colorado. Records also may be maintained at the secured facilities of contractors or other parties that
perform
functions under the Secure Flight program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who attempt to make reservations for travel on, have traveled on, or have reservations to
travel on a flight operated by a U.S. aircraft operator, or a flight into, out of, or overflying the United
States that is operated by a foreign air carrier, or flights operated by the U.S. government, including
flights
chartered or leased by the U.S. government;
</p><p>(b) Non-traveling individuals who seek to obtain authorization from an aircraft or airport operator to
enter
the sterile area of an airport;
</p><p>(c) For flights that TSA grants a request by the operators of leased or charter aircraft with a maximum
take-off weight over 12,500 pounds to screen the individuals using Secure Flight, the following individuals:
(1) individuals who seek to charter or lease an aircraft with a maximum take-off weight over 12,500 pounds or
who are proposed to be transported on or operate such charter aircraft; and (2) owners and/or operators of
such
chartered or leased aircraft;
</p><p>(d)(1) Known or suspected terrorists identified in the Terrorist Screening Database (TSDB) maintained by
the
Terrorist Screening Center (TSC); and (2) individuals identified on classified and unclassified governmental
databases such as law enforcement, immigration, or intelligence databases;
</p><p>(e) Individuals who have been distinguished from individuals on a watch list through a redress process, or
other means; and
</p><p>(f) Individuals who are identified as Known Travelers for whom the federal government has conducted a
security threat assessment and determined do not pose a security threat.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(a) Records containing passenger and flight information (<i>e.g.,</i> full name, date of birth,
gender, redress number, known traveler number, passport information, frequent flyer designator code or other
identity authentication/verification code obtained from aircraft operators, and itinerary); records containing
the results of risk-based analysis in the TSA passenger prescreening system, including boarding pass printing
results; records containing information about non-traveling individuals seeking access to an airport sterile
area for a purpose approved by TSA; and records containing information about individuals who seek to charter,
lease, operate or be transported on aircraft with a maximum take-off weight over 12,500 pounds if TSA grants
the request of an aircraft owner or operator to use Secure Flight;
</p><p>(b) Records containing information from an individual’s form of identification or a physical description of
the individual;
</p><p>(c) Records obtained from the TSC of known or suspected terrorists in the TSDB; and records regarding
individuals identified on classified and unclassified governmental watch lists;
</p><p>(d) Records containing the matching analyses and results of comparisons of individuals to the TSDB and
other
classified and unclassified governmental watch lists.
</p><p>(e) Records related to communications between or among TSA and aircraft operators, airport operators,
owners
and/or operators of leased or charter aircraft with a maximum take-off weight over 12,500 pounds, TSC, law
enforcement agencies, intelligence agencies, and agencies responsible for airspace safety or security,
regarding the screening status of passengers or non-traveling individuals and any operational responses to
individuals identified in the TSDB;
</p><p>(f) Records of the redress process that include information on known misidentified persons, including any
Redress Number assigned to those individuals;
</p><p>(g) Records that track the receipt, use, access, or transmission of information as part of the Secure
Flight
program;
</p><p>(h) Electronic System for Travel Authorization status code generated by U.S. Customs and Border Protection
(CBP) for international travelers; and
</p><p>(i) Records containing information about individuals who are identified as Known Travelers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114, 40113, 44901, 44903, and 44909.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Secure Flight Records system will be used to identify and protect against potential and actual threats
to transportation security and support the Federal Government’s counterterrorism efforts by assisting in the
identification of individuals who warrant further scrutiny prior to boarding an aircraft or seek to enter a
sterile area or who warrant denial of boarding or denial of entry to a sterile area on security grounds. It
also will be used to identify individuals who are lower risk and therefore may be eligible for expedited
screening at the airport security checkpoint. Both of these functions are designed to facilitate the secure
travel of the public.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the TSC in order to: (a) Determine whether an individual is a positive identity match to an
individual identified as a known or suspected terrorist in the watch list; (b) allow redress of passenger
complaints; (c) facilitate an operational response, if one is deemed appropriate, for individuals who are a
positive identity match to an individual identified as a known or suspected terrorist in the watch list; (d)
provide information and analysis about terrorist encounters and known or suspected terrorist associates to
appropriate domestic and foreign government agencies and officials for counterterrorism purposes; and (e)
perform technical implementation functions necessary for the Secure Flight program.
</p><p>(2) To contractors and their agents, grantees, experts, consultants, and others performing or working on a
contract, service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers
and employees.
</p><p>(3) To aircraft operators, foreign air carriers, airport operators, the Department of Transportation, and
the Department of Defense or other U.S. government agencies or institutions, to communicate individual
screening status, and facilitate an operational response, where appropriate, to individuals who pose or are
suspected of posing a risk to transportation or national security.
</p><p>To aircraft operators or foreign air carriers, to communicate individual screening status, where
appropriate, to individuals who are a low risk to transportation or National security
</p><p>(4) To owners or operators of leased or charter aircraft to communicate individual screening status and
facilitate an operational response, where appropriate, to individuals who pose or are suspected of posing a
risk to transportation or national security.
</p><p>(5) To the appropriate federal, state, local, tribal, territorial, or foreign, agency regarding or to
identify individuals who pose, or are under reasonable suspicion of posing, a risk to transportation or
national security.
</p><p>(6) To the Department of Justice (DOJ) or other Federal agency for purposes of conducting litigation or
administrative proceedings, when: (a) the Department of Homeland Security (DHS), or (b) any employee or former
employee of DHS in his/her official capacity, or (c) any employee or former employee of DHS in his/her
individual capacity where the DOJ or DHS has agreed to represent the employee, or (d) the United States or any
agency thereof, is a party to the litigation or proceeding or has an interest in such litigation or
proceeding.
</p><p>(7) To the National Archives and Records Administration (NARA) or other Federal agencies pursuant to
records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(8) To a congressional office in response to an inquiry from that congressional office made at the request
of the individual.
</p><p>(9) To the Government Accountability Office or other agency, organization, or individual for the purposes
of
performing authorized audit or oversight operations, but only such information as is necessary and relevant to
such audit and oversight functions.
</p><p>(10) To the appropriate federal, state, local, tribal, territorial, or foreign agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order regarding a
violation or potential violation of civil or criminal law, regulation, or order when such disclosure is proper
and consistent with the performance of the official duties of the person making the disclosure.
</p><p>(11) To international and foreign governmental authorities in accordance with law and formal or informal
international agreements when such disclosure is proper and consistent with the performance of the official
duties of the person making the disclosure.
</p><p>(12) To appropriate agencies, entities, and persons when (a) TSA suspects or has confirmed that the
security
or confidentiality of information in the system of records has been compromised; (b) TSA has determined that
as
a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or programs
(whether maintained by TSA or another agency or entity) that rely upon the compromised information; and (c)
the
disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
TSA’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>(13) To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral
governmental organizations, including the World Health Organization, for purposes of assisting such agencies
or
organizations in preventing exposure to or transmission of communicable or quarantinable disease or for
combating other significant public health threats; appropriate notice will be provided of any identified
health
threat or risk.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained at the Transportation Security Administration, 601 South 12th Street, Arlington, VA,
and at other secure TSA facilities in Annapolis Junction, Maryland and Colorado Springs, Colorado. Records
also
may be maintained at the secured facilities of contractors or other parties that perform functions under the
Secure Flight program. The records are stored on magnetic disc, tape, digital media, and CD-ROM, and may
also be retained in hard copy format in secure file folders or safes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data are retrievable by the individual’s name or other identifier, as well as non-identifying information
such as itinerary.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records are protected from unauthorized access through appropriate administrative, physical, and
technical safeguards. The system is also protected through a multi-layer security approach. The protective
strategies are physical, technical, administrative and environmental in nature and provide role-based access
control to sensitive data, physical access control to DHS facilities, confidentiality of communications,
including encryption, authentication of sending parties, compartmentalizing databases; auditing software and
personnel screening to ensure that all personnel with access to data are screened through background
investigations commensurate with the level of access required to perform their duties.
</p><p>Information in this system is safeguarded in accordance with applicable rules and policies, including any
applicable TSA and DHS automated systems security and access policies. The system will be in compliance with
Office of Management and Budget and National Institute of Standards and Technology guidance. Access to the
computer system containing the records in this system of records is limited to those individuals who require
it
to perform their official duties. The computer system also maintains a real-time audit of individuals who
access the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records relating to an individual determined by the automated matching process to be neither a match nor or
potential match to a watchlist will be destroyed within seven days after completion of the last leg of the
individual’s directional travel itinerary. Records relating to an individual determined by the automated
matching process to be a potential watch list match will be retained for seven years after the completion of
the individual’s directional travel itinerary. Records relating to an individual determined to be a confirmed
watchlist match will be retained for 99 years after the date of match confirmation.
</p><p>Lists of individuals stored in Secure Flight, such as individuals identified as Known Travelers and
individuals who have been disqualified from eligibility to receive expedited screening as a result of their
involvement in certain security incidents, will be deleted or destroyed when superseded by an updated list.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secure Flight Mission Support Branch Manager, Transportation Security Administration, TSA-19, 601
South 12th Street, Arlington, VA, 20598-6019.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the Freedom of Information Act
Office, Transportation Security Administration, TSA-20, 601 South 12th Street, Arlington, VA
20598-6020.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for records access must be in writing and should be addressed to the Freedom of Information Act
Office, Transportation Security Administration, TSA-20, 601 South 12th Street, Arlington, VA,
20598-6020. Requests should conform to the requirements of 6 CFR part 5, Subpart B, which provides the
rules for requesting access to Privacy Act records maintained by DHS. The envelope and letter should be
clearly
marked "Privacy Act Access Request." The request should include a general description of the
records sought and must include the requester’s full name, current address, and date and place of birth. The
request must be signed and either notarized or submitted under penalty of perjury. Some information may be
exempt from access provisions. An individual who is the subject of a record in this system may access those
records that are not exempt from disclosure. A determination whether a record may be accessed will be made at
the time a request is received.
</p><p>Individuals who believe they have been improperly denied entry by CBP, refused boarding for transportation,
or identified for additional screening may submit a redress request through the DHS Traveler Redress Program
("TRIP") (see 72 FR 2294, January 18, 2007). TRIP is a single point of contact for individuals who
have inquiries or seek resolution regarding difficulties they experienced during their travel screening at
transportation hubs--like airports and train stations or crossing U.S. borders. Through TRIP, a traveler
can correct erroneous data stored in Secure Flight and other data stored in other DHS databases through one
application. Additionally, for further information on the Secure Flight program and the redress options please
see the accompanying Privacy Impact Assessment for Secure Flight published on the DHS Web site at <i>
www.dhs.gov/privacy.</i> Redress requests should be sent to: DHS Traveler Redress Inquiry Program (TRIP),
TSA-901, 601 South 12th Street, Arlington, VA 20598-6036 or online at <i>
http://www.dhs.gov/trip.</i>
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure" and "Record Access Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in the system is obtained from U.S. aircraft operators, foreign air carriers, the
owners and operators of leased or charter aircraft with a maximum take-off weight over 12,500 pounds who
request TSA screening, the TSC, TSA employees, airport operators, Federal executive branch agencies, Federal
judicial and legislative branch entities, State, local, international, and other governmental agencies,
private
entities for Known Traveler program participants, and the individuals to whom the records in the system
pertain.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>No exemption will be asserted with respect to identifying information, or flight information, obtained from
passengers, non-travelers, and aircraft owners or operators.
</p><p>This system, however, may contain records or information recompiled from or created from information
contained in other systems of records, which are exempt from certain provisions of the Privacy Act. For these
records or information only, in accordance with 5 U.S.C. 552a(j)(2) and (k)(2), TSA claims the following
exemptions for these records or information from subsections (c)(3) and (4); (d)(1), (2), (3), and (4); (e)
(1),
(2), (3), (4)(G) through (I), (5), and (8); (f); and (g) of the Privacy Act of 1974, as amended, as necessary
and appropriate to protect such information. Certain portions or all of these records may be exempt from
disclosure pursuant to these exemptions. A Final Rule was promulgated in accordance with the requirements of 5
U.S.C. 553(b), (c) and (e) and can be found at 72 FR 63706 (Nov. 9, 2007).
</p></xhtmlContent></subsection></section>
<section id="tsa20" toc="yes">
<systemNumber>/TSA-020</systemNumber>
<subsection type="systemName">Safety Information System (SIS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>TSA’s Information Technology contractor maintains and stores official records in electronic form on secure
servers at their office locations. TSA occupational safety and health personnel may access the official records from
their individual workstations at TSA field locations or Headquarters offices at 601 South 12th Street, Arlington, VA
22202-4220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>TSA employees and contractors under direct supervision of TSA, who are involved in or report an incident
resulting in an occupationally-caused injury, illness, or death; employees and contractors involved in or reporting
incidents not resulting in, but having the potential to have caused damage, injury, or death; employees and contractors
(or their survivors) who file a claim for benefits under the Federal Employees’ Compensation Act; and employees and
contractors who report unsafe or unhealthful working conditions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include: Reports of occupational injuries and illnesses; workers’ compensation claims information
filed by, or on behalf of, injured employees or contractors; medical bill payment records; notes of telephone
conversations conducted in connection with claims; general information relating to the status of vocational and/or
medical rehabilitation. Specific data elements may include personally identifying information, such as: Name, Social
Security Number, birth date, gender, home address, occupation, and salary (for employees of the Department only); date
and location of the incident; and information received from various investigative agencies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 7902; 29 U.S.C. 651 et seq.; 49 U.S.C. 114; E.O. 12196 (45 FR 12769, Feb. 27, 1980), 3 CFR, 1980
Comp., p. 145; 29 CFR part 1960.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>TSA will use this system to:
</p><p>(1) Provide an information source for compliance with the Occupational Safety and Health Act and other legal
requirements;
</p><p>(2) Provide a documented record of job-related incidents, injuries, and illnesses for measuring safety and health
programs’ effectiveness;
</p><p>(3) Provide summary data of accident, injury, and illness information to TSA and DHS management in a number of formats
for analytical purposes in establishing programs to reduce or eliminate loss producing hazards or conditions; and
</p><p>(4) Use as a reference when adjudicating tort and employee claims.
</p><p>TSA will use the summary data of occupational injuries or illnesses maintained in this system for analytical purposes
to improve TSA’s accident prevention policies, procedures, standards, and operations, as well as ensure internal data
quality assurance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible
for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where TSA becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(2) To contractors, grantees, experts, consultants, or other like persons, when necessary, to perform a function or
service related to this system of records for which they have been engaged. Such recipients are required to comply with
the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(3) To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>(4) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary, to obtain
information relevant to a TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>(5) To third parties during the course of an investigation into any matter associated with an occupationally-related
accident, injury, or illness, to the extent necessary to obtain information pertinent to the investigation.
</p><p>(6) To the Department of Justice (DOJ) or other Federal agency for purposes of conducting litigation or proceedings
before any court, adjudicative or administrative body, when (a) DHS, or (b) any employee of DHS in his/her official
capacity, or (c) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the
employee, or (d) the United States or any agency thereof, is a party to the litigation or proceeding, or has an interest
in such litigation or proceeding.
</p><p>(7) 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.
</p><p>(8) To the National Archives and Records Administration or other appropriate Federal agency, in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(9) To any agency or instrumentality charged under applicable law with the protection of the public health or safety
under exigent circumstances where the public health or safety is at risk.
</p><p>(10) To the Department of Justice, United States Attorney’s Office, or other appropriate Federal agency for further
collection action on any delinquent debt when circumstances warrant, or to a debt collection agency for the purpose of
debt collection.
</p><p>(11) To prepare periodic statistical reports on employees’ health and injury status for transmission to and review by
the Department of Labor;
</p><p>(12) To the Secretary of Labor or an authorized representative under duly promulgated regulations;
</p><p>(13) To the Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission,
and/or similar agencies as required to litigate or otherwise process individual claims;
</p><p>(14) To physicians, the Department of Labor, various state departments of labor and industry groups, and contractors
who use information to: (a) Ascertain suitability of an employee for job assignments with regard to health (b) provide
benefits under Federal programs or contracts, and (c) maintain a record of occupational injuries or illnesses and the
performance of regular diagnostic and treatment services to patients.
</p><p>(15) To doctors, pharmacies, and other health care providers for the purpose of treating the injured party
investigating the claim, conducting medical examinations, physical rehabilitation or other services, or obtaining medical
evaluations.
</p><p>(16) To public or private rehabilitation agencies to whom the injured party has been referred for vocational
rehabilitation services so that they may properly evaluate the injured party’s experience, physical limitations and
future employment capabilities.
</p><p>(17) To Federal, state, and local agencies conducting similar or related investigations to verify whether prohibited
dual benefits were provided, whether benefits have been or are being paid properly, including whether dual benefits
prohibited by Federal law are being paid; and salary offset and debt collection procedures including those actions
required by the Debt Collection Act of 1982.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Contractors maintain and store official records in electronic form in the system location office. Employees or
contractors designated to enter and access data create and update the information on their individual workstations, and
make it accessible to TSA occupational safety and health personnel.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Personnel may retrieve data records electronically stored by employee name, social security number or other
personal identifier, or case number; and paper records, where applicable, by case number or alphabetically by name. TSA
field offices will access and retrieve information maintained in the system pertaining only to employees under their
supervision. TSA Headquarters personnel responsible for administration of the Occupational Safety and Health program will
have access to SIS data.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is protected from unauthorized access through appropriate administrative, physical,
and technical safeguards. Unauthorized personnel are denied physical access to the location where records are stored. For
computerized records, safeguards are in accordance with generally acceptable information security guidelines via use of
security codes, passwords, Personal Identification Numbers (PINs), and other similar safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Employee case files are destroyed when 30 years old in accordance with TSA Records Schedule 2400 et seq. Computer
files are deleted after the expiration of the retention period authorized for the disposal of the hard copy file or when
no longer needed, whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Occupational Safety, Health, and Environment, Office of Administration, TSA-17, 701 South 12th
Street, Arlington, VA 22202-4220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine if this system contains a record relating to you, write to the system manager at the address
indicated above and provide your full name, current address, date of birth, place of birth, and a description of
information that you seek, including the time frame during which the record(s) may have been generated. You may also
provide your social security number or other unique identifier(s), but you are not required to do so. Individuals
requesting access must comply with the Department of Homeland Security’s Privacy Act regulations on verification of
identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure"  above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) The individual or their representative;
</p><p>(2) Their dependents;
</p><p>(3) Witnesses;
</p><p>(4) Employing agency;
</p><p>(5) Medical personnel and institutions;
</p><p>(6) Departmental Records;
</p><p>(7) Office of Workers’ Compensation Program;
</p><p>(8) Office of Personnel Management;
</p><p>(9) State and Federal records;
</p><p>(10) Motor Vehicle Accident Reports (SF-91); and
</p><p>(11) Excerpts of police reports, witness statements, and general correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa21" toc="yes">
<systemNumber>/TSA-021</systemNumber>
 <subsection type="systemName">DHS/TSA-021 TSA Pre&#9745; &#0174; Application Program
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, unclassified, Sensitive Security Information.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records will be maintained at the Transportation Security Administration (TSA), 601 South 12th Street,
Arlington, VA 20598, and at TSA facilities in Annapolis Junction, Maryland, and Colorado Springs, Colorado.
Records also may be maintained at other authorized TSA or DHS facilities, or by TSA contractors or other
parties that perform functions under this program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who apply to, or participate in the TSA Pre&#9745; &#0174; Application Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system may contain any, or all, of the following information regarding individuals covered by this
system:
</p><p>(a) Name (including aliases or variations of spelling);
</p><p>(b) Gender;
</p><p>(c) Current and historical contact information (including, but not limited to, address, telephone number,
and email address);
</p><p>(d) Date and place of birth;
</p><p>(e) Physical description, fingerprint and/or other biometric identifier, including photograph;
</p><p>(f) Control number, Social Security Number (SSN), or other unique identification number assigned to an
individual;
</p><p>(g) Information necessary to assist in tracking submissions, payments, and transmission of records;
</p><p>(h) Other data as required by Form FD-258 (fingerprint card) or other standard fingerprint cards used
by the federal government;
</p><p>(i) Information provided by individuals covered by this system in support of their application, such as
driver’s license, passport or other documents used to verify identity, confirm immigration status, or other
eligibility requirements;
</p><p>(j) Criminal history records;
</p><p>(k) Records obtained from the Terrorist Screening Center of known or suspected terrorists in the Terrorist
Screening Database; and records regarding individuals identified on classified and unclassified governmental
watch lists used or maintained by TSA;
</p><p>(l) Records containing the matching analyses and results of comparisons of individuals to the TSDB and
other classified and unclassified governmental databases, such as law enforcement, immigration, or
intelligence databases, and individuals who have been distinguished from individuals on a watch list through a
redress process or other means;
</p><p>(m) Other information provided by federal, state, local, tribal, territorial, and foreign government
agencies or other entities relevant to the security threat assessment and adjudication of the application;
</p><p>(n) Results of any analysis performed for security threat assessments and adjudications; and
</p><p>(o) Communications between TSA and applicants regarding the results of the security threat assessments and
adjudications.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 109(a)(3) of the Aviation and Transportation Security Act, Public L. 107-71 (Nov. 19, 2001,
codified at 49 U.S.C. 114 note).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the TSA Pre&#9745; &#0174;  Application Program is to:</p>
<p>(a) perform security threat assessments and to identify individuals who are a low risk to transportation or
national security and are therefore eligible to receive expedited security screening;
</p><p>(b) assist in the management and tracking of the status of security threat assessments of individuals who
apply to the TSA Pre&#9745; &#0174;  Application Program;</p>
<p>(c) permit the retrieval of the results of security threat assessments, including criminal history records
checks and searches in other governmental data systems, performed on the individuals covered by this system;
</p><p>(d) permit the retrieval of information from other terrorist-related, law enforcement, immigration, and
intelligence databases on the individuals covered by this system; and
</p><p>(e) track the fees incurred, and payment of those fees, when appropriate, for services related to security
threat assessments.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agencies
conducting litigation or in proceedings before any court, or adjudicative or administrative body, when it is
relevant or necessary to the litigation and one of the following is a party to the litigation or has an
interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity when DOJ or DHS has agreed to
represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant
to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of
records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of
identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the
security or integrity of this system or other systems or programs (whether maintained by DHS or another agency
or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with DHS’ efforts to respond to the suspected or confirmed compromise and prevent, minimize, or
remedy such harm.
</p><p>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 DHS, 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 DHS officers
and employees.
</p><p>G. To an appropriate federal, state, tribal, local, territorial, or foreign government law enforcement
agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other
information, indicates a violation or potential violation of law, including criminal, civil, or regulatory
violations, and such disclosure is proper and consistent with the official duties of the person making the
disclosure.
</p><p>H. To the TSC in order to:
</p><p>1. determine whether an individual is a positive identity match to an individual identified as a known or
suspected terrorist in the watch list;
</p><p>2. allow redress for passenger complaints;
</p><p>3. facilitate an operational response, if one is deemed appropriate, for individuals who are a positive
identity match to an individual identified as a KST in the watch list;
</p><p>4. provide information and analysis about terrorist encounters and KST associates to appropriate domestic
and foreign government agencies and officials for counterterrorism purposes; and
</p><p>5. perform technical implementation functions necessary for the TSA Pre&#9745; &#0174;  Application
Program.</p>
<p>I. To the appropriate federal, state, local, tribal, territorial, foreign governments, or other appropriate
authority, regarding or to identify individuals who pose, or are under reasonable suspicion of posing, a risk
to transportation or national security.
</p><p>J. To foreign governmental and international authorities, in accordance with law and formal or informal
agreements.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with
counsel, when there exists a legitimate public interest in the disclosure of the information or when
disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the
accountability of DHS officers, employees, or individuals covered by the system, except to the extent it is
determined that release of the specific information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:
</p><p>The records in this system are stored in secure facilities on paper and in computer-accessible storage, and
may be retained in hard copy format in secure file folders or safes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the individual’s name, SSN, other case number assigned by DHS/TSA or other
entity/agency, biometric, or a unique identification number, or any other identifying particular assigned or
belonging to the individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize
the risk of compromising the information that is being stored. Access to the computer system containing the
records in this system is limited to those individuals who have a need to know the information for the
performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TSA intends to use existing information technology infrastructure and systems, and other established
processes to collect information and conduct the security threat assessment for the TSA Pre&#9745; &#0174;
 Application Program. In accordance with NARA approved retention and disposal policy
N1-560-06-006, records for individuals who:</p>
<p>A. were not identified as a possible security threat will be destroyed one year after DHS/TSA is notified
that access based on security threat assessment is no longer is valid;
</p><p>B. were identified as a possible security threat and subsequently cleared will be destroyed seven years
after completion of the security threat assessment or one year after being notified that access to the TSA
Pre&#9745; &#0174;Application Program based on the security threat assessment is no longer is valid,
whichever is later; and</p>
<p>C. were an actual match to a watchlist or otherwise identified as a potential or actual threat to
transportation security will be destroyed 99 years after the security threat assessment or seven years after
DHS/TSA is notified the individual is deceased, whichever is earlier.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>TSA Pre&#9745; &#0174; Application Program Manager, Transportation Security Administration,
TSA-19, 601 South 12th Street, Arlington, VA 20598-6019.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted certain records from this system from the notification,
access, and amendment procedures of the Privacy Act because it may contain records or information related to
law enforcement or national security purposes. However, DHS/TSA will consider individual requests to determine
whether or not information may be released. Thus, individuals seeking notification and access to any record
contained in the system of records, or seeking to contest its content, may submit a request in writing to the
DHS/TSA FOIA Officer. Written requests may be submitted to DHS/TSA FOIA Officer, Freedom of Information Act
Office, Transportation Security Administration, TSA-20, 601 South 12th Street, Arlington, VA
20598-6020; or to <i>foia.tsa@dhs.gov.</i> If an individual believes more than one
component maintains Privacy Act records concerning him or her, the individual may submit the request to the
Acting Chief Privacy Officer and Acting Chief Freedom of Information Act Officer, Department of Homeland
Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of
records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first
verify your identity, meaning that you must provide your full name, current address, and date and place of
birth. You must sign your request, and your signature either must be notarized or submitted under 28 U.S.C.
1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization.
While no specific form is required, you may obtain forms for this purpose from the Acting Chief Privacy
Officer and Acting Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or
1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component
agency may have responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your
request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system may be obtained from TSA Pre&#9745; &#0174; Application
Program applicants, the TSC, law enforcement, immigration, and intelligence agency record systems, other
government databases, and other DHS systems. The sources of information in the criminal history records
obtained from the Federal Bureau of Investigation are set forth in the Privacy Act system of records notice
entitled Department of Justice Federal Bureau of Investigation-009 Fingerprint Identification Records
System (72 FR 3410, January 1, 2007).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system will be exempted from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I);
and (f) pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). In addition, to the extent a record contains information
from other exempt systems of records, TSA will rely on the exemptions claimed for those systems. TSA will
publish a notice of proposed rulemaking for exemptions to accompany this system of records notice.
</p></xhtmlContent></subsection></section>
<section id="tsa22" toc="yes">
<systemNumber>/TSA-022</systemNumber>
<subsection type="systemName">National Finance Center Payroll Personnel System (NFC).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Paper records are maintained by the Transportation Security Administration, 601 South 12th Street, Arlington, VA
22202; and at other secure TSA facilities in Reston, Virginia, and Mays Landing, New Jersey. Computerized data is located
at the U.S. Department of Agriculture (USDA), National Finance Center, New Orleans, LA 70129.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of the Transportation Security Administration. Only those individuals employed by
TSA at the time of the migration will have their records transferred to the NFC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>All official personnel actions, basic benefits, pay, cash awards, and leave records of TSA employees. This
includes, but is not limited to, employee information; such as: Name, date of birth, social security number (SSN), home
and mailing addresses, grade, employing organization, salary, pay plan, number of hours worked, overtime, compensatory
time, leave accrual rate, leave usage and balances, Civil Service Retirement and Federal Retirement System contributions,
FICA withholdings, Federal, State, and city tax withholdings, Federal Employee Health Benefits withholdings,
garnishments, savings bonds allotments, union dues withholdings, deductions for Internal Revenue Service levies, court
ordered child support levies, Federal salary offset deductions, and information on the Leave Transfer Program and the
Leave Bank Program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 2302(b)(10), 7311, 7313; E.O. 10450 (18 FR 2489, Apr. 29, 1953), 3 CFR, 1949-1953 Comp., p.
936; 5 CFR 731.103.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Records are maintained to control and facilitate payment of salaries and benefits to TSA civilian employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the Merit Systems Protection Board, the Office of Special Counsel, the Equal Employment Opportunity
Commission, the Social Security Administration, the Office of Personnel Management, the Department of Labor, the
Department of Treasury, the Internal Revenue Service, or the Federal Labor Relations Authority, in connection with
functions vested in those agencies.
</p><p>(2) To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges,
or other decisionmakers in proceedings under grievance procedures, Equal Employment Opportunity procedures, Merit Systems
Protection Board, or similar procedures.
</p><p>(3) To contractors, grantees, experts, consultants, or volunteers, when necessary, to perform a function or service
related to this system of records for which they have been engaged. Such recipients are required to comply with the
Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>(4) To the Department of Justice (DOJ) or other Federal agency for purposes of conducting litigation or proceedings
before any court, adjudicative, or administrative body when--
</p><p>(a) DHS; or
</p><p>(b) Any employee of DHS in his/her official capacity; or
</p><p>(c) Any employee of DHS in his/her individual capacity, where DOJ or DHS has agreed to represent the employee; or
</p><p>(d) The United States or any agency thereof, is a party to the litigation or proceeding, or has an interest in such
litigation or proceeding.
</p><p>(5) To the appropriate Federal, State, local, tribal, territorial, foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order; where TSA becomes aware of
an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(6) To a Federal, State, local, tribal, territorial, foreign, or international agency, where such agency has requested
information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance,
license, contract, grant, or other benefit.
</p><p>(7) To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary, to obtain
information relevant to a TSA decision concerning the hiring or retention of an employee, the issuance of a security
clearance, license, contract, grant, or other benefit.
</p><p>(8) To the Office of Management and Budget in connection with private relief legislation.
</p><p>(9) To a Federal, State, or local agency so that the agency may adjudicate an individual’s eligibility for a benefit.
</p><p>(10) To the Office of Federal Employee’s Group Life Insurance to support a claim for life insurance benefits.
</p><p>(11) To Federal, State, and local taxing authorities as required by law.
</p><p>(12) To the Civil Service Retirement System to report earnings for members of that system.
</p><p>(13) To courts to report earnings when garnishments are served, or in bankruptcy or wage earner proceedings.
</p><p>(14) To financial institutions and employee organizations to transmit payroll deduction information.
</p><p>(15) To officials of labor organizations as to the identity of employees contributing union dues each pay period, and
the amount of dues withheld from each employee.
</p><p>(16) To multi-employer health and welfare and pension funds, as reasonably necessary and appropriate, for proper
administration of the plan of benefits.
</p><p>(17) To the Federal, State, or local agencies for use in locating individuals and identifying their income sources to
establish paternity, establish and modify orders of support, and for enforcement action.
</p><p>(18) To the Office of Child Support Enforcement for the release to the Social Security Administration of verifying
social security numbers, in connection with the operation of the Federal Parent Locator System.
</p><p>(19) To Federal agencies as a data source for management information through he production of summary descriptive
statistics and analytical studies, in support of the functions for which the records are maintained for related studies.
</p><p>(20) To the Combined Federal Campaign in connection with payroll deductions for charitable purposes.
</p><p>(21) To requesting agencies or non-Federal entities under approved computer matching efforts to improve program
integrity, and to collect debts and other money owed under those programs (<i>e.g.</i>, matching for delinquent loans or
other indebtedness to the Government). Computer matching efforts are limited only to those data elements considered
relevant to making a determination of eligibility under particular benefit programs administered by those agencies or
entities, or by the Department of Treasury, or any constituent unit of the Department.
</p><p>(22) 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.
</p><p>(23) To the National Archives and Records Administration, or other appropriate Federal agency, in records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>(24) To the Department of Justice, United States Attorney’s Office, or other Federal agencies, for further collection
action on any delinquent debt when circumstances warrant.
</p><p>(25) To a debt collection agency for the purpose of debt collection.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be disclosed pursuant to 5 U.S.C. 552a (b)(12) and section 3 of the Debt Collection
Act of 1982, Pub. L. 97-365. Debt information concerning a Government claim against an individual is also furnished
to consumer agencies in order to encourage repayment of an overdue debt. Disclosures may be made to a consumer reporting
agency as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f); or the Federal Claims Collection Act of 1966, 31
U.S.C. 701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, in official personnel folders, located at TSA and its approved
storage sites. Computerized records are stored on an IBM z900 mainframe, with an IBM Shark RAID DASD system, for direct
access storage; and in STK 9840 tape silos for long-term data storage, which resides at the NFC.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by the individual’s name or SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The National Finance Center is located in a secured Federal complex. Within this secured building, the Computer
Operations Center is located in a controlled access room. Specific employees have been identified as system and database
administrators having specific responsibilities allowing access to TSA personnel and payroll data. Security is embedded
within the software in both the operating system and at the application level. Individuals not granted access rights
cannot view or change data. The database is monitored by software applications that provide audits of log-ins, both
successful and failed.
</p><p>Output documents from the system are maintained as hard copy documents by TSA and are safeguarded in secured cabinets
within secured rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Some records are retained and disposed of in accordance with the National Archives and Records Administration’s
General Records Schedule 1 (Civilian Personnel Records). Other records are retained and disposed of in accordance with
General Records Schedule 2 (Payrolling and Pay Administration Records).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The TSA and the USDA National Finance Center share responsibility for system management. The first point of
contact is the Director, Human Resources IT and Decision Support, TSA-21, Transportation Security Administration
(TSA), 601 South 12th Street, Arlington, VA 22202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedures"  above. Provide your full name and a description of information that you seek,
including the time frame during which you may have generated the records. Individuals requesting access must comply with
the Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure"  and "Record Access Procedure,"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in the system is obtained from the USDA National Finance Center Payroll/Personnel System,
the employee’s supervisors, and the employee.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="tsa23" toc="yes">
<systemNumber>/TSA-023</systemNumber>
<subsection type="systemName">Transportation Security Administration Workplace Violence Prevention Program System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at TSA Headquarters in Arlington, Virginia and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: Current and former employees and contractors of TSA and
members of the public who have been involved in workplace violence at TSA facilities, or while on or because of their
official duty, or who are being or have been assisted or counseled by their Workplace Violence Prevention Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s full name;
</p><p>&#149; Date of birth;
</p><p>&#149; Social Security number;
</p><p>&#149; Work and home address;
</p><p>&#149; Work, home and cell numbers;
</p><p>&#149; Job title, duty station and work shift;
</p><p>&#149; Leave and attendance records;
</p><p>&#149; Performance records;
</p><p>&#149; Supervisor’s name and contact information;
</p><p>&#149; Investigative reports including:
</p><p>&#9675; Documentation of alleged inappropriate behavior;
</p><p>&#9675; Video or audio recordings; or
</p><p>&#9675; Photographs;
</p><p>&#9675; Court records;
</p><p>&#9675; Documentation of management or local assessment and response team actions.
</p><p>&#149; Medical or mental health records including:
</p><p>&#9675; Evaluations or reports;
</p><p>&#9675; Attendance at treatment or counseling programs; or
</p><p>&#9675; Substance abuse records and prognosis.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 44 U.S.C. 3101; Aviation and Transportation Security Act, Public Law 107-71; 5 U.S.C. 7361,
7362, 7901, 7904; 42 U.S.C. 290dd-2; Executive Order 9397; and Executive Order 12564.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This record system will maintain information gathered by and in the possession of the Workplace Violence
Prevention Program, an internal TSA program designed to prevent and respond to workplace violence.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p> Records of identity, diagnosis, prognosis, or treatment of any client/patient, irrespective of whether
or when he/she ceases to be a client/patient, maintained in connection with the performance of any alcohol or drug abuse
prevention and treatment function conducted, regulated or directly or indirectly assisted by any department or agency of
the United States, shall, except as provided therein, be confidential and be disclosed only for the purposes and under
the circumstances expressly authorized in 42 U.S.C. 290dd-2. This statute takes precedence over the Privacy Act of
1974 in regard to accessibility of such records except to the individual to whom the record pertains. The routine uses
listed below do not apply to these types of records.
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the
litigation, and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent
the employee; or
</p><p>4. The United States or any agency thereof, and DHS determines that the records are both relevant and necessary to the
litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>E. To appropriate state and local authorities to report, under state law, incidents of suspected child abuse or
neglect to the extent described under 42 CFR 2.12.
</p><p>F. To any individual or entity, including medical or mental health personnel or law enforcement, when an individual
poses a risk of harm to himself/herself or others, or when relevant to medical or mental health counseling, treatment or
evaluation.
</p><p>G. To the appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws.
</p><p>H. To designated officers and employees of federal, state, local, or international agencies in connection with the
hiring or continued employment of an individual, the conduct of a suitability or security investigation of an individual,
the grant, renewal, suspension, or revocation of a security clearance, or the certification of security clearances, to
the extent that DHS determines the information is relevant and necessary to the agency’s decision.
</p><p>I. To airport operators, aircraft operators, maritime and surface transportation operators, indirect air carriers, and
other facility operators on individuals who are their employees, prospective employees (job applicants), contractors, or
persons to whom they issue identification credentials or grant clearances to secured areas in transportation facilities
when relevant to such employment, application, contract, or the issuance of such credentials or clearances.
</p><p>J. To a court, magistrate, or administrative tribunal where a federal agency is a party to the litigation or
administrative proceeding in the course of presenting evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations, or in connection with criminal law proceedings.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information except to the extent it is determined that
release of the specific information in the context of a particular case would constitute an unwarranted invasion of
personal privacy or a risk to transportation or national security.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records may be maintained on paper, audio and video recordings, and in computer-accessible storage media. Records
may also be stored on microfiche and roll microfilm. Records that are sensitive or classified are safeguarded in
accordance with agency procedures, and applicable Executive Orders and statutes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data may be retrieved by an individual’s name, social security number, date of birth, and/or other personal
identifier related to his/her specific case.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising
the information that is being stored. Access to the computer system containing the records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Department is proposing to retain records for seven years after administrative action has been taken. Records
associated with this system will be maintained until the National Archives and Records Administration has approved the
proposed records disposition schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Program Manager, National Workplace Violence Prevention, TSA-18, Transportation Security Administration,
601 S. 12th St., Arlington, VA 20598-6018.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, TSA will consider individual requests to
determine whether or not information may be released. Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content, may submit a request in writing to the TSA FOIA
Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records, your request must conform with the Privacy Act
regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name,
current address and date and place of birth. You must sign your request, and your signature must either be notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer
and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition
you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure" above. Provide your full name and a description of information that
you seek, including the time frame during which the record(s) may have been generated. Individuals requesting access must
comply with the Department of Homeland Security Privacy Act regulations on verification of identity (6 CFR 5.21(d)).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure" and "Record Access Procedure," above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates from personnel seeking assistance, TSA and its offices, counselors, treatment facilities,
and coworkers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted portions of this system from the following provisions of the
Privacy Act, subject to the limitations set forth in (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="uscis1" toc="yes">
<systemNumber>/USCIS-001</systemNumber>
<subsection type="systemName">Department of Homeland Security U.S. Citizenship and Immigration Services, Immigration and Customs Enforcement,
Customs and Border Protection--001 Alien File, Index, and National File Tracking System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Alien Files (A-Files) are maintained in electronic and paper format throughout DHS. Digitized A-Files are located in the Enterprise Document Management System (EDMS). The Central Index System (CIS) maintains an index of the key personally identifiable information (PII) in the A-File, which can be used to retrieve additional information through such applications as Enterprise Citizenship and Immigrations Services Centralized Operational Repository (eCISCOR), the Person Centric Query Service (PCQS) and the Microfilm Digitization Application System (MiDAS). The National File Tracking System (NFTS) provides a tracking system of where the A-Files are physically located, including whether the file has been digitized.
</p><p>The databases maintaining the above information are located within the DHS data center in the Washington, DC metropolitan area as well as throughout the country. Computer terminals providing electronic access are located at U.S. Citizenship and Immigration Services (USCIS) sites at Headquarters and in the Field throughout the United States and at appropriate facilities under the jurisdiction of the U.S. Department of Homeland Security (DHS) and other locations at which officers of DHS component agencies may be posted or operate to facilitate DHS’s mission of homeland security. Hard copies of the A-Files are primarily located at the records centers in Lee Summit, Missouri; Suitland, Maryland; San Bruno, California; Seattle, Washington; and Dayton, Ohio. Hard copies may also be located at Headquarters, Regional, District, and other USCIS file control offices in the United States and foreign countries as detailed on the agency’s Web site, <i>http://www.USCIS.gov</i>. Hard copies may also be located at the offices and facilities of U.S. Immigration and Customs Enforcement (ICE) and U.S. Customs and Border Protection (CBP).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>&#149; Lawful permanent residents;
</p><p>&#149; Naturalized U.S. citizens;
</p><p>&#149; U.S. citizens when petitioning for benefits under the Immigration and Nationality Act (INA) on behalf of another individual;
</p><p>&#149; Individuals who receive or petition for benefits under the INA, and;
</p><p>&#149; Individuals who are subject to the enforcement provisions of the INA;
</p><p>&#149; Individuals who are subject to the INA and:
</p><p>&#9675; Are under investigation by DHS for possible national security threats or threats to the public safety,
</p><p>&#9675; were investigated by DHS in the past,
</p><p>&#9675; are suspected of violating immigration-related criminal or civil provisions of treaties, statutes, regulations, Executive Orders, and Presidential proclamations administered by DHS, or
</p><p>&#9675; are witnesses and informants having knowledge of such violations;
</p><p>&#149; Relatives and associates of any of the individuals listed above who are subject to the INA;
</p><p>&#149; Individuals who have renounced their U.S. Citizenship; or
</p><p>&#149; Preparers, attorneys, and representatives who assist individuals during benefit and enforcement proceedings under the INA.
</p><p>Note: Individuals may fall within one or more of these categories.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A. The hardcopy paper A-File, which contains the official record material about each individual for whom DHS has created a record under the INA such as: naturalization certificates; various documents and attachments (e.g., birth and marriage certificates); applications and petitions for benefits under the immigration and nationality laws; reports of arrests and investigations; statements; other reports; records of proceedings before or filings made with the U.S. immigration courts and any administrative or federal district court or court of appeal; correspondence; and memoranda. Specific data elements may include:
</p><p>&#149; Alien Registration Number(s) (A-Numbers);
</p><p>&#149; Receipt file number(s);
</p><p>&#149; Full name and any aliases used;
</p><p>&#149; Physical and mailing addresses;
</p><p>&#149; Phone numbers and email addresses;
</p><p>&#149; Social Security Number (SSN);
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth (city, state, and country);
</p><p>&#149; Countries of citizenship;
</p><p>&#149; Gender;
</p><p>&#149; Physical characteristics (height, weight, race, eye and hair color, photographs, fingerprints);
</p><p>&#149; Government-issued identification information (i.e., passport, driver’s license):
</p><p>&#9675; Document type,
</p><p>&#9675; issuing organization,
</p><p>&#9675; document number, and
</p><p>&#9675; expiration date;
</p><p>&#149; Military membership;
</p><p>&#149; Arrival/Departure information (record number, expiration date, class of admission, etc.);
</p><p>&#149; Federal Bureau of Investigation (FBI) Identification Number;
</p><p>&#149; Fingerprint Identification Number;
</p><p>&#149; Immigration enforcement history, including arrests and charges, immigration proceedings and appeals, and dispositions including removals or voluntary departures;
</p><p>&#149; Immigration status;
</p><p>&#149; Family history;
</p><p>&#149; Travel history;
</p><p>&#149; Education history;
</p><p>&#149; Employment history;
</p><p>&#149; Criminal history;
</p><p>&#149; Professional accreditation information;
</p><p>&#149; Medical information relevant to an individual’s application for benefits under the INA before DHS or the immigration court, an individual’s removability from and/or admissibility to the United States, or an individual’s competency before the immigration court;
</p><p>&#149; Specific benefit eligibility information as required by the benefit being sought; and
</p><p>&#149; Video or transcript of immigration interview.
</p><p>B. EDMS maintains the electronic copy of the A-File (same information as above with the exception of material that cannot be scanned such as cassette tapes, CDs, or DVDs) if it was scanned from the paper file.
</p><p>C. CIS contains information on those individuals who during their interactions with DHS have been assigned an A-Number. The system contains biographic information on those individuals, allowing DHS employees to quickly review the individual’s immigration status. The information in the system can then be used to retrieve additional information on the individual from other systems. The information in the system can be used to request the hard copy A-File from the DHS File Control Office that has custody of the file. Specific data elements may include:
</p><p>&#149; A-Number(s);
</p><p>&#149; Full name and any aliases used;
</p><p>&#149; SSN;
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth (city, state, and country);
</p><p>&#149; Country of citizenship;
</p><p>&#149; Gender;
</p><p>&#149; Government issued identification information (i.e., passport, driver’s license):
</p><p>&#9675; Document type,
</p><p>&#9675; issuing organization,
</p><p>&#9675; document number, and
</p><p>&#9675; expiration date;
</p><p>&#149; Arrival/Departure information (record number, expiration date, class of admission etc.);
</p><p>&#149; Immigration status;
</p><p>&#149; Father and Mother’s first name;
</p><p>&#149; FBI Identification Number;
</p><p>&#149; Fingerprint Identification Number;
</p><p>&#149; Immigration enforcement history, including arrests and charges, immigration proceedings and appeals, and dispositions including removals or voluntary departures; and
</p><p>&#149; File Control Office location of the paper or electronic A-File.
</p><p>D. NFTS contains the location of the A-File to a more detailed level within the DHS File Control Office. Specific data elements include:
</p><p>&#149; A-Number(s);
</p><p>&#149; Receipt File Number; and
</p><p>&#149; Location of the paper or electronic A-File and Receipt File at and within the DHS File Control Office, as well as the history of who has maintained the A-File, including the component, section, and employee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintaining this system is in Sections 103 and 290 of the INA, as amended (8 U.S.C. 1103 and 1360), and the regulations issued pursuant thereto; and Section 451 of the Homeland Security Act of 2002 (Pub. L. 107-296), codified at 6 U.S.C. 271.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the A-File is to facilitate the enforcement and provision of benefits under the INA and related statutes. A-Files, EDMS, CIS, and NFTS are used primarily by DHS employees for immigration benefits processing, protection of national security, and administering and enforcing immigration and nationality laws and related statutes.
</p><p>The purpose of the A-File is to document an individual’s benefits and enforcement transactions as he/she passes through the U.S. immigration and inspection process.
</p><p>The purpose of CIS is to provide a searchable central index of A-Files and to support the location and transfer of A-Files among DHS personnel and offices as needed in support of immigration benefits and enforcement actions.
</p><p>The purpose of NFTS is to accurately account for the specific physical location of A-Files and Receipt Files within a DHS File Control Office, and to track the request and transfer of all A-Files and Receipt Files.
</p><p>These records assist DHS with processing applications for benefits under applicable immigration laws; detecting violations of these laws; supporting the referral of such violations for prosecution or other appropriate enforcement action; supporting law enforcement efforts and the inspection process; and supporting protection of the United States borders.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note: Even when a valid routine use permits disclosure of information from this system of records to a third party, in some cases such disclosure may not be permissible because of confidentiality laws and policies that limit the sharing of information about the application for, or award of certain immigration benefits. For example, information in this system of records contained in or pertaining to applications for asylum or refugee protection, information relating to persons who have pending or approved petitions for protection under the Violence Against Women Act (VAWA), Seasonal Agricultural Worker or Legalization claims, the Temporary Protected Status of an individual, and information relating to S, T, or U visas should not be disclosed pursuant to a routine use unless disclosure is otherwise permissible under the confidentiality statutes, regulations, or policies applicable to that information. However, these confidentiality provisions do not prevent DHS from disclosing information to the U.S. Department of Justice and Offices of the United States Attorneys as part of an ongoing criminal or civil investigation.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U. S. Attorneys’ Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary or relevant to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity when DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or General Services Administration pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization, 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations.
</p><p>H. To appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, when DHS believes the information would assist in enforcing applicable civil or criminal laws.
</p><p>I. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation.
</p><p>J. To an organization or person in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or when the information is relevant to the protection of life, property, or other vital interests of a person.
</p><p>K. To clerks and judges of courts exercising naturalization jurisdiction for the purpose of granting or revoking naturalization.
</p><p>L. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of immigration, civil, or criminal proceedings before a court or adjudicative body when it is necessary or relevant to the litigation or proceeding and the following is a party to the proceeding or has an interest in the proceeding:
</p><p>1. DHS or any component thereof; or
</p><p>2. Any employee of DHS in his or her official capacity; or
</p><p>3. Any employee of DHS in his or her individual capacity when the DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>M. To an attorney or representative (as defined in 8 CFR 1.2) who is acting on behalf of an individual covered by this system of records in connection with any proceeding before USCIS, ICE, or CBP or the Executive Office for Immigration Review, as required by law or as deemed necessary in the discretion of the Department.
</p><p>N. To DOJ (including Offices of the United States Attorneys) or other federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when necessary to assist in the development of such agency’s legal and/or policy position.
</p><p>O. To the Department of State in the processing of petitions or applications for benefits under the INA, and all other immigration and nationality laws including treaties and reciprocal agreements; or when the Department of State requires information to consider and/or provide an informed response to a request for information from a foreign, international, or intergovernmental agency, authority, or organization about an alien or an enforcement operation with transnational implications.
</p><p>P. To appropriate federal, state, local, tribal, territorial, or foreign governments, as well as to other individuals and organizations during the course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or during a proceeding within the purview of the immigration and nationality laws, when DHS deems that such disclosure is necessary to carry out its functions and statutory mandates.
</p><p>Q. To an appropriate federal, state, tribal, territorial, local, or foreign government agency or organization, or international organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or charged with investigating, prosecuting, enforcing, or implementing civil or criminal laws, related rules, regulations, or orders, to enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement intelligence and the disclosure is appropriate to the proper performance of the official duties of the person receiving the information.
</p><p>R. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if the information is relevant to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.
</p><p>S. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if DHS determines: (1) The information is relevant and necessary to that agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit; and (2) Failure to disclose the information is likely to create a substantial risk to government facilities, equipment, or personnel; sensitive information; critical infrastructure; or public safety.
</p><p>T. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to, or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk.
</p><p>U. To an individual’s current employer to the extent necessary to determine employment eligibility or to a prospective employer or government agency to verify whether an individual is eligible for a government-issued credential that is a condition of employment.
</p><p>V. To a former employee of DHS, 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 when DHS requires information or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility.
</p><p>W. 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 at any stage of the legislative coordination and clearance process as set forth in the Circular.
</p><p>X. To the U.S. Senate Committee on the Judiciary or the U.S. House of Representatives Committee on the Judiciary when necessary to inform members of Congress about an alien who is being considered for private immigration relief.
</p><p>Y. To a federal, state, tribal, or local government agency and/or to domestic courts to assist such agencies in collecting the repayment of loans, or fraudulently or erroneously secured benefits, grants, or other debts owed to them or to the United States Government, or to obtain information that may assist DHS in collecting debts owed to the United States Government.
</p><p>Z. To an individual or entity seeking to post or arrange, or who has already posted or arranged, an immigration bond for an alien, to aid the individual or entity in (1) identifying the location of the alien; (2) posting the bond; (3) obtaining payments related to the bond; or (4) conducting other administrative or financial management activities related to the bond.
</p><p>AA. To a coroner for purposes of affirmatively identifying a deceased individual (whether or not such individual is deceased as a result of a crime).
</p><p>BB. Consistent with the requirements of the INA, to the Department of Health and Human Services (HHS), the Centers for Disease Control and Prevention (CDC), or to any state or local health authorities, to:
</p><p>1. Provide proper medical oversight of DHS-designated civil surgeons who perform medical examinations of both arriving aliens and of those requesting status as lawful permanent residents; and
</p><p>2. Ensure that all health issues potentially affecting public health and safety in the United States are being or have been, adequately addressed.
</p><p>CC. To a federal, state, local, tribal, or territorial government agency seeking to verify or ascertain the citizenship or immigration status of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>DD. To the Social Security Administration (SSA) for the purpose of issuing a SSN and card to an alien who has made a request for a SSN as part of the immigration process and in accordance with any related agreements in effect between the SSA, DHS, and the Department of State entered into pursuant to 20 CFR 422.103(b)(3), 422.103(c)(3), and 422.106(a), or other relevant laws and regulations.
</p><p>EE. To federal and foreign government intelligence or counterterrorism agencies or components when DHS becomes aware of an indication of a threat or potential threat to national or international security, or when such use is to conduct national intelligence and security investigations or assist in anti-terrorism efforts.
</p><p>FF. To third parties to facilitate placement or release of an individual (e.g., at a group home, homeless shelter) who has been or is about to be released from DHS custody, but only such information that is relevant and necessary to arrange housing or continuing medical care for the individual.
</p><p>GG. To an appropriate domestic government agency or other appropriate authority for the purpose of providing information about an individual who has been or is about to be released from DHS custody who, due to a condition such as mental illness, may pose a health or safety risk to himself/herself or to the community. DHS will only disclose information about the individual that is relevant to the health or safety risk they may pose and/or the means to mitigate that risk (e.g., the individual’s need to remain on certain medication for a serious mental health condition).
</p><p>HH. To foreign governments for the purpose of coordinating and conducting the removal of individuals to other nations under the INA; and to international, foreign, and intergovernmental agencies, authorities, and organizations in accordance with law and formal or informal international arrangements.
</p><p>II. To a federal, state, local, territorial, tribal, international, or foreign criminal, civil, or regulatory law enforcement authority when the information is necessary for collaboration, coordination, and de-confliction of investigative matters, prosecutions, and/or other law enforcement actions to avoid duplicative or disruptive efforts and to ensure the safety of law enforcement officers who may be working on related law enforcement matters.
</p><p>JJ. To the DOJ Federal Bureau of Prisons and other federal, state, local, territorial, tribal, and foreign law enforcement or custodial agencies for the purpose of placing an immigration detainer on an individual in that agency’s custody, or to facilitate the transfer of custody of an individual from DHS to the other agency. This will include the transfer of information about unaccompanied minor children to HHS to facilitate the custodial transfer of such children from DHS to HHS.
</p><p>KK. To federal, state, local, tribal, territorial, or foreign governmental or quasi-governmental agencies or courts to confirm the location, custodial status, removal, or voluntary departure of an alien from the United States, in order to facilitate the recipients’ exercise of responsibilities pertaining to the custody, care, or legal rights (including issuance of a U.S. passport) of the removed individual’s minor children, or the adjudication or collection of child support payments or other debts owed by the removed individual.
</p><p>LL. To a federal, state, tribal, territorial, local, international, or foreign government agency or multilateral governmental organization for the purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.
</p><p>MM. To family members, guardians, committees, friends, or other agents identified by law or regulation to receive notification, decisions, and other papers as provided in 8 CFR 103.8 from the Department of Homeland Security or Executive Office for Immigration Review following verification of a familial or agency relationship with an alien when DHS is aware of indicia of incompetency or when an immigration judge determines an alien is mentally incompetent.
</p><p>NN. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>OO. To domestic governmental agencies seeking to determine the immigration status of persons who have applied to purchase/obtain a firearm in the United States, pursuant to checks conducted on such persons under the Brady Handgun Violence Prevention Act or other applicable laws.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p> 
</p><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Digitized A-Files maintained in EDMS can be searched and retrieved by any of the following fields alone or in any combination:
</p><p>&#149; A-Number;
</p><p>&#149; Last name;
</p><p>&#149; First name;
</p><p>&#149; Middle name;
</p><p>&#149; Aliases;
</p><p>&#149; Date of birth;
</p><p>&#149; Country of birth;
</p><p>&#149; Gender; and
</p><p>&#149; Through a full text-based search of records contained in the digitized A-File (based on optical character recognition of the scanned images).
</p><p>The location of the paper record from which the digitized A-File was produced can be searched in CIS using the following data:
</p><p>&#149; A-Number;
</p><p>&#149; Full name;
</p><p>&#149; Alias;
</p><p>&#149; Sounds-like name with or without date of birth;
</p><p>&#149; Certificate of Citizenship or Naturalization Certificate number;
</p><p>&#149; Driver’s License Number;
</p><p>&#149; FBI Identification Number;
</p><p>&#149; Fingerprint Identification Number;
</p><p>&#149; I-94 admission number;
</p><p>&#149; Passport number;
</p><p>&#149; SSN; or
</p><p>&#149; Travel document number.
</p><p>The location of the paper or digitized record A-Files and Receipt Files can be searched in NFTS using the following data:
</p><p>&#149; A-Number; or
</p><p>&#149; Receipt File Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The A-File records are permanent whether hard copy or electronic. A-Files are transferred to the custody of the National Archives 100 years after the individual’s date of birth. Newly-eligible files are transferred to the National Archives every five years. When a paper A-File is digitized, the digitized A-File maintained in EDMS becomes the official record and maintains the same retention schedule as the original paper A-File. The hard copy files are sent to the records center once the records have been digitized.
</p><p>CIS records are permanently retained on-site because they are the index of where the physical A-File is and whether it has been transferred to the National Archives.
</p><p>NFTS records are temporary and deleted when they are no longer needed for agency business. The records exist only as a reference to a physical or digital file, and exist for as long as the referenced file exists. NFTS records associated with an A-File will be retained on a permanent basis even after the A-File has been retired to NARA to retain accurate recordkeeping. Receipt Files with a shorter retention period will have the associated NFTS record destroyed or deleted once the file has been destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The DHS system manager is the Chief, Records Division, U.S. Citizenship and Immigration Services, Department of Homeland Security, 20 Massachusetts Avenue NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it contains classified and sensitive unclassified information related to intelligence, counterterrorism, homeland security, and law enforcement programs. These exemptions apply only to the extent that records in the system are subject to exemption. However, USCIS will consider individual requests to determine whether or not information may be released. Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the USCIS FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "Contacts." When seeking records about yourself from this system of records or any other DHS system of records your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. &#167; 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe DHS would have information on you;
</p><p>&#149; Identify which component(s) of DHS you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic information contained in DHS records is supplied by individuals on Department of State and DHS applications and forms. Other information comes from inquiries or complaints from members of the general public and members of Congress; referrals of inquiries or complaints directed to the President or Secretary of Homeland Security; reports of investigations, sworn statements, correspondence, official reports, memoranda, and written referrals from other entities, including federal, state, and local governments, various courts and regulatory agencies, foreign government agencies, and international organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2): 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (e)(12), (f), (g)(1), and (h). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1) and (k)(2); 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).
</p></xhtmlContent></subsection>
	<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Alien Files (A-Files) are maintained in electronic and paper format throughout DHS. Digitized A-Files are located
in the Enterprise Document Management System (EDMS). The Central Index System (CIS) maintains an index of the key
personally identifiable information (PII) in the A-File which can be used to retrieve additional information through such
applications as Enterprise Citizenship and Immigrations Services Centralized Operational Repository (eCISCOR), the Person
Centric Query Service (PCQS) and the Micorfilm Digitization Application System (MiDAS). The National File Tracking System
(NFTS) provides a tracking system of where the A-Files are physically located, including whether the file has been
digitized.
</p><p>The databases maintaining the above information are located within the DHS data center in the Washington, D.C.
metropolitan area as well as throughout the country. Computer terminals providing electronic access are located at U.S.
Citizenship and Immigration Services (USCIS) sites at Headquarters and in the Field throughout the United States and at
appropriate facilities under the jurisdiction of the U.S. Department of Homeland Security (DHS) and other locations at
which officers of DHS component agencies may be posted or operate to facilitate DHS’s mission of homeland security. Hard
copies of the A-Files are primarily located at the records centers in Lee Summit, Missouri; Suitland, Maryland; San
Bruno, California; Seattle, Washington; and Dayton, Ohio. Hard copies may also be located at Headquarters, Regional,
District, and other USCIS file control offices in the United States and foreign countries as detailed on the agency’s Web
site, <i>http://www.USCIS.gov.</i> Hard copies may also be located at the offices and facilities of U.S. Immigration and
Customs Enforcement (ICE) and U.S. Customs and Border Protection (CBP).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>&#149; Lawful Permanent Residents;
</p><p>&#149; Naturalized United States Citizens;
</p><p>&#149; United States Citizens when petitioning for benefits under the Immigration and Nationality Act (INA) on
behalf of another individual;
</p><p>&#149; Individuals who received or petition for benefits under the INA;
</p><p>&#149; Individuals who are subject to the enforcement provisions of the INA;
</p><p>&#149; Individuals who are subject to the INA and:
</p><p>&#9675; Are under investigation by DHS for possible national security threats or threats to the public safety,
</p><p>&#9675; Were investigated by the DHS in the past,
</p><p>&#9675; Are suspected of violating immigration-related criminal or civil provisions of treaties, statutes,
regulations, Executive Orders, and Presidential proclamations administered by DHS, or
</p><p>&#9675; Are witnesses and informants having knowledge of such violations;
</p><p>&#149; Relatives and associates of those individuals list above who are subject to the INA;
</p><p>&#149; Individuals who have renounced their U.S. Citizenship; or
</p><p>&#149; Preparers, Attorneys, and Representatives who assist individuals during benefit and enforcement
proceedings under the INA.
</p><p><i>Note:</i> Individuals may fall within one or more of these categories.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>A. The hardcopy paper A-File, which contains the official record material about each individual for whom DHS has
created a record under the Immigration and Nationality Act such as: Naturalization certificates; various documents and
attachments (<i>e.g.,</i> birth and marriage certificates); applications and petitions for benefits under the immigration
and nationality laws; reports of arrests and investigations; statements; other reports; records of proceedings before or
filings made with the U.S. immigration courts and any administrative or federal district court or court of appeal;
correspondence; and memoranda. Specific data elements may include:
</p><p>&#149; Alien Registration Number(s) (A-Numbers);
</p><p>&#149; Receipt file number(s);
</p><p>&#149; Full name and any aliases used;
</p><p>&#149; Physical and mailing addresses;
</p><p>&#149; Phone numbers and email addresses;
</p><p>&#149; Social Security Number;
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth (city, state, and country);
</p><p>&#149; Countries of citizenship;
</p><p>&#149; Gender;
</p><p>&#149; Physical characteristics (height, weight, race, eye and hair color, photographs, fingerprints);
</p><p>&#149; Government-issued identification information (<i>i.e.,</i> passport, driver’s license):
</p><p>&#9675; Document type,
</p><p>&#9675; Issuing organization,
</p><p>&#9675; Document number, and
</p><p>&#9675; Expiration date;
</p><p>&#149; Military membership;
</p><p>&#149; Arrival/Departure information (record number, expiration date, class of admission, etc.);
</p><p>&#149; FBI Identification Number;
</p><p>&#149; Fingerprint Identification Number;
</p><p>&#149; Immigration enforcement history, including arrests and charges, immigration proceedings and appeals, and
dispositions including removals or voluntary departures;
</p><p>&#149; Immigration status;
</p><p>&#149; Family history;
</p><p>&#149; Travel history;
</p><p>&#149; Education history;
</p><p>&#149; Employment history;
</p><p>&#149; Criminal history;
</p><p>&#149; Professional accreditation information;
</p><p>&#149; Medical information relevant to an individual’s application for benefits under the Immigration and
Nationality Act before the Department or the immigration court, an individual’s removability from and/or admissibility to
the United States, or an individual’s competency before the immigration court;
</p><p>&#149; Specific benefit eligibility information as required by the benefit being sought; and
</p><p>&#149; Video or transcript of immigration interview.
</p><p>B. EDMS maintains the electronic copy of the A-File (same information as above with the exception of material that
cannot be scanned such as cassette tapes, CDs, or DVDs) if it was scanned from the paper file.
</p><p>C. CIS contains information on those individuals who during their interactions with DHS have been assigned an A-
Number. The system contains biographic information on those individuals allowing DHS employees to quickly review the
individual’s immigration status. The information in the system can then be used to retrieve additional information on the
individual from other systems. The information in the system can be used to request the hard copy A-File from the DHS
File Control Office that has custody of the file. Specific data elements may include:
</p><p>&#149; A-Number(s);
</p><p>&#149; Full name and any aliases used;
</p><p>&#149; Social Security Number;
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth (city, state, and country);
</p><p>&#149; Country of citizenship;
</p><p>&#149; Gender;
</p><p>&#149; Government issued identification information (<i>i.e.,</i> passport, driver’s license):
</p><p>&#9675; Document type;
</p><p>&#9675; Issuing organization;
</p><p>&#9675; Document number; and
</p><p>&#9675; Expiration date;
</p><p>&#149; Arrival/Departure information (record number, expiration date, class of admission etc.);
</p><p>&#149; Immigration status;
</p><p>&#149; Father and Mother’s first name;
</p><p>&#149; FBI Identification Number;
</p><p>&#149; Fingerprint Identification Number;
</p><p>&#149; Immigration enforcement history, including arrests and charges, immigration proceedings and appeals, and
dispositions including removals or voluntary departures; and
</p><p>&#149; File Control Office location of the paper or electronic A-File.
</p><p>D. NFTS contains the location of the A-File to a more detailed level within the DHS File Control Office. Specific data
elements include:
</p><p>&#149; A-Number(s);
</p><p>&#149; Receipt File Number; and
</p><p>&#149; Location of the paper or electronic A-File and Receipt File at and within the DHS File Control Office, as
well as the history of who has maintained the A-File, including the component, section and employee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintaining this system is in Sections 103 and 290 of the INA, as amended (8 U.S.C. 1103 and 1360),
and the regulations issued pursuant thereto; and Section 451 of the Homeland Security Act of 2002 (Pub. L. 107-
296).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to carry out the provision of benefits under and the enforcement of the
INA and related statutes. A-Files, EDMS, CIS, and NFTS are used primarily by DHS employees for immigration benefits
processing, protection of national security, and administering and enforcing immigration and nationality laws and related
statutes.
</p><p>The purpose of the A-File is to document an individual’s benefits and enforcement transactions as he/she passes
through the U.S. immigration and inspection process.
</p><p>The purpose of CIS is to provide a searchable central index of A-Files and to support the location and transfer of A-
Files among DHS personnel and offices as needed in support of immigration benefits and enforcement transactions.
</p><p>The purpose of NFTS is to accurately account for the specific physical location of A-Files and Receipt Files within a
DHS File Control Office, and to track the request and transfer of all A-Files and Receipt Files.
</p><p>These records assist the Department with processing applications for benefits under applicable immigration laws;
detecting violations of these laws; supporting the referral of such violations for prosecution or other appropriate
enforcement action; supporting law enforcement efforts and the inspection process; and supporting protection of the
United States borders.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p><i>Note:</i> Even when a valid routine use permits disclosure of information from this system of records to a
third party, in some cases such disclosure may not be permissible because of confidentiality laws and policies that limit
the sharing of information about the application for or award of certain immigration benefits. For example, information
in this system of records contained in or pertaining to applications for asylum or refugee protection, information
relating to persons who have pending or approved petitions for protection under the Violence Against Women Act (VAWA),
Seasonal Agricultural Worker or Legalization claims, the Temporary Protected Status of an individual, and information
relating to S, T, or U visas should not be disclosed pursuant to a routine use unless disclosure is otherwise permissible
under the confidentiality statutes, regulations, or policies applicable to that information. However, these
confidentiality provisions do not prevent DHS from disclosing information to the U.S. Department of Justice and United
States Attorneys’ Offices as part of an ongoing criminal or civil investigation.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of
the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3).
</p><p><i>Routine uses, to include disclosures:</i>
</p><p>A. To the Department of Justice (including United States Attorneys’ Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, organizations, and individuals when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individuals who rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors and their agents, grantees, experts, consultants, interns, trainees, students, and others performing
or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and
employees.
</p><p>G. To appropriate federal, state, tribal, territorial, local, international, or foreign law enforcement agencies or
other appropriate authorities charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To clerks and judges of courts exercising naturalization jurisdiction for the purpose of filing petitions for
naturalization and to enable such courts to determine eligibility for naturalization or grounds for revocation of
naturalization.
</p><p>I. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of
immigration, civil, or criminal proceedings before a court or adjudicative body when:
</p><p>1. DHS or any component thereof; or
</p><p>2. Any employee of DHS in his or her official capacity; or
</p><p>3. Any employee of DHS in his or her individual capacity where the agency has agreed to represent the employee; or
</p><p>4. The United States, where DHS determines that litigation is likely to affect DHS or any of its components;
</p><p>Is a party to litigation or has an interest in such litigation, and DHS determines that use of such records is
relevant and necessary to the litigation, and that in each case, DHS determines that disclosure of the information to the
recipient is a use of the information that is compatible with the purpose for which it was collected.
</p><p>J. To an attorney or representative (as defined in 8 CFR 1.1(j)) who is acting on behalf of an individual covered by
this system of records in connection with any proceeding before USCIS, ICE, or CBP or the Executive Office for
Immigration Review.
</p><p>K. To the Department of Justice (including United States Attorneys’ Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, where necessary to assist in the
development of such agency’s legal and/or policy position.
</p><p>L. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements; or when the
Department of State requires information to consider and/or provide an informed response to a request for information
from a foreign, international, or intergovernmental agency, authority, or organization about an alien or an enforcement
operation with transnational implications.
</p><p>M. To appropriate federal, state, local, tribal, territorial, or foreign governments, as well as to other individuals
and organizations during the course of an investigation by DHS or the processing of a matter under DHS’ jurisdiction, or
during a proceeding within the purview of the immigration and nationality laws, when DHS deems that such disclosure is
necessary to carry out its functions and statutory mandates to elicit information required by DHS to carry out its
functions and statutory mandates.
</p><p>N. To an appropriate federal, state, tribal, territorial, local, or foreign government agency or organization, or
international organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or
charged with investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or
orders, to enable these entities to carry out their law enforcement responsibilities, including the collection of law
enforcement intelligence and the disclosure is appropriate to the proper performance of the official duties of the person
receiving the information.
</p><p>O. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other
benefit.
</p><p>P. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if DHS determines
(1) The information is relevant and necessary to that agency’s decision concerning the hiring or retention of an
individual, or issuance of a security clearance, license, contract, grant, or other benefit, and (2) failure to disclose
the information is likely to create a risk to government facilities, equipment, or personnel; sensitive information;
critical infrastructure; or the public safety.
</p><p>Q. To an individual’s current employer to the extent necessary to determine employment eligibility or to a prospective
employer or government agency to verify an individual is eligible for a government-issued credential that is a condition
of employment.
</p><p>R. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>S. 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 at any stage of the legislative coordination and clearance process as set forth in the
Circular.
</p><p>T. To the U.S. Senate Committee on the Judiciary or the U.S. House of Representatives Committee on the Judiciary when
necessary to inform members of Congress about an alien who is being considered for private immigration relief.
</p><p>U. To a federal, state, tribal, or local government agency and/or to domestic courts to assist such agencies in
collecting the repayment of loans, or fraudulently or erroneously secured benefits, grants, or other debts owed to them
or to the United States Government, or to obtain information that may assist DHS in collecting debts owed to the United
States Government;
</p><p>V. To an individual or entity seeking to post or arrange, or who has already posted or arranged, an immigration bond
for an alien to aid the individual or entity in (1) Identifying the location of the alien, or (2) posting the bond,
obtaining payments related to the bond, or conducting other administrative or financial management activities related to
the bond.
</p><p>W. To a coroner for purposes of affirmatively identifying a deceased individual (whether or not such individual is
deceased as a result of a crime).
</p><p>X. Consistent with the requirements of the INA, to the Department of Health and Human Services (HHS), the Centers for
Disease Control and Prevention (CDC), or to any state or local health authorities, to:
</p><p>1. Provide proper medical oversight of DHS-designated civil surgeons who perform medical examinations of both arriving
aliens and of those requesting status as a lawful permanent resident; and
</p><p>2. Ensure that all health issues potentially affecting public health and safety in the United States are being or have
been, adequately addressed.
</p><p>Y. To a federal, state, local, tribal, or territorial government agency seeking to verify or ascertain the citizenship
or immigration status of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>Z. To the Social Security Administration (SSA) for the purpose of issuing a SSN and card to an alien who has made a
request for a SSN as part of the immigration process and in accordance with any related agreements in effect between the
SSA, DHS and the Department of State entered into pursuant to 20 CFR 422.103(b)(3); 422.103(c); and 422.106(a), or other
relevant laws and regulations.
</p><p>AA. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or where such use is to conduct
national intelligence and security investigations or assist in anti-terrorism efforts.
</p><p>BB. To third parties to facilitate placement or release of an individual (<i>e.g.,</i> at a group home, homeless
shelter, etc.) who has been or is about to be released from DHS custody but only such information that is relevant and
necessary to arrange housing or continuing medical care for the individual.
</p><p>CC. To an appropriate domestic government agency or other appropriate authority for the purpose of providing
information about an individual who has been or is about to be released from DHS custody who, due to a condition such as
mental illness, may pose a health or safety risk to himself/herself or to the community. ICE will only disclose
information about the individual that is relevant to the health or safety risk they may pose and/or the means to mitigate
that risk (<i>e.g.,</i> the individual’s need to remain on certain medication for a serious mental health condition).
</p><p>DD. To foreign governments for the purpose of coordinating and conducting the removal of individuals to other nations
under the INA; and to international, foreign, and intergovernmental agencies, authorities, and organizations in
accordance with law and formal or informal international arrangements.
</p><p>EE. To a federal, state, local, territorial, tribal, international, or foreign criminal, civil, or regulatory law
enforcement authority when the information is necessary for collaboration, coordination and de-confliction of
investigative matters, prosecutions, and/or other law enforcement actions to avoid duplicative or disruptive efforts and
to ensure the safety of law enforcement officers who may be working on related law enforcement matters.
</p><p>FF. To the DOJ Federal Bureau of Prisons and other federal, state, local, territorial, tribal and foreign law
enforcement or custodial agencies for the purpose of placing an immigration detainer on an individual in that agency’s
custody, or to facilitate the transfer of custody of an individual from DHS to the other agency. This will include the
transfer of information about unaccompanied minor children to HHS to facilitate the custodial transfer of such children
from DHS to HHS.
</p><p>GG. To federal, state, local, tribal, territorial, or foreign governmental or quasi-governmental agencies or courts to
confirm the location, custodial status, removal or voluntary departure of an alien from the United States, in order to
facilitate the recipients’ exercise of responsibilities pertaining to the custody, care, or legal rights (including
issuance of a U.S. passport) of the removed individual’s minor children, or the adjudication or collection of child
support payments or other debts owed by the removed individual.
</p><p>HH. To a federal, state, tribal, territorial, local, international, or foreign government agency or entity for the
purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an
individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity
of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose
of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another
individual.
</p><p>II. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel,
when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on paper, magnetic disc, tape, CD-ROM, DVD, and other digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Digitized A-Files maintained in EDMS can be searched and retrieved by any of the following fields alone or
in any combination:
</p><p>&#149; A-Number;
</p><p>&#149; Last name;
</p><p>&#149; First name;
</p><p>&#149; Middle name;
</p><p>&#149; Aliases;
</p><p>&#149; Date of birth;
</p><p>&#149; Country of birth;
</p><p>&#149; Gender; and
</p><p>&#149; Through a full text-based search of records contained in the digitized A-File (based on optical
character recognition of the scanned images).
</p><p>The location of the paper record from which the digitized A-Files was produced can be searched in CIS using the
following data:
</p><p>&#149; A-Number; or
</p><p>&#149; Full name; or
</p><p>&#149; Alias; or
</p><p>&#149; Sounds-like name with or without date of birth; or
</p><p>&#149; Certificate of Citizenship or Naturalization Certificate number; or
</p><p>&#149; Driver’s License Number; or
</p><p>&#149; FBI Identification Number; or
</p><p>&#149; Fingerprint Identification Number; or
</p><p>&#149; I-94 admission number; or
</p><p>&#149; Passport number; or
</p><p>&#149; Social Security Number; or
</p><p>&#149; Travel document number.
</p><p>The location of the paper or digitized record A-Files and Receipt Files can be searched in NFTS using the
following data:
</p><p>&#149; A-Number; or
</p><p>&#149; Receipt File Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict physical and technical controls have been imposed to minimize
the risk of compromising the information that is being stored. Access to the hard copy records and computer systems
containing the records in this system is limited to those individuals who have a need to know the information for the
performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The A-File records are permanent whether hard copy or electronic. A-Files are transferred to the
custody of the National Archives 100 years after the individual’s date of birth. Newly-eligible files are transferred to
the National Archives every five years. When a paper A-File is digitized, the digitized A-File maintained in
EDMS becomes the official record and maintains the same retention schedule as the original paper A-File. The hard
copy files are sent to the records center once the records have been digitized.
</p><p>CIS records are permanently retained on-site because they are the index of where the physical A-File is and
whether it has been transferred to the National Archives.
</p><p>NFTS records are temporary and deleted when they are no longer needed for agency business. The records exist only as a
reference to a physical or digital file, and exist for as long as the referenced file exists. NFTS records associated
with an A-File will be retained on a permanent basis even after the A-File has been retired to NARA to retain
accurate recordkeeping. Receipt Files with a shorter retention period will have the associated NFTS record destroyed or
deleted once the file has been destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The DHS system manager is the Chief, Records Division, U.S. Citizenship and Immigration Services, Department of
Homeland Security, U.S. Citizenship and Immigration Services, 20 Massachusetts Avenue, NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it contains classified and sensitive unclassified information related to
intelligence, counterterrorism, homeland security, and law enforcement programs. These exemptions apply only to the
extent that records in the system are subject to exemption. However, USCIS will consider individual requests to determine
whether or not information may be released. Individuals must request access to their information by submitting a Freedom
of Information (FOIA) or Privacy Act request to USCIS in writing clearly marked "Privacy Act Request" or
"FOIA Request" to the following address: National Records Center, U.S. Citizenship and Immigration Services,
FOIA/PA Office, P.O. Box 64064-8010, Lee’s Summit, MO 64064-8010.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, which permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this
purpose from the Chief FOIA Officer, <i>http://www.dhs.gov/FOIA</i> or 1-866-431-0486. In addition you
should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information, USCIS may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic information contained in DHS records is supplied by individuals on Department of State and DHS applications
and forms. Other information comes from inquiries or complaints from members of the general public and members of
Congress; referrals of inquiries or complaints directed to the President or Secretary of Homeland Security; reports of
investigations, sworn statements, correspondence, official reports, memoranda, and written referrals from other entities,
including federal, state, and local governments, various courts and regulatory agencies, foreign government agencies and
international organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act,
subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (c)(4): (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)
(H), (e)(4)(I), (e)(5), (e)(8), (e)(12); (f); (g)(1); and (h) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the
Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the
limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C.
552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="uscis2" toc="yes">
<systemNumber>/USCIS>-002</systemNumber>
<subsection type="systemName">Background Check Service (BCS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The primary BCS system is located at a Department of Homeland Security (DHS) approved data center in the
Washington, DC, metropolitan area. Backups are maintained offsite. BCS will be accessible world-wide from all USCIS field
offices, service centers, and ASC that are part of the DHS Network.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist of:
</p><p>A. All individuals who are applying for benefits and or who are petitioning on behalf of individuals
applying/petitioning for benefits pursuant to the Immigration and Nationality Act of 1952, as amended, 101 [8 U.S.C.
1101] (a)(b).
</p><p>B. All individuals over the age of 18 residing in a prospective adoptive parent’s household whose principal or only
residence is the home of the prospective adoptive parents pursuant to 8 CFR 204.3 (herein referred to as "other
individuals" ).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>BCS maintains four general categories of records: Applicant/petitioner identification information, other
individual identification information, Background Check Request information, and Background Check Result information.
</p><p>A. Applicant/Petitioner information includes biographic information associated with each applicant/petitioner
including, but not limited to: Name, date of birth, country of birth, address, and employment status. The
applicant/petitioner information also includes uniquely identifiable numbers, including but not limited to: Alien number,
z-number, receipt number, social security number, armed forces identification number, etc. This information would be
derived from newly created benefit applications in USCIS Systems of Records or an update to previously submitted benefit
applications.
</p><p>B. Information related to other individuals over the age of 18 residing in a prospective adoptive parent’s household
would be derived from newly created inter-country adoption applications pursuant to 8 CFR 204.3. The information
collected about these individuals includes: Full name and date of birth.
</p><p>C. Background Check Request information contains data necessary to perform a background check through the US-
VISIT IDENT fingerprint check, FBI fingerprint check, FI name check, and CBP IBIS name check services. This data may
include: Transaction control numbers associated with FBI fingerprint checks, receipt numbers, date/time of submission,
physical description of subject, and a reason for the submission of the application (i.e. USCIS form code). This category
also covers logs associated with the requests of background checks, which may include: Requesting location and requesting
person.
</p><p>D. Background Check Result information encompasses data received from FBI and DHS. This data may include: Identifying
transactional information (i.e. transaction control number), biographical information, a subject’s FBI information sheet
(informally known as a RAP Sheet) as a result of an FBI fingerprint check, an FBI name check report, information from the
CBP IBIS database, and information from US-VISIT IDENT fingerprint check. The CBP IBIS database includes data from
TECS and NCIC databases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103(a).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>BCS is a single, centralized system that records, reconciles, and stores Background Check Requests and Results of
applicants and petitioners seeking USCIS benefits. The following types of background checks will be recorded by BCS: FBI
Name Checks, TECS/IBIS Name Checks, and FBI Fingerprint Checks. The collection of information is required to verify the
applicant/petitioner’s eligibility for USCIS benefits. A background check of varying degree, determined by the
benefit/petition, is required for any individual applying for USCIS benefits. In order to seek USCIS benefits, the
applicant/petitioner must provide USCIS with all requested information.
</p><p>In the case of other individuals over the age of 18 residing in a prospective adoptive parent’s household, USCIS
collects their information to facilitate the appropriate USVISIT IDENT, FBI Name Checks, TECS/IBIS Name Checks, and FBI
Fingerprint Checks. This check is conducted in order to assess whether the child will be placed in a safe environment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the United States Department of Justice (DOJ) (including United States Attorney offices) or other Federal agency
conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to
the litigation and one of the following is a party to the litigation or has an interest in such litigation: (a) DHS, or
(b) any employee of DHS in his/her official capacity, or (c) any employee of DHS in his/her individual capacity where DOJ
or DHS has agreed to represent said employee, or (d) the United States or any agency thereof;
</p><p>B. To another Federal agency (including the Merit Systems Protection Board and the Equal Employment Opportunity
Commission), or to a court, or a party in litigation before a court or in an administrative proceeding being conducted by
a Federal agency, when the Government is a party to the judicial or administrative proceeding.
</p><p>C. To an agency, organization, or individual for the purpose of performing audit or oversight operations as authorized
by law.
</p><p>D. To a Congressional office, for 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.
</p><p>E. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p> F. To contractors, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the Federal Government, when necessary to accomplish a DHS mission
function related to this system of records, in compliance with the Privacy Act of 1974, as amended.
</p><p> G. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where USCIS believes the information would assist enforcement of civil or
criminal laws;
</p><p> H. To Federal and foreign government intelligence or counterterrorism agencies or components where USCIS becomes
aware of an indication of a threat or potential threat to national or international security, or where such use is to
assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the
person making the disclosure;
</p><p> I. To a Federal, state, local, tribal, territorial, foreign, or international agency, if necessary to obtain
information relevant to a Department of Homeland Security decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit.
</p><p> J. To appropriate agencies, entities, and persons when (1) it is suspected or confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) DHS has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud,
or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another
agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities,
and persons when reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in the system will be stored in a central computer database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>A combination of the following BCS data elements may be used to initiate a query in order to retrieve data from
the BCS User Interface. These data elements include, an individual’s alien file number, name and date of birth; and
receipt number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws and policies, including the DHS
Information Technology Security Program Handbook. All records are protected from unauthorized access through appropriate
administrative, physical, and technical safeguards. These safeguards include restricting access to authorized personnel
who have a need-to-know, using locks, and password protection identification features. The system is also protected
through a multi-layer security approach. The protective strategies are physical, technical, administrative and
environmental in nature and provide access control to sensitive data, physical access control to DHS facilities,
confidentiality of communications, authentication of sending parties, and personnel screening to ensure that all
personnel with access to data are screened through background investigations commensurate with the level of access
required to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following USCIS proposal for retention and disposal is pending approval by the National Archives and Records
Administration. Records are stored and retained in the BCS Repository for 75 years, during which time the records will be
archived. The 75-year retention rate is based on the length of time USCIS may interact with a customer. For example,
background checks are conducted on individuals/petitioners from the age of 14 and up. Retaining the data for this period
of time also will enable USCIS to fight identify fraud and misappropriated benefits.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Greg Collett, Branch Chief of Application Support for Office of Field Operations, U.S. Citizenship and
Immigration Services, Department of Homeland Security, 20 Massachusetts Avenue, NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All individuals applying for immigration benefits are presented on the USCIS form, a Privacy Act Statements and a
Signature and Authorization for Release of personally identifiable information. All forms must be signed by the
individual. These two notices supply individuals with information regarding uses of the data.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>To determine whether this system contains records relating to you, write the USCIS Freedom of Information
Act/Privacy Act officer. Mail request to: Elizabeth S. Gaffin, Privacy Officer, Department of Homeland Security, U.S.
Citizenship and Immigration Services, 20 Massachusetts Avenue, NW., Room 4210, Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See the "Notification procedure"  above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is obtained from USCIS systems including: CLAIMS3, CLAIMS4, RAPS,
and MFAS. Information contained in the system is also obtained from the FBI and DHS. All information contained in BCS is
derived from the above systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis3" toc="yes">
<systemNumber>/USCIS-003</systemNumber>
<subsection type="systemName">DHS/USCIS-003 Biometric Storage System (BSS)
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive; Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The primary BSS system is located at a Department of Homeland Security (DHS) approved data center in the
Washington, DC, metropolitan area. Backups are maintained offsite. BSS will be accessible worldwide from all USCIS field
offices, service centers, and application support centers in the DHS Network.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All individuals who are applying for benefits and/or who are petitioning on behalf of individuals applying or
petitioning for benefits pursuant to the Immigration and Nationality Act. 8 U.S.C. 1101 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>BSS maintains three general categories of records: (a) Applicant and Petitioner Biometric information; (b)
Applicant and Petitioner Biographic Identification information; and (c) Card Production information.
</p><p>A. <i>Applicant and Petitioner Biometric information</i> contains data necessary to perform a fingerprint-based
background check through the FBI and US-VISIT/IDENT fingerprint check services, as well as data for verifying an
applicant’s identity and card production. This data may include: 10-print fingerprint images; photographs; signatures;
transaction control numbers associated with FBI fingerprint checks; receipt numbers; date/time of submission; physical
description of subject; and a reason for the submission of the application (i.e., a USCIS Form Code). This category also
covers the applicants’ US-VISIT/IDENT assigned enumerator. The unique enumerator is based on and assigned to an
applicant’s unique fingerprint biometric signature. If US-VISIT/IDENT does not find a match, the system will enroll
the 10-print fingerprints, generate a unique enumerator, and return it to BSS. Lastly, this category covers logs
associated with the requests of background checks, which may include requesting location and requesting person.
</p><p>B. <i>Applicant and Petitioner Biographic Identification information</i> includes basic biographic information
associated with each applicant or petitioner, including but not limited to: Name; date of birth; country of birth;
address; employment status; aliases; application type; height; weight; eye color; gender; hair color; and race. The
applicant and petitioner information also includes uniquely identifiable numbers, including but not limited to: Alien
Registration Number; Z-number; Receipt Number; Social Security Number; and Armed Forces Identification Number. This
information would be obtained from multiple sources, including from the applicant at the time the fingerprints are taken,
as well as from the applicant’s preexisting case file.
</p><p>C. <i>Card Production information</i> encompasses data received from and sent to NPS II/ICPS and CLAIMS 3. This data
may include identifying transactional information (i.e., transaction control number), biographical information used for
card production, card production status, benefit card/document type, and class of admission.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>BSS is a single centralized system that stores all biometric and associated biographic data that USCIS collects.
Biometric data and associated biographic data are used by USCIS to conduct background checks, facilitate card production,
and accurately identify applicants. Currently, no system exists that centrally manages all of this data. BSS will replace
the following existing legacy systems, the Image Storage and Retrieval System, 64 FR 180526, and portions of the
Biometric Benefit Support System (BBSS). BBSS is a legacy system that transfers biometric data from USCIS to the FBI to
conduct fingerprint-based background checks. BBSS does not store the 10-print fingerprint images. ISRS is a legacy system
that stores a limited amount of information related to an applicant’s 10-print fingerprint images and card production
information. BSS also will add new functionality so the collection of biometric data for USCIS applications may become
centrally managed.
</p><p>US-VISIT/IDENT will also receive a copy of the applicant’s 10-print fingerprints, photograph, and limited
biographic information. Consistent with DHS’s information sharing mission, information stored in US-VISIT/IDENT,
including information received from BSS, may be shared with other DHS components, as well as appropriate Federal, state,
local, tribal, foreign, or international government agencies. This sharing will only take place after DHS determines that
the receiving component or agency has a need to know the information to carry out national security, law enforcement,
immigration, intelligence, or other functions consistent with the routine uses set forth in this system of records
notice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the United States Department of Justice (including United States Attorney offices) or other federal agency
conducting litigation or in proceedings before any court, adjudicative or administrative body, or to the court or
administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has
an interest in such litigation: (1) DHS; (2) any employee of DHS in his or her official capacity; (3) any employee of DHS
in his or her individual capacity where DOJ or DHS has agreed to represent said employee; or (4) the United States or any
agency thereof;
</p><p>B. 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.
</p><p>C. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements;
</p><p>D. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>E. To contractors, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the Federal Government, when necessary to accomplish a DHS mission
function related to this system of records, in compliance with the Privacy Act of 1974, as amended.
</p><p>F. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the
enforcement of civil or criminal laws;
</p><p>G. To federal and foreign government intelligence or counterterrorism agencies when DHS reasonably believes there to
be a threat or potential threat to national or international security for which the information may be useful in
countering the threat or potential threat, when DHS reasonably believes such use is to assist in anti-terrorism efforts,
and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure;
</p><p>H. To employers participating in the Basic Pilot Verification Program or any successor program thereof, in order to
verify the employment eligibility of all newly hired employees in the United States.
</p><p>I. 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.
</p><p>J. To appropriate agencies, entities, and persons when: (1) It is suspected or confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) USCIS has determined that as a result
of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by USCIS or
another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies,
entities, and persons when reasonably necessary to assist in connection with USCIS’s efforts to respond to the suspected
or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in the system will be stored in a central computer database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>A combination of the following BSS data elements may be used to initiate a query in order to retrieve data from
the BSS User Interface: An individual’s Alien Registration Number; name; date of birth; receipt number; and unique
enumerator.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws and policies, including the DHS
information technology security policies and the Federal Information Security Management Act (FISMA). All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know, using locks, and password
protection features. The system is also protected through a multi-layer security approach. The protective strategies are
physical, technical, administrative and environmental in nature, which provide access control to sensitive data, physical
access control to DHS facilities, confidentiality of communications, authentication of sending parties, and personnel
screening to ensure that all personnel with access to data are screened through background investigations commensurate
with the level of access required to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following proposal for retention and disposal is pending approval by the National Archives and Records
Administration. Records are stored and retained in the BSS Repository for seventy-five (75) years, from the date of last
action on the file. BSS is utilizing ISRS’ retention schedule as a model. Biometric-based background checks are conducted
on individuals and/or petitioners from the age of fourteen (14) and up. The 75-year retention rate comes from the length
of time USCIS may interact with a customer. Further, retaining the data for this period of time will enable USCIS to
fight identity fraud and misappropriation of benefits.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Branch Chief of Application Support for Office of Field Operations, U.S. Citizenship and Immigration Services,
Department of Homeland Security, 20 Massachusetts Avenue, NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write the USCIS Freedom of Information
Act/Privacy Act officer. Mail requests to: U.S. Citizenship and Immigration Services, National Records Center, FOIA/PA
Office, P.O. Box 648010, Lee’s Summit, MO 64064-8010.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Follow "Notification procedures"  above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Redress procedures are established and operated by the program through which the data was originally collected.
In the case of redress requests for DHS organizations, if an individual is not satisfied with the response, an individual
can appeal his or her case to the DHS Chief Privacy Officer, who will conduct a review and provide final adjudication on
the matter.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is obtained from other USCIS Systems of Records; including,
CLAIMS3, NPS II/ICPS, and electronic live scan devices located at ASCs. Information contained in the system is also
obtained from the Federal Bureau of Investigation, and the United States Visitor and Immigrant Status Indicator
Technology. All information contained in BSS is derived from the above systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis4" toc="yes">
<systemNumber>/USCIS-004</systemNumber>
<subsection type="systemName">Systematic Alien Verification for Entitlements (SAVE).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, For Official Use Only.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at U.S. Citizenship and Immigration Services Headquarters in Washington, DC, in U.S.
Citizenship and Immigration Services field offices, and at the DHS Stennis Data Center (DC1).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include both U.S. citizens and non-U.S. citizens covered by
provisions of the Immigration and Nationality Act of the United States, including individuals who have been lawfully
admitted to the United States, individuals who have been granted or derived U.S. citizenship, and individuals who have
applied for other immigration benefits pursuant to 8 U.S.C. 1103 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A. Information collected from the benefit applicant by the agency issuing the benefit to facilitate immigration
status verification may include the following about the benefit applicant:
</p><p>&#149; Receipt number
</p><p>&#149; Alien Number (A-Number)
</p><p>&#149; Admission number (I-94 number)
</p><p>&#149; Name (last, first, middle, maiden)
</p><p>&#149; Date of birth
</p><p>&#149; Country of birth
</p><p>&#149; Customer agency case number
</p><p>&#149; Department of Homeland Security document type
</p><p>&#149; Department of Homeland Security document expiration date
</p><p>&#149; U. S. Immigration and Custom Enforcement’s (ICE) Student and Exchange Visitor Identification System
(SEVIS) ID
</p><p>&#149; Foreign passport number and Country of Issuance (COI)
</p><p>&#149; Visa number
</p><p>&#149; Social Security Number (in very limited circumstances using the Form G-845, Document Verification
Request), and type of benefit(s) for which the applicant has applied (e.g., unemployment insurance, educational
assistance, driver licensing, etc.).
</p><p>B. System-generated responses as a result of the SAVE program verification process including case verification number
and SAVE program response.
</p><p>C. The individual information that may be verified through the SAVE program includes:
</p><p>&#149; Alien Number
</p><p>&#149; Name (last, first, middle)
</p><p>&#149; Date of birth
</p><p>&#149; Date entered into the United States (entry date)
</p><p>&#149; Country of birth
</p><p>&#149; Class of admission code
</p><p>&#149; File control office code
</p><p>&#149; Social Security Number
</p><p>&#149; I-94 number
</p><p>&#149; Provision of law code cited for employment authorization
</p><p>&#149; Alien’s status change date
</p><p>&#149; Date admitted until, country of citizenship
</p><p>&#149; Port of entry
</p><p>&#149; Departure date
</p><p>&#149; Visa number
</p><p>&#149; Passport number and country of issuance (COI)
</p><p>&#149; Passport information
</p><p>&#149; Passport card number
</p><p>&#149; Document receipt number
</p><p>&#149; Form numbers (e.g., Form I-551 Lawful Permanent Resident Card or Form I-766 Employment
Authorization Document)
</p><p>&#149; SEVIS Identification Number (SEVIS ID)
</p><p>&#149; Naturalization date
</p><p>&#149; Federal Bureau of Investigation Number (FIN)
</p><p>&#149; Beneficiary alien number
</p><p>&#149; Beneficiary date of birth
</p><p>&#149; Beneficiary country of birth
</p><p>&#149; Beneficiary Social Security number
</p><p>&#149; Beneficiary name (last, first, middle)
</p><p>&#149; Petitioner alien number
</p><p>&#149; Petitioner Social Security Number
</p><p>&#149; Petitioner naturalization certificate number
</p><p>&#149; Petitioner name (last, first)
</p><p>&#149; Petitioner tax number
</p><p>&#149; Information may also include spouse’s name (last, first, middle), date of birth, country of birth, country
of citizenship, class of admission, date of admission, Alien Number, receipt number, phone number, marriage date and
place, and naturalization date and place
</p><p>&#149; Information may also include child’s name(s) (last, first, middle), date of birth, country of birth, class
of admission, Alien Number
</p><p>&#149; Employer information: Name, address, supervisor’s name, and supervisor’s phone number
</p><p>&#149; Case history: Alerts, case summary comments, case category, date of encounter, encounter information,
custody actions and decisions, case actions and decisions, bonds, and photograph, asylum applicant receipt date, airline
and flight number, country of residence, city where boarded, city where visa was issued, date visa issued, address while
in the United States, nationality, decision memoranda, investigatory reports and materials compiled for the purpose of
enforcing immigration laws, exhibits, transcripts, and other case-related papers concerning aliens, alleged aliens, or
lawful permanent residents brought into the administrative adjudication process.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for having a system for verification of immigration status is found in Immigration Reform and Control
Act (IRCA), Public Law 99-603, 100 Stat. 3359 (1986); Personal Responsibility and Work Opportunity Reconciliation
Act (PRWORA), Public Law 104-193, 110 Stat. 2105 (1996); Title IV, Subtitle A, of Illegal Immigration Reform and
Immigrant Responsibility Act (IIRIRA), Public Law 104-208, 110 Stat. 3009 (1997); and the REAL ID Act of 2005,
Public Law 109-13, 119 Stat. 231 (2005).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the Systematic Alien Verification for Entitlements (SAVE) program is to provide a fee-based
intergovernmental service, which assists federal, state, tribal, or local government agencies, or contractors acting on
the agency’s behalf, and licensing bureaus confirm immigration status information, to the extent that such disclosure is
necessary to enable these agencies to make decisions related to: (1) Determining eligibility for a federal, state, or
local public benefit; (2) issuing a license or grant; (3) issuing a government credential; (4) conducting a background
investigation; or (5) any other lawful purpose.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside the Department of Homeland Security as a
routine use pursuant to 5 U.S.C. 552a(b)(3). Any disclosure of information must be made consistent with the official
duties of the person making the disclosure. The routine uses are as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to a written inquiry from that congressional
office made pursuant to a Privacy Act waiver from the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To approved federal, state, and local government agencies for any legally mandated purpose in accordance with their
authorizing statute or law and where an approved Memorandum of Agreement or Computer Matching Agreement (CMA) is in place
between DHS and the entity.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of applicant or other unique identifier to include: Verification Number, Alien
Number, I-94 Number, Social Security Number, Passport Number and Country of Issuance (COI), Visa Number, SEVIS
Identification, or by the submitting agency name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention and disposal schedule, N1-566-08-7, has been approved by the National Archives
and Records Administration. Records collected in the process of enrolling in SAVE and in verifying citizenship or
immigration status are stored and retained in SAVE for ten (10) years from the date of the completion of verification,
unless the records are part of an ongoing investigation in which case they will be retained until completion of the
investigation. This period is based on the statute of limitations for most types of misuse or fraud possible using SAVE
(under 18 U.S.C. 3291, the statute of limitations for false statements or misuse regarding passports, citizenship, or
naturalization documents).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Verification Division, U.S. Citizenship and Immigration Services, 131 M Street NE., Suite 200, Mail Stop
200, Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the USCIS’s FOIA Officer, whose contact information can be found
at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component
maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer
and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP
-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information the component(s) may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from several sources to include:
</p><p>(A) Agencies seeking to determine immigration status;
</p><p>(B) Individuals seeking public licenses, benefits, or credentials;
</p><p>&#149; (C) Information collected from the Federal databases listed below: Arrival/Departure Information System
(ADIS),
</p><p>&#149; Central Index System (CIS)
</p><p>&#149; Computer-Linked Application Information Management System 3 &amp; 4 (CLAIMS 3 &amp; CLAIMS 4)
</p><p>&#149; Customer Profile Management System (CPMS)
</p><p>&#149; Customs and Border Protection’s (CBP) Nonimmigrant Information System and Border Crossing Information
(NIIS and BCI)
</p><p>&#149; Enforcement Integrated Database (EID)
</p><p>&#149; Enforcement Alien Removal Module (EARM)
</p><p>&#149; Enterprise Citizenship and Immigration Services Centralized Operational Repository (eCISCOR)
</p><p>&#149; Enterprise Document Management System (EDMS)
</p><p>&#149; Marriage Fraud Amendment System (MFAS)
</p><p>&#149; Microfilm Digitization Application System (MiDAS)
</p><p>&#149; National File Tracking System (NFTS)
</p><p>&#149; Refugees, Asylum, and Parole System (RAPS)
</p><p>&#149; Student and Exchange Visitor Identification System (SEVIS)
</p><p>&#149; Immigration status (e.g., Lawful Permanent Resident) from the Department of Justice Executive Office of
Immigration Review (EOIR), System and the Department of State the Consular Consolidated Database (DOS-CCD).
</p><p>(D) Information created by the Systematic Alien Verification for Entitlements (SAVE) program.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis5" toc="yes">
<systemNumber>/USCIS-005</systemNumber>
<subsection type="systemName">The Department of Homeland Security (DHS), Inter-country Adoptions
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive; Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Inter-country Adoptions information is maintained in the SIMS database, which is physically located within
USCIS’s data center in the Washington, DC metropolitan area. Backups are maintained in an undisclosed offsite location.
Inter-country Adoptions will be accessible world-wide from designated USCIS domestic and international field offices and
service centers that are part of the DHS Network.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>A. All individuals seeking an inter-country adoption pursuant to the Immigration and Nationality Act, 8 U.S.C.
Section 1101(b)(1)(F);
</p><p>B. All individuals over the age of 18 residing in a prospective adoptive parent’s household whose principal or only
residence is the home of the prospective adoptive parents pursuant to 8 CFR Section 204.3.
</p><p>C. Representatives of the adoptive parents may be contained in this system of records;
</p><p>D. Minors being adopted pursuant to the Immigration and Nationality Act, 8 U.S.C. Section 1101(b)(1)(F); and
</p><p>E. Biological mothers, fathers, or custodians of adopted minors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A. Applicant/Petitioner information includes biographic information associated with each applicant/petitioner
including, but not limited to; name, date of birth, country of birth, address, phone numbers, family member names,
citizenship status, marital status, employment status, gender, height, biometrics, and results of background
investigations (inclusive of home study checks, Federal Bureau of Investigation (FBI) checks, Treasury Enforcement
Communication System (TECS)/Interagency Border Inspection System (IBIS) Name Checks, and FBI Fingerprint Checks). The
applicant/petitioner information also includes uniquely identifiable numbers, including but not limited to: Alien Number,
Receipt Number, and Social Security Number.
</p><p>B. Information related to other individuals over the age of 18 residing in a prospective adoptive parent’s household
would be derived from newly created inter-country adoption applications. The information collected about these
individuals includes: full name and date of birth.
</p><p>C. Information related to the representatives of the adoptive parents may include: full name, date of birth, and place
of birth.
</p><p>D. Information related to the minor(s) being adopted may include full name, date of birth, country of birth, and
Social Security Number.
</p><p>E. Information related to the minor’s biological mother, father, or custodian may include full name, date of birth,
and country of birth.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 103 and 290 of the Immigration and Nationality Act, as amended (8 U.S.C. 1103 and 1360), and the
regulations issued pursuant thereto; and section 451 of the Homeland Security Act of 2002 (Pub. L. 107-296).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>USCIS collects the information on adoptive parents and other associated individuals in order to assess the
physical, mental, and emotional capabilities of the prospective adoptive parents and those residing in the house. USCIS
also collects information pertaining to the minor to be adopted so that he or she can complete the naturalization
process. Information will be collected on organizations that have facilitated the adoption process to include law firms,
adoption home study providers, adoption placement agencies and adoption non-profit organizations so that USCIS will be
able to track and verify those entities that are authorized to participate in the adoption process. Finally, where
available USCIS collects biographic information relating to the biological parents and the custodians of the minor being
adopted so that USICS will be able to identify potential incidence of fraud.
</p><p>The Inter-country Adoptions SORN stores information on individuals and organizations associated with the following
activities:
</p><p>&#149; Filing of the Office and Management and Budget (OMB)-approved versions of USCIS adoption related forms and
applications:
</p><p>&#149; Form I-600, <i>Petition to Classify Orphan as an Immediate Relative.</i>
</p><p>&#149; Form I-600A, <i>Application for Advance Processing of Orphan Petition.</i>
</p><p>&#149; Form N-600, <i>Application for Certificate of Citizenship.</i>
</p><p>&#149; Form N-600K, <i>Application for Citizenship and Issuance of Certificate under Section 322.</i>
</p><p>&#149; Account setup data for each individual seeking to adopt and organization involved in an adoption case.
</p><p>&#149; FBI Name Checks, TECS/IBIS Name Checks, and FBI Fingerprint Checks on other individuals over the age of 18
residing in a prospective adoptive parent’s household.
</p><p>Consistent with DHS’s information sharing mission, information stored in SIMS may be shared with other DHS components,
as well as appropriate federal, state, local, tribal, foreign, or international government agencies. This sharing will
only take place after DHS determines that the receiving component or agency has a need to know the information to carry
out national security, law enforcement, immigration, intelligence, or other functions consistent with the routine uses
set forth in this system of records notice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. Section 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed to authorized entities, as is determined
to be relevant and necessary, outside DHS as a routine use pursuant to 5 U.S.C. Section 552a(b)(3) as follows:
</p><p>A. To clerks and judges of courts exercising naturalization jurisdiction for the purpose of filing petitions for
naturalization and to enable such courts to determine eligibility for naturalization or grounds for revocation of
naturalization.
</p><p>B. To the Department of State (DoS) in the processing of visas, applications, or petitions for benefits under the
Immigration and Nationality Act, and all other immigration and nationality laws including treaties and reciprocal
agreements.
</p><p>C. To appropriate federal, state, tribal, and local government law enforcement and regulatory agencies, foreign
governments, and international organizations, for example the Department of Defense, the DoS, the Department of the
Treasury, the Central Intelligence Agency, the Selective Service System, the United Nations, and INTERPOL, and
individuals and organizations during the course of an investigation by DHS or the processing of a matter under DHS’s
jurisdiction, or during a proceeding within the purview of the immigration and nationality laws, when necessary to elicit
information required by DHS to carry out its functions and statutory mandates.
</p><p>D. To an appropriate federal, state, tribal, local, or foreign government agency or organization, or international
organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or charged with
investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to
enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement
intelligence and the disclosure is appropriate to the proper performance of the official duties of the person receiving
the disclosure.
</p><p>E. To the United States Department of Justice (DOJ) (including United States Attorneys’ offices) or other Federal
agency conducting litigation or in proceedings before any court, adjudicative or administrative body, or to the court or
administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has
an interest in such litigation: (1) Any employee of DHS in his/her official capacity; (2) any employee of DHS in his/her
individual capacity where DOJ or DHS has agreed to represent said employee; or (3) the United States or any agency
thereof.
</p><p>F. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other
benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the
request.
</p><p>G. To an attorney or representative (as defined in 8 CFR 1.1(j)) who is acting on behalf of an individual covered by
this system of records in connection with any proceeding before USCIS or the Executive Office for Immigration Review.
</p><p>H. To a Congressional office from the record of an individual in response to an inquiry from that Congressional office
made at the request of that individual.
</p><p>I. To NARA or other Federal government agencies pursuant to records management inspections being conducted under the
authority of 44 U.S.C. Sections 2904 and 2906.
</p><p>J. To a Federal, state or local government agency seeking to verify or ascertain the citizenship or immigration status
of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>K. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function
related to this system of records. Those provided information under this routine use are subject to the same Privacy Act
limitations as are applicable to DHS officers and employees.
</p><p>L. To the appropriate federal, state, local, tribal, territorial, or foreign, or international agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where DHS becomes aware of,
or in conjunction with other information determines, that a violation or potential violation of civil or criminal law has
occurred.
</p><p>M. To the Social Security Administration (SSA) for the purpose of issuing a Social Security number and card to an
alien who has made a request for a Social Security number as part of the immigration process and in accordance with any
related agreements in effect between the SSA, DHS, and the DoS entered into pursuant to 20 CFR 422.103(b) (3);
422.103(c); and 422.106(a), or other relevant laws and regulations.
</p><p>N. To Federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware
of an indication of a threat or potential threat to national or international security, or when the information is needed
to assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the
person making the disclosure;
</p><p>O. To appropriate agencies, entities, and persons when:
</p><p>(1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>(2) It is determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>(3) The disclosure is made to such agencies, entities, and persons when reasonably necessary to assist in connection
with efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>P. To officials of other federal, state, and local government agencies and adoption agencies and social workers to
elicit information required for making a final determination of the petitioner’s ability to care for a beneficiary.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Records in the system will be stored in an electronic database repository housed in USCIS’s data center.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The following data elements may be used to initiate a query in order to retrieve data from the Inter-country
Adoptions System of Records within SIMS. These data elements include an individual’s Name and Date of Birth, Enumerator,
SIMS Account Number, and SIMS Case Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>USCIS offices are located in secure, guarded buildings and access to premises requires official identification.
Information in this system is also safeguarded in accordance with applicable laws, rules and policies including the DHS
Information Technology Security Programs Handbook. All records are protected from unauthorized access through appropriate
administrative, physical, and technical safeguards including restricting access to authorized personnel who require
information in the records for the performance of their official authorized duties, using locks, and password protection
identification features.
</p><p>Information in this system is safeguarded in accordance with applicable laws and policies, including the DHS
information technology security policies and the Federal Information Security Management Act (FISMA). All records are
protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have a need-to-know through the use of locks and
password protection features. The system is also protected through a multi-layer security approach. The protective
strategies are physical, technical, administrative and environmental in nature, which provide access control to sensitive
data, physical access control to DHS facilities, confidentiality of communications, authentication of sending parties,
and personnel screening to ensure that all personnel with access to data are screened through background investigations
commensurate with the level of access required to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>USCIS is working with NARA to develop a retention and disposal schedule for data contained within SIMS. USCIS’s
proposal for retention and disposal of these records is to store and retain adoption related records for 75 years, during
which time the records will be archived. The 75 year retention period is derived from the length of time USCIS may
interact with a customer. The proposed retention and disposal schedule is based upon a holistic adoption "case"  which
will contain each of the USCIS adoption related applications and supporting documentation. It should be noted that for
purposes of the SIMS pilot a hardcopy record of all adoption related applications and supporting documentation will be
maintained by USCIS. The SIMS retention and disposal schedule will be reviewed and updated accordingly as additional
USCIS applications and system functionalities are added to SIMS.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Robert Genesoni, Pilot Branch Chief, Transformation Program Office, U.S. Citizenship and Immigration Services
(USCIS) Transformation Program Office, Department of Homeland Security, 111 Massachusetts Avenue, NW., Fifth Floor,
Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>In order to gain access to one’s information stored in the Inter-country Adoptions portion of the SIMS database,
a request for access must be made in writing and addressed to the Freedom of Information Act/Privacy Act (FOIA/PA)
officer at USCIS. Individuals who are seeking information pertaining to themselves are directed to clearly mark the
envelope and letter "Privacy Act Request."  Within the text of the request, the subject of the record must provide
his/her account number and/or the full name, date and place of birth, and notarized signature, and any other information
which may assist in identifying and locating the record, and a return address. For convenience, individuals may obtain
Form G-639, FOIA/PA Request, from the nearest DHS office and used to submit a request for access. The procedures
for making a request for access to one’s records can also be found on the USCIS Web site, located at <i>www.uscis.gov.</i
>
</p><p>An individual who would like to file a FOIA/PA request to view their USCIS record may do so by sending the request to
the following address:
</p><p>U.S. Citizenship and Immigration Services, National Records Center, FOIA/PA Office, P.O. Box 648010, Lee’s Summit, MO
64064-8010.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See procedures as stated in the "Notification procedure"  section above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See procedures as stated in the "Notification procedure"  section above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is primarily supplied by individuals, seeking to adopt, on the
OMB-approved versions of the following USCIS applications and forms:
</p><p>&#149; Form I-600, <i>Petition to Classify Orphan as an Immediate Relative.</i>
</p><p>&#149; Form I-600A, <i>Application for Advance Processing of Orphan Petition.</i>
</p><p>&#149; Form N-600, <i>Application for Certificate of Citizenship.</i>
</p><p>&#149; Form N-600K, <i>Application for Citizenship and Issuance of Certificate under Section 322.</i>
</p><p>Information contained in this system of records is also obtained from:
</p><p>&#149; SIMS account registration data obtained from each individual seeking to adopt, representatives of
prospective adoptive parents and other organizations involved in an adoption case;
</p><p>&#149; Home study reports prepared by State-certified home study providers submitted to USCIS in furtherance of
the adoption process;
</p><p>&#149; Memoralizations of interviews performed by authorized USCIS personnel of individuals seeking to adopt; and
</p><p>&#149; Data obtained from other DHS and non-DHS Federal agency’s systems and databases including the FBI, DoS,
ICE, and CBP.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis6" toc="yes">
<systemNumber>/USCIS-006</systemNumber>
<subsection type="systemName">Fraud Detection and National Security Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the IT system FDNS-DS, other information technology systems developed to support
FDNS, and paper files at the USCIS Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: (1) Individuals who are the subjects of administrative
and/or criminal investigations; (2) individuals who have submitted potentially fraudulent petitions and applications for
immigration benefits; (3) individuals whose petitions or applications have been randomly selected for assessment of the
effectiveness of fraud detection programs; (4) individuals of concern based on possible national security reasons, public
safety concerns, or criminal activity; (5) preparers, representatives, and petitioning organizations that may have
submitted applications or petitions on behalf of individuals noted in the above four categories; (6) individuals who are
associated with an application but are not actually applying for a benefit; and (7) individuals associated with cases
that were investigated but determined not to pose any concern.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Alias(es);
</p><p>&#149; Social Security Number (SSN);
</p><p>&#149; Alien Number (A-Number);
</p><p>&#149; Associated A-Numbers of close relatives and associates;
</p><p>&#149; Application Receipt Number;
</p><p>&#149; Address (home and business);
</p><p>&#149; Date of birth;
</p><p>&#149; Place of birth;
</p><p>&#149; Driver’s License number;
</p><p>&#149; Country of citizenship;
</p><p>&#149; Citizenship status;
</p><p>&#149; Gender;
</p><p>&#149; Telephone number(s);
</p><p>&#149; Email address;
</p><p>&#149; Place of employment and employment history;
</p><p>&#149; Associated organizations (e.g., corporate information relating to employing entity if employment-based
immigration benefits are being sought, and place of business or place of worship if such organization is sponsoring the
applicant);
</p><p>&#149; Family lineage;
</p><p>&#149; Bank account information and/or financial transaction history;
</p><p>&#149; Marriage record;
</p><p>&#149; Civil or criminal history information;
</p><p>&#149; Information on social media Web sites and other information publicly available on the Internet;
</p><p>&#149; Education record;
</p><p>&#149; Information from commercial data providers in order to verify information provided on the application;
</p><p>&#149; Biometric identifiers (e.g., photographic facial image, fingerprints, signature, etc);
</p><p>&#149; Investigation or background check information generated by DHS/CBP TECS National Crime Information Center,
other government agencies, and other data and analysis generated as part of the adjudication process;
</p><p>&#149; Other unique identifying numbers or characteristics such as passport number(s), visa number(s), account
numbers, and other identifiers associated with travel; and
</p><p>&#149; Representative and Preparer information maintained in the G-28, Notice of Entry of Appearance as an
Attorney or Accredited Representative
</p><p>&#9675; Name
</p><p>&#9675; Address
</p><p>&#9675; Phone number
</p><p>&#9675; Fax number
</p><p>&#9675; Email address
</p><p>&#9675; Bar number
</p><p>&#9675; State of bar membership
</p><p>&#9675; Date of filing
</p><p>&#9675; Associated client case information
</p><p>Note: </p><p>FDNS may gather additional data on Representatives or Preparers that are the subject or associated with a
fraud, public safety, or national security concern based on applications submitted on behalf of individuals seeking an
immigration benefit.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Immigration and Nationality Act of 1952, as amended (INA), 8 U.S.C. 1101, <i>et seq.</i> provides the legal
authority to collect information used for the adjudication of immigration benefits. In addition to other delegations, the
Secretary of Homeland Security in Homeland Security Delegation No. 0150.1 paragraphs (H), (I), (J), (M), and (S) has
delegated the following authorities to USCIS:
</p><p>&#149; Authority under section 103(a)(1) of the INA, 8 U.S.C. 1103(a)(1), to administer the immigration laws (as
defined in section 101(a)(17) of the INA).
</p><p>&#149; Authority to investigate alleged civil and criminal violations of the immigration laws, including but not
limited to alleged fraud with respect to applications or determinations within the Bureau of Citizenship and Immigration
Services (BCIS) [predecessor to USCIS] and make recommendations for prosecutions or other appropriate action when deemed
advisable.
</p><p>&#149; Authority to fingerprint and register aliens.
</p><p>&#149; Authority to maintain files and records systems as necessary.
</p><p>&#149; Authority to take and consider evidence.
</p><p>In addition, the joint USCIS-ICE anti-fraud strategy was recommended by the <i>Conference Report, FY 2005
Appropriations Act.</i> The Appropriations Act authorized USCIS to conduct law enforcement and background checks on every
applicant, beneficiary, and petitioner prior to granting immigration benefits.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to support USCIS’ efforts to strengthen the integrity of the nation’s legal
immigration system and to ensure that immigration benefits are not granted to individuals who may pose a threat to
national security and/or public safety. In addition, FDNS is responsible for detecting, deterring, and combatting
immigration benefit fraud.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to
the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to a written inquiry from that congressional
office made pursuant to a Privacy Act waiver from the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or General Services Administration pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individuals who rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To federal and foreign government intelligence or counterterrorism agencies when USCIS reasonably believes there to
be a threat or potential threat to national or international security for which the information may be useful in
countering the threat or potential threat, when DHS reasonably believes such use is to assist in anti-terrorism efforts.
</p><p>I. To the Department of State in the processing of petitions or applications for benefits under the Immigration and
Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by utilizing multiple data points that include an individual’s last name, A-
Number, Application Receipt Number, Date of Birth, or other unique identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. FDNS-DS maintains a real-time auditing function of individuals who
access the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FDNS records have a retention period of 15 years from the date of the last interaction between FDNS personnel and
the individual after which time the record will be deleted from FDNS. The 15-year retention schedule provides FDNS with
access to information that is critical to the investigation of suspected or confirmed fraud, criminal activity, egregious
public safety, and/or national security concerns. Upon closure of a case, any information that is needed to make an
adjudicative decision (such as a statement of findings report), whether there was or was not an indication of fraud,
criminal activity, egregious public safety, and/or national security concerns, will be transferred to the A-File
and maintained under the A-File retention period of 100 years after the individual’s date of birth.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Director of FDNS, United States Citizenship and Immigration Services, 111 Massachusetts Avenue NW.,
Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, amendment, and certain
accounting procedures of the Privacy Act. These exemptions also apply to the extent that information in this system of
records is recompiled or is created from information contained in other systems of records. As noted below, where a
record received from a law enforcement system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will
claim the same exemptions for those records that are claimed for the original primary systems of records from which they
originated and claims any additional exemptions in accordance with this rule. Individuals seeking notification of and
access to any record contained in this system of records, or seeking to contest its content, may submit a request in
writing to National Records Center, FOIA/PA Office P.O. Box 648010 Lee’s Summit, MO 64064-8010. If an individual
believes more than one component maintains Privacy Act records concerning him or her the individual may submit the
request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-
0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide:
</p><p>&#149; Provide an explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records.
</p><p>If your request seeks records pertaining to another living individual, you must include a statement from that
individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above bulleted information DHS may not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Parties who file USCIS applications supply the basic information contained in this system. Other information
comes from petitions, law enforcement and intelligence agencies, public institutions, interviews of witnesses, public
records, sworn statements, official reports, commercial data aggregators, publicly available information on the Internet,
and from members of the general public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
Additionally, many of the functions in this system require retrieving records from law enforcement systems. Where a
record received from another system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will claim the
same exemptions for those records that are claimed for the original primary systems of records from which they originated
and claims any additional exemptions in accordance with this rule.
</p></xhtmlContent></subsection></section>
<section id="uscis7" toc="yes">
<systemNumber>/USCIS-007</systemNumber>

<subsection type="systemName">United States Citizenship and Immigration Services Benefits Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Citizenship and Immigration Services Headquarters in Washington, DC
and in field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include persons who have filed (for themselves or on the behalf
of others) applications or petitions for immigration benefits (other than asylum and refugee) under the Immigration and
Nationality Act, as amended, and/or who have submitted fee payments or received refunds from such applications or
petitions; current, former and potential (e.g., fianc&#225;) family members of applicants/petitioners; persons who
complete immigration forms for applicants and petitioners (e.g., attorneys, form preparers); name of applicant’s
employer; and individuals who seek access to records retained in the Benefits Information System under the Freedom of
Information/Privacy Acts (FOIA/PA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social Security Number (if applicable);
</p><p>&#149; A-Number (if applicable);
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Birth and death information;
</p><p>&#149; Citizenship or nationality;
</p><p>&#149; Immigration status;
</p><p>&#149; Marital and family status;
</p><p>&#149; Personal characteristics (e.g., height and weight);
</p><p>&#149; Records regarding tax payment and financial matters;
</p><p>&#149; Records regarding employment;
</p><p>&#149; Medical records;
</p><p>&#149; Military and Selective Service records;
</p><p>&#149; Records regarding organization membership or affiliation;
</p><p>&#149; Biometric and other information collected to conduct background checks;
</p><p>&#149; DHS issued card serial numbers;
</p><p>&#149; Records regarding criminal history and other background check information; and
</p><p>&#149; Case processing information such as date applications were filed or received by USCIS;
application/petition status, location of record, FOIA/PA or other control number when applicable, and fee receipt data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103; 8 U.S.C. 1363; and 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to assist in the automated processing of immigrant and nonimmigrant benefit
petitions and applications. Both investigative and administrative records are maintained in this system to permit
DHS/USCIS to function efficiently. Reports are also generated from the data within the system of records. This system of
records notice enables DHS/USCIS to provide automated support to process applications and/or petitions for benefits;
determine the status of pending applications and/or petitions for benefits; account for and control the receipt and
disposition of any fees and refunds collected; conduct searches pursuant to FOIA and Privacy Act requests; and locate
related physical and automated files to support DHS/USCIS responses to inquiries about these records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as
follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To clerks and judges of courts exercising naturalization jurisdiction for the purpose of filing petitions for
naturalization and to enable such courts to determine eligibility for naturalization or grounds for revocation of
naturalization.
</p><p>I. To the Department of State for the purpose of assisting in the processing of petitions or applications for benefits
under the Immigration and Nationality Act, and all other immigration and nationality laws including treaties and
reciprocal agreements.
</p><p>J. To appropriate Federal, State, tribal, and local government law enforcement and regulatory agencies, foreign
governments, and international organizations, for example: The Department of Defense; the Department of State; the
Department of the Treasury; the Central Intelligence Agency; the Selective Service System; the United Nations; and the
International Criminal Police Organization (INTERPOL); as well as to other individuals and organizations during the
course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or during a proceeding within
the purview of the immigration and nationality laws, when DHS deems that such disclosure is necessary to carry out its
functions and statutory mandates to elicit information required by DHS to carry out its functions and statutory mandates.
</p><p>K. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>L. 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 at any stage of the legislative coordination and clearance process as set forth in the
Circular.
</p><p>M. To an attorney or representative (as defined in 8 CFR 1.1(j)) who is acting on behalf of an individual covered by
this system of records in connection with any proceeding before DHS/USCIS or the Executive Office for Immigration Review.
</p><p>N. To a Federal, State, tribal, or local government agency to assist such agencies in collecting the repayment of
loans, or fraudulently or erroneously secured benefits, grants, or other debts owed to them or to the United States
Government, or to obtain information that may assist USCIS in collecting debts owed to the United States Government; to a
foreign government to assist such government in collecting the repayment of loans, or fraudulently or erroneously secured
benefits, grants, or other debts owed to it provided that the foreign government in question:
</p><p>1. Provides sufficient documentation to establish the validity of the stated purpose of its request; and
</p><p>2. Provides similar information to the United States upon request.
</p><p>O. To a coroner for purposes of affirmatively identifying a deceased individual (whether or not such individual is
deceased as a result of a crime).
</p><p>P. Consistent with the requirements of the Immigration and Nationality Act, to the Department of Health and Human
Services (HHS), the Centers for Disease Control and Prevention (CDC), or to any State or local health authorities, to:
</p><p>1. Provide proper medical oversight of DHS-designated civil surgeons who perform medical examinations of both arriving
aliens and of those requesting status as a lawful permanent resident; and
</p><p>2. To ensure that all health issues potentially affecting public health and safety in the United States are being or
have been, adequately addressed.
</p><p>Q. To a Federal, State or local government agency seeking to verify or ascertain the citizenship or immigration status
of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>R. To the Social Security Administration (SSA) for the purpose of issuing a Social Security number and card to an
alien who has made a request for a Social Security number as part of the immigration process and in accordance with any
related agreements in effect between the SSA, DHS and the Department of State entered into pursuant to 20 CFR 422.103(b)
(3); 422.103(c); and 422.106(a), or other relevant laws and regulations.
</p><p>S. To a former employee of DHS, 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
Department requires information or consultation assistance from the former employee regarding a matter within that
person’s former area of responsibility.
</p><p>T. To an individual’s prospective or current employer to the extent necessary to determine employment eligibility.
</p><p>U. To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, or Executive
Order.
</p><p>V. To a Federal agency, where appropriate, to enable such agency to make determinations regarding the payment of
Federal benefits to the record subject in accordance with that agency’s statutory responsibilities.
</p><p>W. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Through the Debt Management Center (DMC) at DHS, Benefits Information Systems information may be shared with
credit reporting agencies. The primary mission of the DMC is to collect debts resulting from an individual’s
participation in DHS benefits programs. Benefits Information Systems share information with the DMC regarding fees
charged during various application processes to ensure collection of debts.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual’s name and address, telephone numbers, birth and death information, A
-Number, Social Security Number (SSN), records regarding citizenship, records regarding immigration status, marital
and family status, personal characteristics (e.g., height and weight), records regarding tax payment and financial
matters, records regarding employment, medical records, military and Selective Service records, records regarding
organization membership or affiliation, biometric and other information collected to issue immigration cards evidencing
receipt of immigration benefits and to conduct background checks and necessary to determine the existence of criminal
history or other history necessary to make immigration decisions. Records in the system may also include case processing
information such as date applications were filed or received by USCIS, application/petition status, location of record,
FOIA/PA or other control number when applicable, and fee receipt data, and by application/petition receipt number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the computer system containing the records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions. The system maintains a real-time auditing function of individuals who access the system.
Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic benefits information is archived and disposed of in accordance with the criteria approved by NARA.
Electronic data pertaining to applications for naturalization will be deleted 15 years after the processing of the
benefit being sought is completed. Information in the master file is destroyed 15 years after the last completed action
with respect to the application. System documentation (e.g., manuals) are destroyed when the system is superseded,
obsolete, or no longer needed for agency business.
</p><p>Electronic records extracted from immigrant and nonimmigrant benefits applications and petitions other than
naturalization, asylum, or refugee status completed by applicants or petitioners is destroyed after the data is
transferred to the electronic master file and verified. Information in the master file is destroyed 15 years after the
last completed action with respect to the application. Daily reports generated by associated information technology
systems are maintained for 15 years by the service center that generated the reports and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The system manager is the Director, Office of Records Services, Department of Homeland Security, 111
Massachusetts Avenue, NW., Second Floor, Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to National Records Center, FOIA/PA Office, P.O. Box 648010, Lee’s
Summit, MO 64064-8010. Specific FOIA contact information can be found at <i>http://www.dhs.gov/foia</i> under
"Contacts."
</p><p>When seeking records about yourself from this system of records or any other USCIS system of records, your request
must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning
that you must provide your full name, current address and date and place of birth. You must sign your request, and your
signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under
penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this
purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i>  or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you, </p><p>&#149; Specify
when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information, USCIS will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is obtained from the individuals covered by the system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis8" toc="yes">
<systemNumber>/USCIS-008</systemNumber>
<subsection type="systemName">Refugee Access Verification Unit Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>USCIS electronically maintains records on the Refugee Access Verification Unit (RAVU) SharePoint Enterprise Collaboration Network (ECN) site, which is accessible at the Refugee Affairs Division Headquarters in Washington, DC and field locations overseas.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: (1) Anchor relatives who have filed an Affidavit of Relationship (AOR) for qualified family members overseas to gain access to the U.S. Refugee Admissions Program (USRAP) under Priority 3; (2) qualifying family members (parents, spouses, and unmarried children under age 21) of the anchor relative who are listed in Section II of the AOR; (3) derivatives (spouse and unmarried children under age 21) of the qualifying family member listed in Section II of the AOR; (4) individuals who qualify as Type C add-ons and are listed in Section II of the AOR; and (5) AOR preparers who work for domestic resettlement agencies and complete the AOR based on information provided by the anchor relative.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p><i>Information about the anchor relative gathered from documents in the A-file may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Physical and Mailing Address;
</p><p>&#149; Telephone and Fax Numbers;
</p><p>&#149; Date of Birth;
</p><p>&#149; Gender;
</p><p>&#149; A-Number;
</p><p>&#149; Social Security number;
</p><p>&#149; Immigration Status;
</p><p>&#149; Date of Arrival in the U.S.;
</p><p>&#149; Date Asylum/Refugee status was granted;
</p><p>&#149; Mother’s Maiden Name;
</p><p>&#149; Documents establishing identity and claimed relationship (i.e., marriage record, civil or criminal history, medical records, education records);
</p><p>&#149; Biometric identifiers (i.e., weight, color of eyes and hair, and facial marks);
</p><p>&#149; Photographic Facial Image;
</p><p>&#149; Civil or criminal history information;
</p><p>&#149; Reports of investigations or derogatory information obtained from DHS and other federal systems;
</p><p>&#149; Refugee and asylum interview notes and assessments; and
</p><p>&#149; Other unique identifiers, including information found in the A-File used to facilitate a determination.
</p><p><i>Information about the anchor relative collected in the AOR and through the RAVU review may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Date of Birth;
</p><p>&#149; Gender;
</p><p>&#149; Marital status
</p><p>&#149; City/Country of Birth;
</p><p>&#149; A-Number
</p><p>&#149; Immigration Status;
</p><p>&#149; Date of Arrival in the U.S.;
</p><p>&#149; Date Asylum/Refugee status was granted;
</p><p>&#149; Names, dates of birth, and locations of immediate relatives; and
</p><p>&#149; DNA Results--confirmed or not confirmed.
</p><p><i>Information about overseas family members may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Gender;
</p><p>&#149; Date of Birth;
</p><p>&#149; City/Country of Birth;
</p><p>&#149; Nationality;
</p><p>&#149; Marital Status;
</p><p>&#149; A-Number (if applicable);
</p><p>&#149; Relationship to Anchor Relative;
</p><p>&#149; DNA Results--confirmed or not confirmed;
</p><p>&#149; Photographic facial image;
</p><p>&#149; Relationship to qualifying family member;
</p><p>&#149; Civil or criminal history information (if available); and
</p><p>&#149; Reports of investigations or derogatory information obtained from DHS or other federal systems (if available).
</p><p><i>Information about preparer may include:</i>
</p><p>&#149; Preparer’s name;
</p><p>&#149; Domestic resettlement agency’s name.
</p><p><i>Information about the case determination may include:</i>
</p><p>&#149; RAVU Checklists
</p><p>&#149; Decision Letters
</p><p>&#149; Summary of Findings, including inconsistencies found between claimed relationships in the AOR and available USCIS records
</p><p>&#149; Pre-Case ID Numbers
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintaining this system is contained in Sections 1157 and 1522(b) of the INA, as amended (8 U.S.C. 1157, 1522(b)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to track and manage the review of AORs submitted by anchor relatives in the United States on behalf of certain qualifying family members overseas who are seeking consideration for refugee resettlement under the Priority Three Family Reunification Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: Note: Even when a valid routine use permits disclosure of information from this system of records to a third party, in some cases such disclosure may not be permissible because of confidentiality laws and policies that limit the sharing of information regarding individuals applying for certain immigration benefits. Information in this system of records contains information relating to persons who have pending or approved applications for asylum or refugee status and should not be disclosed pursuant to a routine use unless disclosure is otherwise permissible under the confidentiality statutes, regulations, or policies applicable to that information. These confidentiality provisions do not prevent DHS from disclosing information to the U.S. Department of Justice (DOJ) and U.S. Attorneys’ Offices as part of an ongoing criminal or civil investigation.
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’ efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm as limited by 8 CFR 208.6.
</p><p>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 DHS, 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 under 8 CFR 208.6 on disclosure as are applicable to DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To DOS, their contractors, agents, grantees, experts, consultants, or others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DOS, when necessary to accomplish an agency function related to this system of records.
</p><p>I. To an attorney or representative who is acting on behalf of an individual covered by this system of records (as defined in 8 CFR 1.1(j)) in conjunction with any proceeding before DHS/USCIS or the Executive Office for Immigration Review.
</p><p>J. 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.
</p><p>K. To Federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware of an indication of a threat or potential threat to national or international security, or where such use is to assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in secure facilities in a locked drawer behind a locked door. The records may be stored on CD, DVD, or other digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the anchor relative’s A-Number or the Pre-Case ID assigned to the AOR.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>NARA approved the RAVU Records [N1-563-04-05] Retention Schedule. USCIS is working with NARA to supersede/revise the RAVU Retention Schedule to reflect a 15-year retention of the Master File instead of the current 20 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Refugee Affairs Division, Refugee, Asylum, and International Operations Directorate, 111 Massachusetts Avenue NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the National Records Center (NRC) FOIA/PA Office, P.O. Box 648010, Lee’s Summit, MO, 64064-8010. The NRC’s contact information can be found at <i>http://www.dhs.gov/foia</i> under "Contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Lane SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is obtained from the individual who is the subject of these records. Other information sources include family members, petitions, A-File, information collected from federal databases for security screening checks, Resettlement Support Centers, the Refugee Processing Center, resettlement agencies, international organizations, and local sources at overseas sites.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis9" toc="yes">
<systemNumber>/USCIS-009</systemNumber>
<subsection type="systemName">DHS/USCIS-009 Compliance Tracking and Monitoring System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive but unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at USCIS Headquarters in Washington, DC, in USCIS field offices, and at a contractor-owned
facility in Meriden, CT. The system is accessible in a secure manner to authorized USCIS personnel via the Internet.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on four categories of individuals, any of whom may be either U.S. citizens or
non-U.S. citizens. These include:
</p><p>1. <i>Verification Subjects:</i> Individuals who are the subject of E-Verify or SAVE verifications and whose employer
is subject to compliance activities,
</p><p>2. <i>E-Verify or Save Program Users:</i> Individuals who use, are enrolled users, or have an agency or employment
responsibility associated with the SAVE or E-Verify programs,
</p><p>3. <i>Complainants:</i> Individuals who have contacted the Verification Division or publicly reported potential cases
of misuse, abuse, discrimination, breach of privacy, and fraudulent use of USCIS Verification Division’s verification
programs, the Systematic Alien Verification for Entitlements (SAVE) and E-Verify, and
</p><p>4. <i>DHS Employees:</i> Verification Division employees or contractors who are involved in SAVE and E-Verify
monitoring and compliance activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Verification Subjects birth information;
</p><p>&#149; Verification Subjects citizenship and nationality information;
</p><p>&#149; Verification Subjects immigrant/non-immigrant information maintained by DHS or Department of State, such
as arrival and departure information;
</p><p>&#149; Verification Subjects identification information such Social Security Number, A-Number, passport and visa
information;
</p><p>&#149; Verification Subjects contact information such as phone numbers, e-mail addresses, physical addresses;
</p><p>&#149; SAVE and E-Verify user contact information such as phone numbers, e-mail addresses, physical addresses;
</p><p>&#149; Analytic information derived from monitoring VIS that may indicate further compliance activities are
warranted (this may include any data element contained in VIS);
</p><p>&#149; Complaint and lead information from VIS redress requests, media reports, and call center compliant
reports;
</p><p>&#149; Information collected during compliance activities including, but not limited to: SAVE and E-Verify
created documents such as TNC, referral or compliance letters, Form I-9 and supporting documents, employment offer
and termination letters, benefit and credential applications and supporting documents, SAVE and E-Verify user interviews;
and
</p><p>&#149; CTMS user information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The authority for the maintenance of records in the system is found in 8 U.S.C. 1324a, 8 U.S.C. 1360, 42 U.S.C.
1320b-7 and the Immigration Reform and Control Act of 1986 (IRCA), Public Law (Pub. L.) 99-603, The Personal
Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA), Public Law 104-193, 110 Stat. 2168, Title
IV, Subtitle A, of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA), Public Law 104
-208, 110 Stat. 3009, 18 U.S.C. 3291, and in Executive Order 12989, as amended by Executive Order 13465, June 6,
2008.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to analyze, collect, and manage information necessary to support monitoring and
compliance activities for researching and managing misuse, abuse, discrimination, breach of privacy, and fraudulent use
of USCIS Verification Division’s verification programs, the Systematic Alien Verification for Entitlements (SAVE) and E-
Verify.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3).
</p><p>Routine uses include disclosure to:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, or local law enforcement agency or other appropriate authority charged
with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a
record, either on its face or in conjunction with other information, indicates a violation or potential violation of law,
which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official
duties of the person making the disclosure.
</p><p>H. To the DOJ, Civil Rights Division, for the purpose of responding to matters within the DOJ’s jurisdiction to
include allegations of fraud and/or nationality discrimination.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>This is an analytic and data management system that allows for retrievability on any data element collected. For
example, records may be retrieved by a name or other unique identifiers to include: verification number, A-Number, I
-94 Number, Visa Number, SSN, or by the submitting employer or agency name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following proposal for retention and disposal is being prepared to be sent to the National Archives and
Records Administration for approval. Records collected in the process of establishing immigration and citizenship status
or employment authorization are stored and retained in the VIS Repository for ten (10) years from the date of the
completion of the verification unless the records are part of an on-going investigation in which case they may be
retained until completion of the investigation. This period is based on the statute of limitations for most types of
misuse or fraud possible using VIS (under 18 U.S.C. 3291, the statute of limitations for false statements or misuse
regarding passports, citizenship or naturalization documents).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Verification Division, U.S. Citizenship and Immigration Services, 470-490 L’Enfant Plaza East, SW.,
Suite 8206,  Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, USCIS, Verification Division will consider
individual requests to determine whether or not information may be released. Thus, individuals seeking notification of
and access to any record contained in this system of records, or seeking to contest its content, may submit a request in
writing to the headquarters or component’s FOIA Officer, whose contact information can be found at <i>
http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer, Department
of Homeland Security, 245 Murray Lane, SW., Building 410, Mail STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records come from several sources including: (1) Information from VIS reflecting the monitoring analysis of VIS
systems users, potentially including any data fields that are allowed for VIS under the current VIS SORN, 73 FR 75445;
(2) complaints, questions, and tips from SAVE and E-Verify users and individuals subject to immigration status
verification provided by callers to the Verification Call Center; (3) information collected on potential cases of misuse,
abuse, discrimination, breach of privacy, and fraudulent use of Verification programs from various media or law
enforcement organizations to include media leads or external requests; and (4) information collected from compliance
reviews undertaken by the M&amp;C staff which have been provided by the E-Verify employer or SAVE user regarding the
compliance review, which may include, but is not limited to: Form I-9 and supporting documents; benefit or
credential applications and supporting documents: government documents such as SSNs, visas, DHS and Department of State
issued benefit documents, and passports; employment offer and termination letters; and notes of interviews.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security plans to claim an exemption for this system from 5 U.S.C. 552a (c)(3), (d),
(e)(4)(G), and (e)(4)(H) pursuant to 5 U.S.C. 552a(k)(2). These exemptions apply only to the extent that records in the
system are subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="uscis10" toc="yes">
<systemNumber>/USCIS-010</systemNumber>
<subsection type="systemName">United States Citizenship and Immigration Services Asylum Information and Pre-Screening System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is currently located at the Department of Justice (DOJ) Data Processing Center, Dallas, Texas, with
data access by Department of Homeland Security (DHS) users including, but not limited to, U.S. Citizenship and
Immigration Services (USCIS) users from Headquarters, Regional, and District Offices, Service Centers, the National
Benefit Center and Asylum Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by Asylum Information and Pre-Screening System include:
</p><p>&#149; Individuals covered by provisions of section 208 of the Immigration and Nationality Act (Act), as amended,
who have applied with USCIS for asylum on Form I-589 (Application for Asylum and for Withholding of Removal) and/or
for suspension of deportation/special rule cancellation of removal under section 203 of NACARA on Form I-881
(Application for Suspension of Deportation or Special Rule Cancellation of Removal);
</p><p>&#149; Individuals who were referred to a USCIS Asylum Officer for a credible fear or reasonable fear screening
determination under 8 CFR part 208, subpart B, after having expressed a fear of return to the intended country of removal
because of fear of persecution or torture, during the expedited removal process under 8 U.S.C. 1225(b), the
administrative removal processes under 8 U.S.C. 1228(b) (removal of certain aliens convicted of aggravated felonies), or
8 U.S.C. 1231(a)(5) (reinstatement of certain prior removal orders);
</p><p>&#149; The spouse and children of a principal asylum applicant properly included in an asylum application; and
</p><p>&#149; Persons who complete asylum applications on behalf of the asylum applicant (e.g., attorneys, form
preparers, representatives).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in Asylum Information and Pre-Screening System include:
</p><p>&#149; Name,
</p><p>&#149; Alias,
</p><p>&#149; Alien number (A-number),
</p><p>&#149; Address,
</p><p>&#149; Sex,
</p><p>&#149; Marital status,
</p><p>&#149; Date of birth,
</p><p>&#149; Country of birth,
</p><p>&#149; Country of nationality,
</p><p>&#149; Ethnic origin,
</p><p>&#149; Religion,
</p><p>&#149; Port and date of entry,
</p><p>&#149; Social Security number (if available),
</p><p>&#149; Status at entry, filing date of asylum application,
</p><p>&#149; Results of security checks,
</p><p>&#149; Languages spoken.
</p><p>&#149; Claimed basis of eligibility for benefit(s) sought,
</p><p>&#149; Case status,
</p><p>&#149; Case history,
</p><p>&#149; Employment authorization eligibility and application history.
</p><p>&#149; Information from other systems of records (or their successor systems) such as Removable Alien Records
System (DHS/ICE-011, published May 5, 2009, 74 FR 20719), TECS (DHS/CBP-011, published December 1, 2008, 73
FR 77778), the Records and Management Information System (JUSTICE/EOIR-001, published May 11, 2004, 69 FR 26179),
and the USCIS Benefits Information System (BIS) (DHS/USCIS-003, published September 29, 2008, 73 FR 56596).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1101, 1103, 1158, 1225, 1228, and 1522.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of Asylum Information and Pre-Screening System is to manage, control, and track the following types
of adjudications:
</p><p>A. Affirmative asylum applications and
</p><p>B. Applications filed with USCIS for suspension of deportation/special rule cancellation of removal pursuant to
section 203 of NACARA.
</p><p>C. Credible fear screening cases under 8 U.S.C. 1225(b)(1)(B) and
</p><p>D. Reasonable fear screening cases under 8 CFR 208.31.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information;
and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm as limited
by the terms and conditions of 8 CFR 208.6.
</p><p>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 DHS, 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 and the limitations of Title 8, Code of Federal Regulations (8 CFR) &#167; 
208.6 on disclosure as are applicable to DHS officers and employees. 8 CFR 208.6 prohibits the disclosure to third
parties of information contained in or pertaining to asylum applications, credible fear determinations, and reasonable
fear determinations except under certain limited circumstances.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To any element of the U.S. Intelligence Community, or any other Federal or state agency having a counterterrorism
function, provided that the need to examine the information or the request is made in connection with its authorized
intelligence or counterterrorism function or functions and the information received will be used for the authorized
purpose for which it is requested.
</p><p>I. To other Federal, State, tribal, and local government agencies, foreign governments, intergovernmental
organizations and other individuals and organizations as necessary and proper during the course of an investigation,
processing of a matter, or during a proceeding within the purview of U.S. or foreign immigration and nationality laws, to
elicit or provide information to enable DHS to carry out its lawful functions and mandates, or to enable the lawful
functions and mandates of other federal, state, tribal, and local government agencies, foreign governments, or
intergovernmental organizations as limited by the terms and conditions of 8 CFR 208.6 and any waivers issued by the
Secretary.
</p><p>J. To a Federal, State, tribal, or local government agency or foreign government seeking to verify or ascertain the
citizenship or immigration status of any individual within the jurisdiction of the agency for any purpose authorized by
law.
</p><p>K. To appropriate agencies, entities, and persons when:
</p><p>1. It is suspected or confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. It is determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure is made to such agencies, entities, and persons when reasonably necessary to assist in connection
with efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are stored in a database on magnetic disk and tape. A record, or any part thereof, may be printed and
stored in the applicant’s A-file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed and retrievable by name and/or A-file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following USCIS proposal for retention and disposal is pending approval by NARA:
</p><p>Master File automated records will be maintained for 25 years after the case is closed, and then archived at the DOJ
Data Processing Center or its designated successor, for 75 years and then destroyed. Copies of system data may be stored
in the individual’s Alien File (NCI-85-80-5/1).
</p><p>Reports used to facilitate case processing that contains personally identifiable information will be maintained at
Headquarters and Asylum Field Offices and destroyed when no longer needed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Chief of the Asylum Division, Refugee, Asylum and International Operations Directorate, U.S. Citizenship and
Immigration Services, Suite 3300, 20 Massachusetts Avenue, NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because of criminal, civil, and administrative enforcement requirements. However, USCIS
will consider individual requests to determine whether or not information may be released. Thus, individuals seeking
notification of and access to any record contained in this system of records, or seeking to contest its content, may
submit a request in writing to the Headquarters or component’s FOIA Officer, whose contact information can be found at <i
>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer, Department
of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the individuals who are the subject of these records. Information contained in this
system may also be supplied by DHS, other U.S. Federal, State, tribal, or local government agencies, foreign government
agencies, and international organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis11" toc="yes">
<systemNumber>/USCIS-011</systemNumber>
<subsection type="systemName">E-Verify Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, for official use only.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the U.S. Citizenship and Immigration Services (USCIS) Headquarters in Washington, DC and field offices;
and at the DHS Stennis Data Center (DC1).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by the E-Verify program include: Employees, both U.S. Citizens and non-U.S. Citizens,
whose employers have submitted to E-Verify their identification and contact information; employers who enroll in E-Verify; designated
agents who enroll in E-Verify; individuals employed or retained by employers or designated agents who have accounts to use E-Verify;
individuals who contact E-Verify with information on the use of E-Verify; and individuals who provide their names and contact
information to E-Verify for notification or contact purposes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A. Information about the employee to be verified:
</p><p>&#149; Name (last, first, middle initial, other names used, if any);
</p><p>&#149; Date of Birth;
</p><p>&#149; Social Security Number (SSN);
</p><p>&#149; Contact information such as email address and telephone number;
</p><p>&#149; Date of Hire;
</p><p>&#149; Information related to the expiration of the three day hire;
</p><p>&#149; Awaiting SSN;
</p><p>&#9675; Technical Problems,
</p><p>&#9675; Audit Revealed New Hire Was Not Run,
</p><p>&#9675; Federal Contractor With E-Verify Clause Verifying Existing Employees,
</p><p>&#9675; Other
</p><p>&#149; Claimed Citizenship Status;
</p><p>&#149; Acceptable Form I-9 document type;
</p><p>&#149; Expiration Date of Acceptable Form I-9 Document;
</p><p>&#149; State or jurisdiction of issuance of identity document when that document is a driver’s license, driver’s permit, or
state-issued identification (ID) card;
</p><p>&#149; Passport Number and Country of Issuance;
</p><p>&#149; Driver’s license number, driver’s permit number, or state-issued ID number if issued by a state or jurisdiction
participating in the Records and Information from Departments of Motor Vehicles for E-Verify (RIDE) program and when a Memorandum of
Agreement (MOA) exists between the state or jurisdiction and DHS USCIS to verify the information about the document;
</p><p>&#149; Receipt Number;
</p><p>&#149; Visa Number;
</p><p>&#149; A-Number;
</p><p>&#149; I-94 Number;
</p><p>&#149; Employment Authorization Document (Form I-766) Number;
</p><p>&#149; Permanent Residence Card (Form I-551) Number Photographs, if required by secondary verification.
</p><p>B. Disposition data from the employer. The following codes are entered by the employer based on what the employer does as a result
of the employment verification information (the most up-to-date disposition codes can be found in the E-Verify Employer Manual
available at <i>http://www.dhs.gov/E-Verify</i>):
</p><p>&#149; The employee continues to work for the employer after receiving and Employment Authorized result: Employer selects
this option based on receiving an Employment Authorized response from E-Verify;
</p><p>&#149; The employee continues to work for the employer after receiving a Final Non-confirmation (FNC) result: Employer
selects this option based on the employee getting an FNC despite the employee contesting the Tentative Non-confirmation (TNC) and the
employer retains the employee;
</p><p>&#149; The employee continues to work for the employer after receiving a No Show result: Employer selects this option based
on the employee getting a TNC but the employee did not try to resolve the issue with the Social Security Administration (SSA) or DHS
and the employer retains the employee;
</p><p>&#149; The employee continues to work for the employer after choosing not to contest a TNC: Employer selects this option
when the employee does not contest the TNC but the employer retains the employee;
</p><p>&#149; The employee was terminated by the employer for receiving a FNC result: Employer selects this option when employee
receives FNC and is terminated;
</p><p>&#149; The employee was terminated by the employer for receiving a No Show result: Employer selects this option when
employee did not take an action to resolve and is terminated;
</p><p>&#149; The employee was terminated by the employer for choosing not to contest a TNC: Employer selects this option when
employee does not contest the TNC and is terminated;
</p><p>&#149; The employee voluntarily quit working for the employer: Employer selects this option when employee voluntarily quits
job without regard to E-Verify;
</p><p>&#149; The employee was terminated by the employer for reasons other than E-Verify: Employer selects this option when
employee is terminated for reasons other than E-Verify;
</p><p>&#149; The case is invalid because another case with the same data already exists: Employer selects this option when the
employer ran an invalid query because the information had already been submitted;
</p><p>&#149; The case is invalid because the data entered is incorrect: Employer selects this option when the employer ran an
invalid query because the information was incorrect.
</p><p>C. Information about the Employer or Designated Agent:
</p><p>&#149; Company Name;
</p><p>&#149; Street Address;
</p><p>&#149; Employer Identification Number;
</p><p>&#149; North American Industry Classification System (NAICS) Code;
</p><p>&#149; Number of Employees;
</p><p>&#149; Number of Sites;
</p><p>&#149; Parent Company or Corporate Company;
</p><p>&#149; Name of Company Point of Contact;
</p><p>&#149; Phone Number;
</p><p>&#149; Fax Number;
</p><p>&#149; E-Mail Address.
</p><p>D. Information about the Individual Employer User of E-Verify: (e.g., Human Resource employee conducting E-Verify queries):
</p><p>&#149; Last Name;
</p><p>&#149; First Name;
</p><p>&#149; Middle Initial;
</p><p>&#149; Phone Number;
</p><p>&#149; Fax Number;
</p><p>&#149; Email Address;
</p><p>&#149; User ID.
</p><p>E. Employment Eligibility Information created by E-Verify:
</p><p>&#149; Case Verification Number;
</p><p>&#149; VIS Response (the most up-to-date codes can be found in the E-Verify Employer Manual available at <i>
http://www.dhs.gov/E-Verify</i>):
</p><p>&#9675; Employment Authorized,
</p><p>&#9675; DHS Verification in Process,
</p><p>&#9675; SSA TNC,
</p><p>&#9675; DHS TNC,
</p><p>&#9675; Employee Referred to SSA,
</p><p>&#9675; Employee Referred to DHS,
</p><p>&#9675; SSA Case in Continuance (In rare cases SSA needs more than 10 federal government workdays to confirm employment
eligibility),
</p><p>&#9675; DHS Case in Continuance (In rare cases DHS needs more than 10 federal government workdays to confirm employment
eligibility),
</p><p>&#9675; SSA FNC,
</p><p>&#9675; DHS FNC,
</p><p>&#9675; DHS No Show,
</p><p>&#9675; Case Incomplete,
</p><p>&#9675; Photo Matching Required,
</p><p>&#9675; Review and Update Employee Data,
</p><p>&#9675; Error: Close Case and Resubmit.
</p><p>F. Information from state Motor Vehicle Agencies (MVA) used to verify of the information from a driver’s license, permit, or state
issued ID card if the state has established a MOA with DHS USCIS to allow verification of this information. The categories of records
from MVAs may include:
</p><p>&#149; Last Name;
</p><p>&#149; First Name;
</p><p>&#149; State or Jurisdiction of Issuance;
</p><p>&#149; Document Type;
</p><p>&#149; Document Number;
</p><p>&#149; Date of Birth;
</p><p>&#149; Status Text;
</p><p>&#149; Status Description Text;
</p><p>&#149; Expiration Date.
</p><p>G. Information from federal databases used to verify employment eligibility may contain some or all of the following information
about the individual being verified:
</p><p>&#149; Last Name;
</p><p>&#149; First Name;
</p><p>&#149; Middle Name;
</p><p>&#149; Other Names Used (e.g., Maiden Name);
</p><p>&#149; Date of Birth;
</p><p>&#149; Age;
</p><p>&#149; Country of Birth;
</p><p>&#149; Country of Citizenship;
</p><p>&#149; Alien Number;
</p><p>&#149; SSN;
</p><p>&#149; Citizenship Number;
</p><p>&#149; Receipt Number;
</p><p>&#149; Address;
</p><p>&#149; Previous Address;
</p><p>&#149; Phone Number;
</p><p>&#149; Nationality;
</p><p>&#149; Gender;
</p><p>&#149; Photograph;
</p><p>&#149; Date Entered United States;
</p><p>&#149; Class of Admission;
</p><p>&#149; File Control Office Code;
</p><p>&#149; Form I-94 Number;
</p><p>&#149; Provision of Law Cited for Employment Authorization;
</p><p>&#149; Office Code Where the Authorization Was Granted;
</p><p>&#149; Date Employment Authorization Decision Issued;
</p><p>&#149; Date Employment Authorization Begins;
</p><p>&#149; Date Employment Authorization Expires;
</p><p>&#149; Date Employment Authorization Denied;
</p><p>&#149; Confirmation of Employment Eligibility;
</p><p>&#149; TNC of Employment Eligibility and Justification;
</p><p>&#149; FNC of Employment Eligibility;
</p><p>&#149; Status of Department of Justice Executive Office Immigration Review System (EOIR) Information, if in Proceedings;
</p><p>&#149; Date Alien’s Status Changed;
</p><p>&#149; Class of Admission Code;
</p><p>&#149; Date Admitted Until;
</p><p>&#149; Port of Entry;
</p><p>&#149; Departure Date;
</p><p>&#149; Visa Number;
</p><p>&#149; Passport Number;
</p><p>&#149; Passport Information including Country of Issuance (COI);
</p><p>&#149; Passport Card Number;
</p><p>&#149; Form Number, for example Form I-551 (Lawful Permanent Resident card) or Form I-766 (Employment
Authorization Document);
</p><p>&#149; Expiration Date;
</p><p>&#149; Employment Authorization Card Information;
</p><p>&#149; Lawful Permanent Resident Card Information;
</p><p>&#149; Petitioner Internal Revenue Service Number;
</p><p>&#149; Class of Admission;
</p><p>&#149; Valid To Date;
</p><p>&#149; Student Status;
</p><p>&#149; Visa Code;
</p><p>&#149; Status Code;
</p><p>&#149; Status Change Date;
</p><p>&#149; Port of Entry Code;
</p><p>&#149; Non-Citizen Entry Date;
</p><p>&#149; Program End Date;
</p><p>&#149; Naturalization Certificate Number;
</p><p>&#149; Naturalization Date and Place;
</p><p>&#149; Naturalization Information and Certificate;
</p><p>&#149; Naturalization Verification (Citizenship Certificate Identification ID);
</p><p>&#149; Naturalization Verification (Citizenship Naturalization Date/Time);
</p><p>&#149; Immigration Status (Immigration Status Code);
</p><p>&#149; Federal Bureau of Investigation Number;
</p><p>&#149; Admission Number;
</p><p>&#149; Petitioner Firm Name;
</p><p>&#149; Petitioner Tax Number;
</p><p>&#149; Date of Admission;
</p><p>&#149; Marital Status;
</p><p>&#149; Marriage Date and Place;
</p><p>&#149; Marriage Information and Certificate;
</p><p>&#149; Visa Control Number;
</p><p>&#149; Visa Foil Number;
</p><p>&#149; Class of Admission;
</p><p>&#149; Case History;
</p><p>&#149; Alerts;
</p><p>&#149; Case Summary Comments;
</p><p>&#149; Case Category;
</p><p>&#149; Date of Encounter;
</p><p>&#149; Encounter Information;
</p><p>&#149; Case Actions &amp; Decisions;
</p><p>&#149; Bonds;
</p><p>&#149; Current Status;
</p><p>&#149; Asylum Applicant Receipt Date;
</p><p>&#149; Airline and Flight Number;
</p><p>&#149; Country of Residence;
</p><p>&#149; City Where Boarded;
</p><p>&#149; City Where Visa was Issued;
</p><p>&#149; Date Visa Issued;
</p><p>&#149; Address While in United States;
</p><p>&#149; File Number;
</p><p>&#149; File Location.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for having a system for verification of employment eligibility is found in The Illegal Immigration Reform and Immigrant
Responsibility Act of 1996 (IIRIRA), Public Law 104-208 (1996).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system provides employment authorization information to employers participating in E-Verify. It may also be used to support
monitoring and compliance activities for obtaining information in order to prevent the commission of fraud, discrimination, or other
misuse or abuse of the E-Verify system, including violation of privacy laws or other illegal activity related to misuse of E-Verify,
including:
</p><p>&#149; Investigating duplicate registrations by employers;
</p><p>&#149; Inappropriate registration by individuals posing as employers;
</p><p>&#149; Verifications that are not performed within the required time limits; and
</p><p>&#149; Cases referred by and between E-Verify and the Department of Justice Office of Special Counsel for Immigration-
Related Unfair Employment Practices, or other law enforcement entities.
</p><p>Additionally, the information in E-Verify may be used for program management and analysis, program outreach, customer service, and
preventing or deterring further use of stolen identities in E-Verify.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside the Department of Homeland Security as a routine use pursuant to 5
U.S.C. 552a(b)(3). Any disclosure of information must be made consistent with the official duties of the person making the
disclosure. The routine uses are as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation or in
proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the
following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity when DOJ or DHS has agreed to represent the employee; or
</p><p>4. the U.S. or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to a written inquiry from that congressional office made
pursuant to a Privacy Act waiver from the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether
maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts
to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate
authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, when
a record, either on its face or in conjunction with other information, indicates a violation or potential violation of the E-Verify
program, which includes potential fraud, discrimination, or employment based identity theft and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To employers participating in the E-Verify Program in order to verify the employment eligibility of their employees working in
the United States.
</p><p>I. To the American Association of Motor Vehicle Administrators Network and participating MVAs for the purpose of validating
information for a driver’s license, permit, or identification card issued by the Motor Vehicle Agency of states or jurisdictions who
have signed a Memorandum of Agreement with DHS under the Records and Information from Departments of Motor Vehicles for E-Verify
(RIDE) program.
</p><p>J. To the DOJ, Civil Rights Division, for the purpose of responding to matters within the DOJ’s jurisdiction of the E-Verify
Program, especially with respect to discrimination.
</p><p>K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there
exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in
the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the
system, except to the extent it is determined that release of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, verification case number, Alien Number, I-94 Number, Receipt Number, Passport (U.S. or
Foreign) Number and COI, Driver’s License, Permit, or State-Issued Identification Card Number, or SSN of the employee, employee user,
or by the submitting company name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to
know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention and disposal schedule, N1-566-08-7 has been approved by the National Archives and Records
Administration. Records collected in the process of enrolling in E-Verify and in verifying employment eligibility are stored and
retained in E-Verify for ten (10) years from the date of the completion of the last transaction, unless the records are part of an
on-going investigation in which case they may be retained until completion of the investigation. This period is based on the statute
of limitations for most types of misuse or fraud possible using E-Verify (under 18 U.S.C. &#167; 3291, the statute of
limitations for false statements or misuse regarding passports, citizenship, or naturalization documents).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Verification Division, U.S. Citizenship and Immigration Services (USCIS), Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its
content, may submit a request in writing to the U.S. Citizenship and Immigration Services (USCIS), Freedom of Information Act (FOIA)
Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an
individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request
to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must
provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be
notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief
Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive
records; and
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without the above information the component(s) may not be able to conduct an effective search, and your request may be denied due
to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from several sources including:
</p><p>(A) Information collected from employers about their employees relating to employment eligibility verification;
</p><p>(B) Information collected from E-Verify users used to provide account access and monitoring;
</p><p>(C) Information collected from Federal and state databases listed below:
</p><p>&#149; SSA Numident System,
</p><p>&#149; CBP Nonimmigrant Information System (NIIS) and Border Crossing Information (BCI),
</p><p>&#149; ICE Student and Exchange Visitor Identification System (SEVIS),
</p><p>&#149; ICE ENFORCE Integrated Database (EID) Enforcement Alien Removal, Module (EARM) Alien Number,
</p><p>&#149; USCIS Aliens Change of Address System (AR-11),
</p><p>&#149; USCIS Central Index System (CIS),
</p><p>&#149; USCIS Customer Profile Management System (CPMS),
</p><p>&#149; USCIS Computer-Linked Application Information Management System Version 3 (CLAIMS 3),
</p><p>&#149; USCIS Computer-Linked Application Information Management System Version 4 (CLAIMS 4),
</p><p>&#149; USCIS Citizenship and Immigration Services Centralized Operational Repository (CISCOR),
</p><p>&#149; USCIS National File Tracking System (NFTS),
</p><p>&#149; USCIS Microfilm Digitization Application System (MiDAS),
</p><p>&#149; USCIS Marriage Fraud Amendment System (MFAS),
</p><p>&#149; USCIS Enterprise Document Management System (EDMS),
</p><p>&#149; USCIS Refugees, Asylum, and Parole System (RAPS),
</p><p>&#149; OBIM Arrival Departure Information System (ADIS),
</p><p>&#149; Department of State Consular Consolidated Database (CCD),
</p><p>&#149; Department of Justice Executive Office Immigration Review (EOIR) Case Access System,
</p><p>&#149; State Motor Vehicle Administrations, if participating in the E-Verify RIDE initiative,
</p><p>(D) Information created by E-Verify.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis12" toc="yes">
<systemNumber>/USCIS-012</systemNumber>
<subsection type="systemName">Citizenship and Immigration Data Repository.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCIS Headquarters in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: Persons who have filed (for themselves or on the behalf
of others) applications or petitions for immigration benefits under the Immigration and Nationality Act, as amended,
and/or who have submitted fee payments or received refunds from such applications or petitions; current, former and
potential (<i>e.g.,</i> fianc&#225;) family members of applicants/petitioners; persons who complete immigration forms
for applicants and petitioners (<i>e.g.,</i> attorneys, form preparers); and name of applicant’s employer. Additionally,
CIDR will maintain information on USCIS personnel who have used the underlying USCIS systems included in CIDR.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Social Security Number (if applicable);
</p><p>&#149; A-Number (if applicable);
</p><p>&#149; Addresses;
</p><p>&#149; Telephone numbers;
</p><p>&#149; Birth and death information;
</p><p>&#149; Citizenship or nationality;
</p><p>&#149; Immigration status;
</p><p>&#149; Marital and family status;
</p><p>&#149; Personal characteristics (<i>e.g.,</i> height and weight);
</p><p>&#149; Records regarding tax payment and financial matters;
</p><p>&#149; Records regarding employment;
</p><p>&#149; Medical records;
</p><p>&#149; Military and Selective Service records;
</p><p>&#149; Records regarding organization membership or affiliation;
</p><p>&#149; DHS issued card serial numbers;
</p><p>&#149; Records regarding criminal history and other background check information;
</p><p>&#149; Case processing information, such as date applications were filed or received by USCIS;
application/petition status, location of record, FOIA/PA or other control number when applicable;
</p><p>&#149; Fee receipt data;
</p><p>&#149; Records of searches, analyses, correspondence, and outputs generated by USCIS personnel in response to a
classified request for USCIS immigrant and non-immigrant data; and
</p><p>&#149; System audit logs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintaining this system is in &#167; 101 and 103 of the Immigration and Nationality Act, as
amended (8 U.S.C. 1101 and 1103), and the regulations issued pursuant thereto; &#167; 451 of the Homeland Security
Act of 2002 (Pub. L. 107-296); E.O. 12958; E.O. 13356; E.O. 13388;  and E.O. 12333.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is (1) vetting USCIS application information for indications of possible immigration
fraud and national security concerns, (2) detecting possible fraud and misuse of immigration information or position by
USCIS employees, for personal gain or by coercion, and (3) to respond to RFIs from the DHS I&amp;A and/or the Federal
intelligence and law enforcement community members that are based on classified criteria.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies, pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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 functions.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison
channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for
the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order,
or other applicable national security directive.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by an individual’s name, other identifiers, attributes, benefits application and case
status data, address, associates, and any other data associated with an individual maintained by USCIS in source systems.
Additionally, records may be retrieved by the output of USCIS’s search, analysis, and response to classified requests for
USCIS data.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>CIDR does not retain the replicated data sets from the underlying USCIS data systems, to include CLAIMS 3, CLAIMS
4, RAPS, APSS, RNACS, and CIS and the associated audit trails of DHS personnel using the systems, as covered by the
DHS/ALL-004--General Information Technology Access Account Records System (GITAARS). The data supplied by
these systems are retained by those systems in accordance with their own retention schedules. CIDR simply mirrors these
data sets. Information will be removed from CIDR after it has been removed in the source system. CIDR retains a record of
the classified search request, the results of the request, and a log of these activities for five years. These are
maintained for a minimum of five years in accordance with DCID. Classified data will be maintained for the
period of time required by the originating classification authority.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Technology Coordination Division Office of Security and Integrity, USCIS, 111 Massachusetts Avenue, NW.,
Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>DHS is exempting the records from general access provisions, pursuant to 5 U.S.C. 552a(k)(1) and (2). Each
request for information within CIDR will be reviewed to determine whether or not the record within CIDR meets the
requirements of the exemptions and, as appropriate, to disclose information that does not meet the requirements. This
does not prevent the individual from gaining access to his records in the source systems noted below. Persons may seek
access to records maintained in the source systems that feed into CIDR, currently CLAIMS 3, and in future releases,
CLAIMS 4, RAPS, APSS, RNACS, and CIS.
</p><p>USCIS treats all requests for amendment of information in a system of records as Privacy Act amendment requests. Any
individual seeking to access information maintained in CLAIMS 3, CLAIMS 4, RAPS, APSS, RNACS, and CIS and associated
systems should direct his or her request to the USCIS FOIA/Privacy Act (PA) Officer at USCIS FOIA/PA, 70 Kimball Avenue,
South Burlington, Vermont 05403-6813 (Human resources and procurement records) or USCIS National Records Center
(NRC), P.O. Box 648010, Lee’s Summit, MO 64064-8010 (all other USCIS records). The process for requesting records
can be found at 6 CFR 5.21. Requests for records amendments may also be submitted to the service center where the
application was originally submitted. The request should clearly state the information that is being contested, the
reasons for contesting it, and the proposed amendment to the information. If USCIS intends to use information that is not
contained in the application or supporting documentation (<i>e.g.,</i> criminal history received from law enforcement),
it will provide formal notice to the applicant and provide them an opportunity to refute the information prior to
rendering a final decision regarding the application. This provides yet another mechanism for erroneous information to be
corrected.
</p><p>Requests for access to records in this system must be in writing. Such requests may be submitted by mail or in person.
If a request for access is made by mail, the envelope and letter must be clearly marked "Privacy Access Request
" to ensure proper and expeditious processing. The requester should provide his or her full name, date and place of
birth, and verification of identity (full name, current address, and date and place of birth) in accordance with DHS
regulations governing Privacy Act requests (found at 6 CFR 5.21), and any other identifying information that may be of
assistance in locating the record.
</p><p>When seeking records from this system of records or any other USCIS system of records, the requestor must conform with
the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity by providing your full name,
current address and date and place of birth. You must sign your request, and your signature must either be notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty or perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and
FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information, USCIS will not be able to conduct an effective search, and your request may be
denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is obtained from the following systems of records:
</p><p>USCIS Systems:
</p><p>&#149; Benefits Information System DHS-USCIS-007, September 29, 2008, 73 FR 56596, which corresponds
to the following USCIS databases:
</p><p>&#9675; Computer Linked Adjudication Information Management System (CLAIMS 3, case tracking for all benefits
except refugee status, asylum, and naturalizations.)
</p><p>&#9675; Computer Linked Adjudication Information Management System (CLAIMS 4, case tracking for naturalization
benefits.)
</p><p>&#9675; Electronic Citizenship and Immigration Services Centralized Oracle Repository (eCISCOR).
</p><p>&#9675; Citizenship and Immigration Services Centralized Oracle Repository (CISCOR).
</p><p>&#149; Fraud Detection and National Security Data System (FDNS DS) DHS-USCIS-006, August 18, 2008, 73
FR 48231.
</p><p>&#149; Central Index System, (CIS) DHS-USCIS 001, January 16, 2007, 72 FR 1755.
</p><p>&#149; Asylum Information and Pre-Screening System, DHS-USCIS-010, January 5, 2010, 75 FR 409, which
corresponds to the following USCIS databases:
</p><p>&#9675; The Refugees, Asylum, and Parole System (RAPS), a case management system that tracks applications for
asylum pursuant to &#167; 208 of the Immigration and Naturalization Act (INA) and applications for suspension of
deportation or special rule cancellation of removal pursuant to Nicaraguan Adjustment and Central American Relief Act
(NACARA) &#167; 203 of the INA.
</p><p>&#9675; Asylum Pre-Screening System (APSS), a case management system that tracks the processing of "
Credible Fear" and "Reasonable Fear" cases by Asylum staff.
</p><p>DHS Intelligence and Analysis System:
</p><p>&#149; Enterprise Records System (ERS), DHS/IA-001, May 15, 2008, 73 FR 28128.
</p><p>DHS-Wide:
</p><p>&#149; DHS/ALL-004--General Information Technology Access Account Records System (GITAARS), September
29, 2009, 74 FR 49882.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (c)(3), (c)(4), (d), (e)(1), (e)(4)
(G), (H), (I), and (f) of the Privacy Act, pursuant to 5 U.S.C. 552a (k)(1) and (2) of the Privacy Act.
</p></xhtmlContent></subsection></section>
<section id="uscis13" toc="yes">
<systemNumber>/USCIS-013</systemNumber>
<subsection type="systemName">E-Verify Self Check.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCIS Headquarters in Washington, D.C. and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals seeking to check employment eligibility under the Immigration and Naturalization Act (INA). This
includes U.S. citizens as well as non-U.S. citizens.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>E-Verify Self Check is a two-step process: (1) identity authentication and (2) confirmation of work authorization
status. The first step of the process is the identity authentication. E-Verify Self Check will use a third party
commercial identity assurance service provider (IdP) using commercial identity verification information, collected by
third-party companies from financial institutions, public records, and other service providers to verify an individual’s
identity. The IdP will collect information about the individual who has elected to use E-Verify Self Check.
</p><p>The IdP will collect the following information from all individuals in order to generate the questions:
</p><p>&#149; Name (last, first, middle initial, and maiden);
</p><p>&#149; Date of birth;
</p><p>&#149; Address of Residence; and
</p><p>&#149; SSN(if provided).
</p><p>The questions asked by the IdP and the answers provided by the individual are not provided to USCIS. If an individual
fails the identity authentication portion of E-Verify Self Check and therefore is unable to proceed to an actual query in
E-Verify, none of the information listed above is provided to or retained by E-Verify Self Check. Only the transaction
number, the reason for failure, the date and time of the transaction, and error code are retained by the IdP to
facilitate troubleshooting and system management.
</p><p>In the individual passes identity authentication, he will be redirected to the DHS/USCIS E-Verify Self Check screen to
begin the E-Verify Self Check. The individual’s name, date of birth, and SSN (if provided) that were entered during
identity authentication is automatically pre-populated in E-Verify Self Check (E-Verify will not receive the address of
residence). This information will be unchangeable to ensure that the information represents the individual whose identity
has been authenticated. To begin the E-Verify Self Check process, the individual will be asked for additional
information. This information will be based the on individual’s citizenship status and the document chosen to prove work
authorization. Documents chosen could include:
</p><p>&#149; SSN (if not previously provided);
</p><p>&#149; Document(s) type, associated number, and associated expiration date that demonstrates work authorization.
These may include U.S. Passport, employment authorization document, I-495 Lawful Permanent resident card, or other
documents and associated numbers as listed as acceptable Form I-9 verification documents.
</p><p>This process is the same process as the basic E-Verify query and is described in the E-Verify PIA, dated May 4, 2010,
and System of Records Notice dated May 19, 2010, 75 FR 28035.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA), Public Law 104-208, dated
September 30, 1996.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>An individual will use E-Verify Self Check to determine work authorization status. E-Verify Self Check contracts
with an IdP in order to provide identity authentication.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation
or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one
of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of the E-Verify Program, which includes possible fraud, discrimination, or employment based
identity theft and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To an individual utilizing E-Verify Self Check in order to determine his own work authorization in the United
States.
</p><p>I. To a third party commercial identity assurance provider (IdP) under contract with the Department, but only the
name, date of birth, address of residence, and Social Security number (if provided), for the purposes of authenticating
an individual who is seeking to access the USCIS E-Verify Self Check for employment eligibility.
</p><p>When there are multiple attempts to authenticate an individual, which indicates possible fraud, the DHS contract
authorizes the IdP to notify the provider of the information of potential fraud and to terminate access to E-Verify Self
Check. The IdP will share the fact of the inquiry with the appropriate credit bureau and monitor for potential fraudulent
access in accordance with the Fair Credit Reporting Act (FCRA).
</p><p>Disclosure to consumer reporting agencies:
</p><p>DHS is using the services of a third party IdP to authenticate an individual’s identity. The third party IdP uses
commercial identity verification information which is collected by third party companies from financial institutions,
public records, and other service providers to create the knowledge-based questions used to authenticate identity. This
information does not belong to DHS nor will information from other sources relied upon by the third party provider be
collected and/or retained by DHS. FCRA requires the IdP to retain the fact of an inquiry. The IdP will maintain time/date
stamp and inquiry type (credit check, identity check, etc.) so that the inquiry is noted in the individual’s credit
record and can be audited at a later date. The E-Verify Self Check inquiry is an identity check, and therefore will not
affect an individual’s credit score. These types of inquiries are not shown to third parties who may request copies of
credit reports. Under FCRA, an individual has the right to know who has reviewed his credit report and the individual can
place a fraud alert on his credit file. If an individual has placed a fraud alert on his credit file, the individual will
not be able to authenticate for E-Verify Self Check purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically, on magnetic disc, tape, digital media, and CD-ROM. All
personal information entered by the individual as part of the IdP process and any questions that might have been
generated by the third party data IdP are deleted at the end of the session. Nothing is stored or retained in E-Verify
Self Check. Only the transaction number, the reason for failure, the date and time of the transaction, and error code are
retained to facilitate troubleshooting and system management. Because the IdP accesses an individual’s credit history to
perform the authentication, it will retain audits of the individual’s E-Verify Self Check inquiry to comply with legal
obligations, specifically, the FCRA. The FCRA requires that an inquiry be noted in the individual’s credit record.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records related to the IdP portion of the program can be retrieved by the following fields:
</p><p>&#149; E-Verify Self Check unique transaction ID;
</p><p>&#149; IdP Unique Transaction ID;
</p><p>&#149; E-Verify Self Check transaction time/date stamp;
</p><p>&#149; Failure of the IDP transaction; and
</p><p>&#149; Reason for Failure (i.e., could not generate questions/answered incorrectly/system error)
</p><p>For the actual E-Verify Self Check query, the information will be retrieved by name, Alien Number, I-94 Number,
Receipt Number, Passport (U.S. or Foreign) Number, or Social Security number of the individual as discussed in the E-
Verify SORN dated May 19, 2010.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention schedule is currently under development with the National Archives and Records Administration
(NARA). The proposed retention schedule for the query and response to the query is for one (1) year in order to allow
time for management analysis and proper reporting.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Verification Division, U.S. Citizenship and Immigration Services, Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the USCIS FOIA Officer, whose contact information can be found at
<i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains
Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-
0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from several sources including: (A) Information collected from individuals requesting their
work authorization status; (B) information collected from federal databases for work authorization, (C) information
created by E-Verify, including its monitoring and compliance activities; and (D) pass notification from the IdP when an
individual has successfully completed identity authentication.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="uscis14" toc="yes">
<systemNumber>/USCIS-014</systemNumber>
<subsection type="systemName">Electronic Immigration System-1 Temporary Accounts and Draft Benefit Requests System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the USCIS Headquarters in Washington, DC and in USCIS service centers and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>USCIS ELIS Temporary Accounts and Draft Benefit Requests stores and/or uses information about individuals who apply or petition for
or receive benefits under the INA. These individuals include: Applicants and petitioners (Applicants); co-applicants, beneficiaries,
derivatives, dependents, or other persons on whose behalf a benefit request is made or whose immigration status may be derived because
of a relationship to an Applicant (Co-Applicants); members of organizations petitioning for benefits under the INA on behalf of, or
contributing to, the financial support of an Applicant or Co-Applicant (Sponsors); attorneys and representatives recognized by USCIS
and/or accredited by the Board of Immigration Appeals (Representatives); Interpreters; and individuals who assist in the preparation of
the benefit request (Preparers).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p><i>Temporary account registration information about Applicants and Co-Applicants may include:</i>
</p><p>&#149; Email address;
</p><p>&#149; Password;
</p><p>&#149; Challenge questions and answers;
</p><p>&#149; Telephone Number;
</p><p>&#149; Phone Extension;
</p><p>&#149; Preferred Contact Method;
</p><p><i>Temporary account information about Applicants and Co-Applicants may include:</i>
</p><p>&#149; A-Number;
</p><p>&#149; Family Name;
</p><p>&#149; Given Name;
</p><p>&#149; Middle Name;
</p><p>&#149; Alias(es);
</p><p>&#149; Physical and mailing addresses:
</p><p>&#9675; Address;
</p><p>&#9675; Unit Number;
</p><p>&#9675; City;
</p><p>&#9675; State;
</p><p>&#9675; ZIP Code;
</p><p>&#9675; Postal Code;
</p><p>&#9675; U.S. County;
</p><p>&#9675; Province;
</p><p>&#9675; Country;
</p><p>&#149; Date of Birth;
</p><p>&#149; Deceased Date;
</p><p>&#149; Nationality;
</p><p>&#149; Country of Citizenship;
</p><p>&#149; City of Birth;
</p><p>&#149; State of Birth;
</p><p>&#149; Province of Birth;
</p><p>&#149; Country of Birth;
</p><p>&#149; Gender;
</p><p>&#149; Marital Status;
</p><p>&#149; Military Status;
</p><p>&#149; Fax Numbers;
</p><p>&#149; Immigration Status;
</p><p>&#149; Government-issued Identification (e.g. passport, driver’s license):
</p><p>&#9675; Document Type;
</p><p>&#9675; Issuing Organization;
</p><p>&#9675; Document Number;
</p><p>&#9675; Expiration Date;
</p><p>&#149; Benefit Requested;
</p><p>&#149; Notices and Communications, including:
</p><p>&#9675; Account Update Notifications;
</p><p>&#149; IP Address and Browser Information as part of the E-Signature.
</p><p><i>Benefit-specific eligibility information about Applicants and Co-Applicants may include:</i>
</p><p>&#149; Other Immigration-Related Identification Numbers (e.g., U.S. Department of State-Issued Personal Identification Number,
ICE Student and Exchange Visitor Number, USCIS E-Verify Company Identification Number);
</p><p>&#149; Arrival/Departure Information;
</p><p>&#149; Family Relationships (e.g., parent, spouse, sibling, child, other dependents) and Relationship Practices (e.g.,
polygamy, custody, guardianship);
</p><p>&#149; USCIS Receipt/Case Number;
</p><p>&#149; Personal Background Information (e.g., involvement with national security threats, criminal offenses, Communist party,
torture, genocide, killing, injuring, forced sexual contact, limiting or denying others religious beliefs; service in military or other
armed groups; work in penal or detention systems, weapons distribution, combat training);
</p><p>&#149; Health Information (e.g., vaccinations, referrals, communicable disease, physical or mental disorder, prostitution,
drug or alcohol abuse);
</p><p>&#149; Travel History;
</p><p>&#149; Education History;
</p><p>&#149; Work History;
</p><p>&#149; Professional Accreditation Information;
</p><p>&#149; Financial Information (income, expenses, scholarships, savings, assets, property, financial support, supporter
information, life insurance, debts, encumbrances, tax records);
</p><p>&#149; SSN;
</p><p>&#149; Supporting documentation as necessary (e.g., birth, marriage, and/or divorce certificates, appeals or motions to reopen
or reconsider decisions, explanatory statements, and unsolicited information submitted voluntarily by the Applicants or Co-Applicants
in support of a benefit request);
</p><p>&#149; Physical Description (e.g., height, weight, eye color, hair color, identifying marks like tattoos or birthmarks);
</p><p>&#149; Criminal Records;
</p><p>&#149; Relationships to Sponsors, Representatives, Preparers, Co-Applicants and other Applicants;
</p><p>&#149; Signature (electronic or scanned physical signature).
</p><p><i>Information about Sponsors may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Gender;
</p><p>&#149; Physical and Mailing Addresses:
</p><p>&#9675; Address;
</p><p>&#9675; Unit Number;
</p><p>&#9675; City;
</p><p>&#9675; State;
</p><p>&#9675; ZIP Code;
</p><p>&#9675; Postal Code;
</p><p>&#9675; U.S. County;
</p><p>&#9675; Province;
</p><p>&#9675; Country;
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Country of Domicile;
</p><p>&#149; Date of Birth;
</p><p>&#149; City of Birth;
</p><p>&#149; State of Birth;
</p><p>&#149; Province of Birth;
</p><p>&#149; Country of Birth;
</p><p>&#149; Citizenship Information;
</p><p>&#149; SSN;
</p><p>&#149; A-Number;
</p><p>&#149; Employment Information;
</p><p>&#149; Financial Information (e.g., income, expenses, scholarships, savings, assets, property, financial support, supporter
information, life insurance, debts, encumbrances, tax records);
</p><p>&#149; Position and Relationship to an Organization (e.g., manager of a company seeking formal recognition by USCIS);
</p><p>&#149; Family Relationships (e.g., parent, spouse, sibling, child, other dependents) and Relationship Practices (e.g.,
polygamy, custody, guardianship);
</p><p>&#149; Signature (electronic or scanned physical signature).
</p><p><i>Information about Representatives may include:</i>
</p><p>&#149; Name;
</p><p>&#149; Law Firm/Recognized Organization;
</p><p>&#149; Physical and Mailing Addresses;
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Email Address;
</p><p>&#149; Attorney Bar Card Number or Equivalent;
</p><p>&#149; Bar Membership;
</p><p>&#149; Accreditation Date;
</p><p>&#149; Board of Immigration Appeals Representative Accreditation;
</p><p>&#149; Expiration Date;
</p><p>&#149; Law Practice Restriction Explanation;
</p><p>&#149; Signature (electronic or scanned physical signature).
</p><p><i>Information about Preparers and Interpreters may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Organization;
</p><p>&#149; Business State ID Number;
</p><p>&#149; Physical and Mailing Addresses:
</p><p>&#9675; Address;
</p><p>&#9675; Unit Number;
</p><p>&#9675; City;
</p><p>&#9675; State;
</p><p>&#9675; ZIP Code;
</p><p>&#9675; Postal Code;
</p><p>&#9675; U.S. County;
</p><p>&#9675; Province;
</p><p>&#9675; Country;
</p><p>&#149; Email Address;
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Paid/Not Paid (i.e., whether the Preparer or Interpreter was paid for assisting the Applicant or Sponsor in completing
or submitting the benefit request);
</p><p>&#149; Relationship to Applicant;
</p><p>&#149; Signature (electronic or scanned physical signature).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Immigration and Nationality Act of 1952, Public Law 82-414, sections 101 and 103, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to provide an Applicant with a temporary account so that he or she may submit a benefit request
through USCIS ELIS for the first time. USCIS ELIS collects draft benefit request information to assist the Applicant or Representative
in providing all of the information necessary to request a benefit. If a first-time Applicant does not formally submit a benefit
request within 30 days of opening the temporary account or initiating the draft benefit request, the information will be deleted. If an
Applicant or Representative formally submits a benefit request within the 30-day window, USCIS converts the temporary account to a
permanent USCIS ELIS account and retains the information according to the USCIS ELIS Account and Case Management SORN and USCIS ELIS
Automated Background Functions SORN.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. &#167; 552a(b) of the Privacy Act, all or a portion of the
records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. &#167; 552a(b)
(3) as follows:
</p><p>A. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of identity theft or fraud, harm to
economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs
(whether maintained by DHS or another agency or entity) that relies upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and/or persons is reasonably necessary to assist in connection with DHS’s efforts
to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>B. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>If a benefit request has been submitted to USCIS within 30 days of initiation, the information will become permanent and shared
according to the routine uses listed in the Electronic Immigration System-2 Account and Case Management SORN and Electronic Immigration
System-3 Automated Background Functions SORN in order to maintain USCIS ELIS accounts and determine eligibility for requested benefits.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in secure facilities. The records are stored on magnetic disc, tape, and/or digital
media to maintain a real-time copy of the data for disaster recovery purposes. Real-time copies of data are deleted at the same time as
the original data.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the data elements listed above or by a combination thereof.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to
know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>USCIS retains and disposes of temporary account and draft benefit request data in accordance with NARA approved schedule
N1-566-11-02. After an Applicant registers for a USCIS ELIS account, the Applicant must begin drafting a benefit
request within 30 days. If the Applicant does not begin drafting a benefit request within 30 days of creating a temporary account,
USCIS ELIS considers the account abandoned and deletes the temporary account. If an Applicant with a temporary account does not submit
a benefit request within 30 days of starting a draft benefit request, USCIS ELIS deletes the temporary account and all draft benefit
request data. USCIS ELIS deletes all draft benefit request information 30 days after an Applicant or Representative begins, but fails
to complete, the benefit submission process.
</p><p>If an Applicant or Representative submits a benefit request within the 30-day window, USCIS retains the permanent account and
benefit request information according to the Electronic Immigration System-2 Account and Case Management SORN and Electronic
Immigration System-3 Automated Background Functions SORN.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The DHS system manager is the Chief, Office of Transformation Coordination, U.S. Citizenship and Immigration Services, Department of
Homeland Security, 633 3rd Street NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content,
may log in to USCIS ELIS to amend their information within the 30-day window. If the individual submits a benefit request, the
information will still be available by logging in to the individual’s USCIS ELIS account and may be amended through the processes
described in the USCIS ELIS Account and Case Management SORN and USCIS ELIS Automated Background Functions SORN.
</p><p>Because of the temporary nature of this data, records will not likely be available for FOIA requests. However, individuals seeking
notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request
in writing to the National Records Center (NRC) FOIA/PA Office, P.O. Box 648010, Lee’s Summit, MO 64064-8010. NRC’s contact
information can be found at <i>http://www.dhs.gov/foia</i> under "Contacts." If an individual believes that more
than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy
Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410,
STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must
conform with the Privacy Act regulations set forth in 6 C.F.R. Part 5. You must first verify your identity, meaning you must provide
your full name, current address, and date and place of birth. You must sign your request, and your signature must either notarized or
submitted under 28 U.S.C. &#167; 1746, a law that permits statements to be made under penalty of perjury as a substitute for
notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief
Freedom of Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive
records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and the request may be denied due to
lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the Applicant, the primary Applicant for a Co-Applicant, Sponsor, his or her Representative, Preparer, or
Interpreter.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="uscis15" toc="yes">
<systemNumber>/USCIS-015</systemNumber>
<subsection type="systemName">DHS/USCIS-015 Electronic Immigration System-2 Account and Case Management System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, and/or law enforcement sensitive. </p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in USCIS ELIS and associated electronic and paper files located at USCIS Headquarters in Washington, DC and
in USCIS service centers and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>USCIS ELIS Account and Case Management stores and/or uses information about individuals who request and/or receive immigration
benefits under the INA. These individuals include: applicants and petitioners (Applicants); co-applicants, beneficiaries, derivatives,
dependents, or other persons on whose behalf a benefit request is made or whose immigration status may be derived because of a
relationship to an Applicant (Co-Applicants); members of organizations petitioning for benefits under the INA on behalf of, or
contributing to, the financial support of an Applicant or Co-Applicant (Sponsors); attorneys and representatives recognized by USCIS
and/or accredited by the Board of Immigration Appeals (Representatives); Interpreters; and individuals who assist in the preparation of
the benefit request (Preparers).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p><i>Account information about Applicants and Co-Applicants may include:</i>
</p><p>&#149; USCIS ELIS Account Number;
</p><p>&#149; A-Number(s);
</p><p>&#149; Family Name;
</p><p>&#149; Given Name;
</p><p>&#149; Middle Name;
</p><p>&#149; Alias(es);
</p><p>&#149; Physical and Mailing Address(es):
</p><p>&#9675; Address
</p><p>&#9675; Unit Number
</p><p>&#9675; City
</p><p>&#9675; State
</p><p>&#9675; ZIP Code
</p><p>&#9675; Postal Code
</p><p>&#9675; U.S. County
</p><p>&#9675; Province
</p><p>&#9675; Country
</p><p>&#149; Date of Birth;
</p><p>&#149; Deceased Date;
</p><p>&#149; Nationality;
</p><p>&#149; Country of Citizenship;
</p><p>&#149; City of Birth;
</p><p>&#149; State of Birth;
</p><p>&#149; Province of Birth;
</p><p>&#149; Country of Birth;
</p><p>&#149; Gender;
</p><p>&#149; Marital Status;
</p><p>&#149; Military Status;
</p><p>&#149; Preferred Contact Method;
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Phone Extension;
</p><p>&#149; Email Address;
</p><p>&#149; Password;
</p><p>&#149; Challenge Questions and Answers;
</p><p>&#149; Immigration Status;
</p><p>&#149; Government-issued Identification (e.g., passport, driver’s license):
</p><p>&#9675; Document Type
</p><p>&#9675; Issuing Organization
</p><p>&#9675; Document Number
</p><p>&#9675; Expiration Date
</p><p>&#149; Benefit Requested;
</p><p>&#149; Notices and Communications, including:
</p><p>&#9675; Receipt Notices
</p><p>&#9675; Requests for Evidence
</p><p>&#9675; Notices of Intent to Deny
</p><p>&#9675; Account Update Notifications
</p><p>&#9675; Proofs of Benefit
</p><p>o Statements of Findings
</p><p>&#149; Signature (electronic or scanned physical signature);
</p><p>&#149; Pay.gov Payment Tracking Number;
</p><p>&#149; IP Address and Browser Information as part of the E-Signature;
</p><p>&#149; USCIS ELIS Case Submission Confirmation Number.
</p><p><i>Benefit-specific eligibility information about Applicants and Co-Applicants may include:</i>
</p><p>&#149; Other Immigration-Related Identification Numbers (e.g., DOS-Issued Personal Identification Number, ICE Student and
Exchange Visitor Number, USCIS E-Verify Company Identification Number);
</p><p>&#149; Arrival/Departure Information;
</p><p>&#149; Immigration History (e.g., citizenship/naturalization certificate number, removals, explanations);
</p><p>&#149; Family Relationships (e.g., parent, spouse, sibling, child, other dependents) and Relationship Practices (e.g.,
polygamy, custody, guardianship);
</p><p>&#149; USCIS Receipt/Case Number;
</p><p>&#149; Personal Background Information (e.g., involvement with national security threats, criminal offenses, Communist party,
torture, genocide, killing, injuring, forced sexual contact, limiting or denying others religious beliefs, service in military or other
armed groups, work in penal or detention systems, weapons distribution, combat training);
</p><p>&#149; Health Information (e.g., vaccinations, referrals, communicable diseases, physical or mental disorders, prostitution,
drug or alcohol abuse);
</p><p>&#149; Travel History;
</p><p>&#149; Education History;
</p><p>&#149; Work History;
</p><p>&#149; Professional Accreditation Information;
</p><p>&#149; Financial Information (e.g., income, expenses, scholarships, savings, assets, property, financial support, supporter
information, life insurance, debts, encumbrances, tax records);
</p><p>&#149; SSN, if applicable;
</p><p>&#149; Supporting documentation as necessary (e.g., birth, marriage, and/or divorce certificates, appeals or motions to reopen
or reconsider decisions, explanatory statements, and unsolicited information submitted voluntarily by the Applicants or Co-Applicants
in support of a benefit request);
</p><p>&#149; Physical Description (e.g., height, weight, eye color, hair color, identifying marks like tattoos or birthmarks);
</p><p>&#149; Fingerprint(s);
</p><p>&#149; Photographs;
</p><p>&#149; FBI Identification Number;
</p><p>&#149; Fingerprint Identification Number;
</p><p>&#149; Criminal Records;
</p><p>&#149; Criminal and National Security Background Check Information;
</p><p>&#149; Relationships to Sponsors, Representatives, Preparers, Co-Applicants, and other Applicants.
</p><p><i>Information about Sponsors may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Gender;
</p><p>&#149; Physical and Mailing Addresses:
</p><p>&#9675; Address
</p><p>&#9675; Unit Number
</p><p>&#9675; City
</p><p>&#9675; State
</p><p>&#9675; ZIP Code
</p><p>&#9675; Postal Code
</p><p>&#9675; U.S. County
</p><p>&#9675; Province
</p><p>&#9675; Country
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Country of Domicile;
</p><p>&#149; Date of Birth;
</p><p>&#149; City of Birth;
</p><p>&#149; State of Birth;
</p><p>&#149; Province of Birth;
</p><p>&#149; Country of Birth;
</p><p>&#149; Citizenship Information;
</p><p>&#149; SSN;
</p><p>&#149; A-Number;
</p><p>&#149; Employment Information;
</p><p>&#149; Financial Information (e.g., income, expenses, scholarships, savings, assets, property, financial support, supporter
information, life insurance, debts, encumbrances, tax records);
</p><p>&#149; Position and Relationship to an Organization (e.g., manager of a company seeking formal recognition by USCIS);
</p><p>&#149; Family Relationships (e.g., parent, spouse, sibling, child, other dependents) and Relationship Practices (e.g.,
polygamy, custody, guardianship);
</p><p>&#149; Signature (electronic or scanned physical signature).
</p><p><i>Information about Representatives may include:</i>
</p><p>&#149; Name;
</p><p>&#149; Law Firm/Recognized Organization;
</p><p>&#149; Physical and Mailing Addresses:
</p><p>&#9675; Address
</p><p>&#9675; Unit Number
</p><p>&#9675; City
</p><p>&#9675; State
</p><p>&#9675; ZIP Code
</p><p>&#9675; Postal Code
</p><p>&#9675; U.S. County
</p><p>&#9675; Province
</p><p>&#9675; Country
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Email Address;
</p><p>&#149; Attorney Bar Card Number or Equivalent;
</p><p>&#149; Bar Membership;
</p><p>&#149; Accreditation Date;
</p><p>&#149; Board of Immigration Appeals Representative Accreditation;
</p><p>&#149; Expiration Date;
</p><p>&#149; Law Practice Restriction Explanation;
</p><p>&#149; Signature (electronic or scanned physical signature);
</p><p><i>Information about Preparers and Interpreters may include:</i>
</p><p>&#149; Full Name;
</p><p>&#149; Organization;
</p><p>&#149; Business State ID Number;
</p><p>&#149; Physical and Mailing Addresses:
</p><p>&#9675; Address
</p><p>&#9675; Unit Number
</p><p>&#9675; City
</p><p>&#9675; State
</p><p>&#9675; ZIP Code
</p><p>&#9675; Postal Code
</p><p>&#9675; U.S. County
</p><p>&#9675; Province
</p><p>&#9675; Country
</p><p>&#149; Email Address;
</p><p>&#149; Phone and Fax Numbers;
</p><p>&#149; Paid/Not Paid (i.e., whether the Preparer or Interpreter was paid for assisting the Applicant or Sponsor in completing
or submitting the benefit request);
</p><p>&#149; Relationship to Applicant;
</p><p>&#149; Signature (electronic or scanned physical signature).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Authority for maintaining this system is in Sections 103 and 290 of the INA, as amended (8 U.S.C. 1103 and 1360), and the
regulations issued pursuant thereto; and Section 451 of the Homeland Security Act of 2002 (Pub. L. 107-296).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to manage USCIS ELIS on-line applicant, representative, and organizational accounts; gather
information related to a benefit request; manage workflow; generate reports; assist USCIS adjudicators in making a benefit
determination; and provide a repository of data to assist with future benefit requests. In addition, the USCIS ELIS Account and Case
Management process will be used to process and track all actions related to the case, including scheduling of biometrics appointments
and interviews, requesting evidence or additional information, and issuing decision notices and/or proofs of benefit.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Note:</p><p> Even when a valid routine use permits disclosure of information from this system of records to a third party, in
some cases such disclosure may not be permissible because of confidentiality laws and policies that limit the sharing of information
about the application for or award of certain immigration benefits. For example, information in this system of records contained in or
pertaining to applications for asylum or refugee protection, information relating to persons who have pending or approved petitions for
protection under the Violence Against Women Act, Seasonal Agricultural Worker or Legalization claims, the Temporary Protected Status of
an individual, and information relating to S, T, or U nonimmigrant visas should not be disclosed pursuant to a routine use unless
disclosure is otherwise permissible under the confidentiality statutes, regulations, or policies applicable to that information. These
confidentiality provisions do not prevent DHS from disclosing information to the U.S. Department of Justice (DOJ) and U.S. Attorneys’
Offices as part of an ongoing criminal or civil investigation.
</p><p>In addition to those disclosures generally permitted under 5 U.S.C. &#167; 552a(b) of the Privacy Act, all or a portion of the
records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. &#167; 552a(b)
(3) as follows:
</p><p>A. To DOJ, including U.S. Attorneys’ Offices, or other federal agencies conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee or former employee of DHS in his/her official capacity;
</p><p>3. Any employee or former employee of DHS in his/her individual capacity when DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to
economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs
(whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record,
either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes
criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making
the disclosure.
</p><p>H. To clerks and judges of courts exercising naturalization jurisdiction to review naturalization decisions, entertain requests for
hearings, or consider the revocation of naturalization, and to enable those courts to determine whether a naturalization case should be
remanded to DHS, whether an individual is eligible for naturalization, or if an individual previously granted naturalization should
have naturalization revoked.
</p><p>I. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of immigration, civil,
or criminal proceedings before a court or adjudicative body when:
</p><p>1. DHS or any component thereof; or
</p><p>2. Any employee of DHS in his or her official capacity; or
</p><p>3. Any employee of DHS in his or her individual capacity when the agency has agreed to represent the employee; or
</p><p>4. The United States, when DHS determines that litigation is likely to affect DHS or any of its components; is a party to litigation
or has an interest in such litigation, and DHS determines that use of such records is relevant and necessary to the litigation, and
that in each case, DHS determines that disclosure of the information to the recipient is compatible with the purpose for which it was
collected.
</p><p>J. To an attorney or representative (as defined in 8 CFR 1.1(j)) who is acting on behalf of an individual covered by this system of
records in connection with any proceeding before USCIS, ICE, CBP, or DOJ EOIR.
</p><p>K. To DOJ (including United States Attorneys’ Offices) or other federal agencies conducting litigation or in proceedings before any
court, adjudicative, or administrative body, when necessary to assist in the development of such agency’s legal and/or policy position.
</p><p>L. To DOS in the processing of requests for benefits under the INA, and all other immigration and nationality laws including
treaties and reciprocal agreements; or when DOS requires information to consider and/or provide an informed response to a request for
information from a foreign, international, or intergovernmental agency, authority, or organization about an alien or an enforcement
operation with transnational implications.
</p><p>M. To an appropriate federal, state, local, tribal, territorial, or foreign government agency or organization, as well as to other
individuals and organizations during the course of an investigation by DHS or the processing of a matter under DHS’s jurisdiction, or
during a proceeding within the purview of the immigration and nationality laws, when DHS deems that such disclosure is necessary to
carry out its functions and statutory mandates or to elicit information required by DHS to carry out its functions and statutory
mandates.
</p><p>N. To an appropriate federal, state, local, tribal, territorial, or foreign government agency or organization, or international
organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or charged with investigating,
prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to enable these entities to carry
out their law enforcement responsibilities, including the collection of law enforcement intelligence, and the disclosure is appropriate
to the proper performance of the official duties of the person receiving the information.
</p><p>O. To an appropriate federal, state, local, tribal, territorial, or foreign government agency or organization, or international
organization, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an
individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of
an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.
</p><p>P. To an individual’s current employer to the extent necessary to determine employment eligibility or to a prospective employer or
government agency to verify an individual is eligible for a government-issued credential that is a condition of employment.
</p><p>Q. To a former employee of DHS, 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 when the Department requires information or consultation
assistance from the former employee regarding a matter within that person’s former area of responsibility.
</p><p>R. To OMB in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of
the legislative coordination and clearance process as set forth in the Circular.
</p><p>S. To a federal, state, tribal, or local government agency and/or to domestic courts to assist such agencies in collecting the
repayment of loans, or fraudulently or erroneously secured benefits, grants, or other debts owed to them or to the U.S. Government, or
to obtain information that may assist DHS in collecting debts owed to the U.S. Government.
</p><p>T. To an individual or entity seeking to post or arrange, or who has already posted or arranged, an immigration bond for an alien to
aid the individual or entity in (1) identifying the location of the alien, or (2) posting the bond, obtaining payments related to the
bond, or conducting other administrative or financial management activities related to the bond.
</p><p>U. To a coroner for purposes of affirmatively identifying a deceased individual (whether or not such individual is deceased as a
result of a crime).
</p><p>V. Consistent with the requirements of the INA, to the Department of Health and Human Services (HHS), the Centers for Disease
Control and Prevention, or to any state or local health authorities, to:
</p><p>1. Provide proper medical oversight of DHS-designated civil surgeons who perform medical examinations of both arriving aliens and of
those requesting status as lawful permanent residents; and
</p><p>2. Ensure that all health issues potentially affecting public health and safety in the United States are being or have been
adequately addressed.
</p><p>W. To a federal, state, local, tribal, or territorial government agency seeking to verify or ascertain the citizenship or
immigration status of any individual within the jurisdiction of the agency for any purpose authorized by law.
</p><p>X. To the Social Security Administration (SSA) for the purpose of issuing a SSN and Social Security card to an alien who has made a
request for a SSN as part of the immigration process and in accordance with any related agreements in effect between the SSA, DHS, and
DOS entered into pursuant to 20 CFR &#167;&#167; 422.103(b)(3); 422.103(c); and 422.106(a), or other relevant laws and
regulations.
</p><p>Y. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware of an
indication of a threat or potential threat to national or international security, or where such use is to conduct national intelligence
and security investigations or assist in anti-terrorism efforts.
</p><p>Z. To third parties to facilitate placement or release of an individual (e.g., at a group home, homeless shelter) who has been or is
about to be released from DHS custody but only such information that is relevant and necessary to arrange housing or continuing medical
care for the individual.
</p><p>AA. To foreign governments for the purpose of coordinating and conducting the removal of individuals to other nations under the INA;
and to international, foreign, and intergovernmental agencies, authorities, and organizations in accordance with law and formal or
informal international arrangements.
</p><p>BB. To a federal, state, local, territorial, tribal, international, or foreign criminal, civil, or regulatory law enforcement
authority when the information is necessary for collaboration, coordination, and de-confliction of investigative matters, prosecutions,
and/or other law enforcement actions to avoid duplicative or disruptive efforts and to ensure the safety of law enforcement officers
who may be working on related law enforcement matters.
</p><p>CC. To the DOJ Federal Bureau of Prisons and other federal, state, local, territorial, tribal, and foreign law enforcement or
custodial agencies for the purpose of placing an immigration detainer on an individual in that agency’s custody, or to facilitate the
transfer of custody of an individual from DHS to the other agency. This will include the transfer of information about unaccompanied
minor children to HHS to facilitate the custodial transfer of such children from DHS to HHS.
</p><p>DD. To federal, state, local, tribal, territorial, or foreign governmental or quasi-governmental agencies or courts to confirm the
location, custodial status, removal, or voluntary departure of an alien from the United States, in order to facilitate the recipients’
exercise of responsibilities pertaining to the custody, care, or legal rights (including issuance of a U.S. passport) of the removed
individual’s minor children, or the adjudication or collection of child support payments or other debts owed by the removed individual.
</p><p>EE. To federal, state, tribal, territorial, local, international, or foreign government agency or entity for the purpose of
consulting with that agency or entity:
</p><p>1. To assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or
program;
</p><p>2. For the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS component
or program; or
</p><p>3. For the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of
another individual.
</p><p>FF. To the Department of Treasury to process and resolve payment issues.
</p><p>GG. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists
a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the
integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system,
except to the extent it is determined that release of the specific information in the context of a particular case would constitute an
unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records may be stored on magnetic disc, tape, and/or digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the data elements listed above or a combination thereof.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to
know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>USCIS is currently working with NARA to establish and publish the proposed USCIS ELIS records retention schedules. USCIS currently
plans to retain all account information and supporting evidence for 100 years after the account holder’s date of birth, or 15 years
from last action, whichever is later. Permanent accounts (e.g., for applicants who currently have A-files) and related case snapshots
and supporting evidence are permanent and will be transferred to the custody of NARA 100 years after the individual’s date of birth.
Non-immigrant case information and supporting evidence will be stored for 15 years from last action. Representative accounts will be
stored for 7 years, 6 months from last action. U.S. citizen accounts and cases will be archived internally after five years. All
accounts and cases will be put in an inactive status 15 years after last action.
</p><p>Records that are linked to national security, law enforcement, or fraud investigations or cases, will remain accessible for the life
of the related activity, to the extent retention for such purposes exceeds the normal retention period for such data in USCIS ELIS.
USCIS is reviewing its needs for the information as it transitions to a fully electronic environment and may amend its retention plans
and schedules as needed.
</p><p>USCIS proposes that, in compliance with NARA General Records Schedule 24, section 6, "User Identification, Profiles,
Authorizations, and Password Files," internal USCIS personnel accounts will be destroyed or deleted six years after the account
is terminated, or when no longer needed for investigative or security purposes, whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The DHS system manager is the Chief, Office of Transformation Coordination, U.S. Citizenship and Immigration Services, Department of
Homeland Security, 633 3rd Street NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Applicants may access and amend this information by logging into their USCIS ELIS account. Individuals seeking notification of and
access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the
National Records Center (NRC) FOIA/PA Office, P.O. Box 648010, Lee’s Summit, MO 64064-8010. NRC’s contact information can be
found at <i>http://www.dhs.gov/foia</i> under "Contacts." If an individual believes that more than one component
maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief
Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington,
DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must
conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning you must provide your
full name, current address, and date and place of birth. You must sign your request, and your signature must be either notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization.
While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of
Information Act Officer, <i>http://www.dhs.gov/foia</i> or 1-866-431-0486. In addition, you should:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive
records.
</p><p>If your request is seeking records pertaining to another living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
</p><p>Without the above information, the component(s) may not be able to conduct an effective search, and the request may be denied due to
lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the Applicant, the primary Applicant for a Co-Applicant, Sponsor, his or her Representative, Preparer, or
Interpreter. USCIS personnel may input information as they process a case, including information from commercial sources to verify
whether an Applicant or Co-Applicant is eligible for the benefit requested. USCIS ELIS Account and Case Management will also store and
use information from the following USCIS, DHS, and other federal agency systems of records:
</p><p>&#149; DHS/USCIS/ICE/CBP-001 Alien File, Index, and National File Tracking System of Records, 76 FR 34233 (June 13,
2011);
</p><p>&#149; DHS/USCIS-007 Benefits Information System, 73 FR 56596 (September 29, 2008);
</p><p>&#149; DHS/USCIS-010 Asylum Information and Pre-Screening, 75 FR 409 (January 5, 2010);
</p><p>&#149; DHS/USCIS-006 Fraud Detection and National Security Records (FDNS) 77 FR 47411 (August 8, 2012);
</p><p>&#149; DHS/USCIS-014 Electronic Immigration System-1 Temporary Accounts and Draft Benefit Requests System of Records, 76
FR 70730 (November 15, 2011);
</p><p>&#149; DHS/USCIS-016 Electronic Immigration System-3 Automated Background Functions System of Records, 76 FR 70735
(November 15, 2011);
</p><p>&#149; DHS/CBP-011 U.S. Customs and Border Protection TECS, 73 FR 77778 (December 19, 2008);
</p><p>&#149; DHS/ICE-001 Student and Exchange Visitor Information System, 75 FR 412 (January 5, 2010);
</p><p>&#149; DHS/ICE-011 Immigration and Enforcement Operational Records System (ENFORCE), 75 FR 23274 (May 3, 2010);
</p><p>&#149; DHS/USVISIT-001 Arrival and Departure Information System (ADIS), 72 FR 47057 (August 22, 2007);
</p><p>&#149; DHS/USVISIT-004 DHS Automated Biometric Identification System (IDENT), 72 FR 31080 (June 5, 2007);
</p><p>&#149; Overseas Citizens Services Records, STATE-05, 73 FR 24343 (May 2, 2008);
</p><p>&#149; Passport Records, STATE-26, 76 FR 34966 (July 6, 2011);
</p><p>&#149; Visa Records, STATE-39, 77 FR 65245 (October 25, 2012);
</p><p>&#149; JUSTICE/EOIR-001 Records and Management Information System, 72 FR 3410 (January 25, 2007);
</p><p>&#149; JUSTICE/FBI-002 The FBI Central Records System, 72 FR 3410 (January 25, 2007);
</p><p>&#149; JUSTICE/FBI-009 Fingerprint Identification Records System (FIRS), 72 FR 3410 (January 25, 2007); and
</p><p>&#149; TREASURY/FMS-017 Collections Records, 74 FR 23006 (May 15, 2009).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Additionally, many of the functions in this
system require retrieving records from law enforcement systems. When a record received from another system has been exempted in that
source system under 5 U.S.C. 552a(j)(2), DHS will claim the same exemptions for those records that are claimed for the original primary
systems of records from which they originated and claims any additional exemptions set forth here.
</p></xhtmlContent></subsection></section>
<section id="uscis16" toc="yes">
<systemNumber>/USCIS-016</systemNumber>
<subsection type="systemName">Electronic Immigration System-3 Automated Background Functions.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, for official use only, law enforcement sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Citizenship and Immigration Services Headquarters in Washington, DC
and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>USCIS ELIS Automated Background Functions stores and/or uses information about individuals who previously
received or petitioned for benefits in USCIS ELIS, or have information in USCIS legacy systems described under "
records source," under the Immigration and Nationality Act (INA), as amended. These individuals include: Applicants
and petitioners (Applicants); co-applicants, beneficiaries, derivatives, dependants or other persons on whose behalf a
benefit request is made or whose immigration status may be derived because of a relationship to the Applicant (Co-
Applicants); attorneys and representatives accredited by the Board of Immigration Appeals (Representatives); and
individuals that assist in the preparation of the benefit request.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; ELIS Account Number
</p><p>&#149; Name
</p><p>&#149; Date of Birth
</p><p>&#149; Place of Birth
</p><p>&#149; Country of Citizenship
</p><p>&#149; Gender
</p><p>&#149; Social Security Number, if applicable
</p><p>&#149; Alien Number
</p><p>&#149; Marital Status
</p><p>&#149; Family Relationships
</p><p>&#149; Current and Past Address Information
</p><p>&#149; Current and Past Telephone Information
</p><p>&#149; Case ID Number (specific to the benefit application)
</p><p>&#149; Application Type
</p><p>&#149; Passport Information
</p><p>&#149; Drivers License Number
</p><p>&#149; Email Address
</p><p>&#149; Eye Color
</p><p>&#149; Hair Color
</p><p>&#149; Height
</p><p>&#149; Attorney or Accredited Representative Information
</p><p>&#149; Employment Information
</p><p>&#149; FBI Number, if available
</p><p>&#149; Entry/Exit Data
</p><p>&#149; Rules used to generate results, assign confidence and severity levels, assign system flags, and route
cases
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>8 U.S.C. 1103 and 8 U.S.C. 1225.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of USCIS ELIS Automated Background Functions is to assist USCIS personnel in detecting duplicate and
related accounts; identifying potential national security concerns, criminality, and fraud; as well as ensuring that
serious or complex cases receive additional scrutiny.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To DOJ, including U.S. Attorney Offices, or other federal agencies conducting litigation or in proceedings before
any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a
party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS
determines that the records are both relevant and necessary to the litigation and the use of such records is compatible
with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised
information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To the Department of Justice (DOJ) Executive Office of Immigration Review (EOIR) in the processing of petitions or
applications for benefits under INA, and all other immigration and nationality laws including treaties and reciprocal
agreements.
</p><p>H. To DOS in the processing of petitions or applications for benefits under INA, and all other immigration and
nationality laws including treaties and reciprocal agreements.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the data elements listed above or combination thereof.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>USCIS is currently in negotiations with NARA for approval of the USCIS ELIS data retention and archiving plan.
USCIS proposes retaining the copy of biographic data stored in USCIS ELIS Automated Background Functions as long as the
records exist in the source system. However, USCIS is reviewing its needs for the information as it transitions to a
fully electronic environment and may amend its retention, as needed.
</p><p>USCIS proposes that, in compliance with NARA General Records Schedule 24, section 6, "User Identification,
Profiles, Authorizations, and Password Files," internal user accounts will be destroyed or deleted six years after
the user account is terminated, or when no longer needed for investigative or security purposes, whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The DHS system manager is the Chief, Records Division, U.S. Citizenship and Immigration Services, Department of
Homeland Security, 20 Massachusetts Avenue NW., Washington, DC 20529.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it may maintain law enforcement information. However, DHS/USCIS will consider
individual requests to determine whether or not information may be released. Thus, individuals seeking notification of
and access to any record contained in this system of records, or seeking to contest its content, may submit a request in
writing to the National Records Center, FOIA/PA Office, P.O. Box 648010, Lee’s Summit, MO 64064-8010. Specific FOIA
contact information can be found at <i>http://www.dhs.gov/foia</i> under "Contacts." If an individual
believes more than one component maintains Privacy Act records concerning him or her the individual may submit the
request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245
Murray Drive  SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1
-(866) 431-0486. In addition you should:
</p><p>&#149; Provide an explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are retrieved through, but not stored in, the USCIS ELIS Automated Background Functions from the
following USCIS, DHS, and other federal agency systems of records:
</p><p>&#149; DHS/USCIS-015--Electronic Immigration System-2--Account and Case Management System of
Records;
</p><p>&#149; DHS/USCIS-001--Alien File, Index, and National File Tracking System of Records;
</p><p>&#149; DHS/USCIS-007--Benefits Information System (BIS);
</p><p>&#149; DHS/USCIS-010--Asylum Information and Pre-Screening;
</p><p>&#149; DHS/USCIS-006--Fraud Detection and National Security Data System (FDNS-DS);
</p><p>&#149; DHS/CBP-011--U.S. Customs and Border Protection TECS;
</p><p>&#149; DHS/ICE-001--Student and Exchange Visitor Information System (SEVIS);
</p><p>&#149; DHS/ICE-011--Immigration Enforcement Operational Records System (ENFORCE);
</p><p>&#149; DHS/USVISIT-001--Arrival and Departure Information System (ADIS);
</p><p>&#149; DHS/USVISIT-0012--DHS Automated Biometric Identification System (IDENT);
</p><p>&#149; Department of State Consular Consolidated Database (CCD);
</p><p>&#149; JUSTICE/EOIR-001--Records and Management Information System;
</p><p>&#149; JUSTICE/FBI-002--FBI Central Records System; and
</p><p>&#149; JUSTICE/FBI-009--Fingerprint Identification Records System (FIRS).
</p><p>In order to resolve identity and relationships, records stored in USCIS ELIS Automated Background Functions are
obtained from the following USCIS systems of records: Electronic Immigration System-2 Account and Case Management; Alien
File, Index, and National File Tracking; Fraud Detection and National Security Data System; Benefits Information System;
and Asylum Information and Pre-Screening.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
Additionally, many of the functions in this system require retrieving records from law enforcement systems. Where a
record received from another system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will claim the
same exemptions for those records that are claimed for the original primary systems of records from which they originated
and claims any additional exemptions in accordance with this rule.
</p></xhtmlContent></subsection></section>
<section id="cisomb1" toc="yes">
<systemNumber>/CISOMB-001</systemNumber>
<subsection type="systemName">Citizenship and Immigration Services Ombudsman--001 Virtual Ombudsman System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at Citizenship and Immigration Services Ombudsman Headquarters in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include: any member of the general public, including
individuals, employers, and their representatives seeking assistance from the Citizenship and Immigration Services
Ombudsman in resolving general matters, issues, or problems with USCIS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s full legal name including any aliases;
</p><p>&#149; Individual’s date and country of birth;
</p><p>&#149; Individual’s legal citizenship;
</p><p>&#149; Individual’s alien ("A") number;
</p><p>&#149; Full legal name of person preparing form if other than the individual named in the case;
</p><p>&#149; Applications and petitions filed;
</p><p>&#149; Receipt number located on the top left hand corner of Notice of Action (Form I-797) received from
USCIS in response to the application/petition filed;
</p><p>&#149; Immigration status or interim benefit applied or petitioned for;
</p><p>&#149; Type of case problem;
</p><p>&#149; Source of case problem;
</p><p>&#149; Description of case problem;
</p><p>&#149; Prior actions taken to remedy the problem;
</p><p>&#149; Designated attorney/representative;
</p><p>&#149; Consent of the petitioner for USCIS to disclose information in the file to the designated representative;
</p><p>&#149; Verification statement signed and dated by the individual of the inquiry or the authorized representative;
and
</p><p>&#149; Declaration by the individual or the attorney or representative submitting the case problem.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 452 of the Homeland Security Act of 2002.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to provide efficient and secure case management and processing of information
related to individuals and employers problems with USCIS.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3), and in accordance with 6 U.S.C. 272, as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting
litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the
litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. any employee of DHS in his/her official capacity;
</p><p>3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, when necessary to accomplish a CISOMB 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To an attorney or representative who is acting on behalf of an individual covered by this system of records to
obtain the individual’s information submitted to the Virtual Ombudsman System.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by CISOMB Case Number, Alien Registration Number, or by the individuals’ name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration approved retention and disposal policy N1-
563-08, processed case files are cut off at the final disposition of the case and are deleted or destroyed ten
years after cutoff. Uncompleted case files are the record copy of cases where additional information is requested, but
not received. Cases are closed 30 days after the request for additional information. These records are cut off 30 days
from date of request if no response, and are deleted or destroyed 5 years after cutoff.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>CISOMB VOS Project Manager (202-357-8100), Office of the Citizenship and Immigration Services
Ombudsman, Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the CISOMB’s FOIA Officer, whose contact information can be found
at <i>http://www.dhs.gov/foia</i> under "contacts." When seeking records about yourself from this system of
records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth
in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, and
date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28
U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no
specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief FOIA Officer at
<i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information originates from stakeholders and customers who contact the CISOMB.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="usss1" toc="yes">
<systemNumber>/USSS-001</systemNumber>
<subsection type="systemName">Criminal Investigation Information System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Secret Service Headquarters, 950 H St., NW., Washington, DC 20223 and
field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>&#149; Individuals who have been or are currently the subject of a criminal investigation by DHS/USSS in
connection with the performance by that agency of its authorized criminal investigative functions;
</p><p>&#149; Individuals who are informants, suspects, defendants, fugitives, released prisoners, organized crime
figures, or those associated with these individuals who have been identified by DHS/USSS during the course of official
USSS criminal investigations or by information supplied by other law enforcement agencies, government units, and the
general public;
</p><p>&#149; Individuals who are witnesses and victims of crime as related to official USSS investigations;
</p><p>&#149; Individuals who are complainants and correspondents; and
</p><p>&#149; Individuals who are payees, registered owners, or endorsers of stolen or lost obligations and other
securities of the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Records containing information compiled for the purpose of identifying individual criminal offenders
and informants, suspects, defendants, fugitives, released prisoners, organized crime figures, or those associated with
these individuals in furtherance of an official criminal investigation. The records consist of identifying data,
including, but not limited to, name, date of birth, Social Security number, telephone number, home address, business
address, spouse and family information, physical description, notations of arrest, the nature and imposition of criminal
charges, sentencing, confinement, release, and parole or probations status concerning criminal offenders, defendants and
suspects, witnesses, victims, and law enforcement personnel;
</p><p>&#149; Records containing reports identifiable with an individual, compiled at various stages of the process of
enforcement of criminal laws from arrest or indictment through release from supervision, including reports of informants
and investigators, for the purpose of a criminal investigation;
</p><p>&#149; Records containing investigatory material compiled for law enforcement purposes, including but not limited
to, handwriting exemplars; laboratory analyses of inks and papers; handwriting analyses; petitions for the remission of
forfeitures; notice of non-receipt of Treasury drafts; affidavits of forged endorsements; opinions of the examiner of
questioned documents; reports or opinions from the examination of computer evidence; reports or opinions from the
examination of altered cellular telephones; certificates by owners of U.S. registered securities concerning forged
requests for payments or assignments; applications for relief on account of loss, theft, or destruction of U.S. Savings
Bonds or checks; photographic reproductions of obligations and other securities of the United States; contraband items;
claims against the United States for the proceeds of government checks and bonds; reports necessary for the settlement of
check and bond claims; polygraph case files; forensic examination information; search warrants and search warrant
returns; indictments; certified inventories of property held as evidence; sworn and unsworn witness statements; state,
local, and foreign criminal investigative information and reports; names and telephone numbers of persons intercepted by
electronic, mechanical, or other device under the provisions of 18 U.S.C. &#167; 2510 et.seq. compiled during the
lawful course of a criminal or civil investigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Public Law 107-296; Federal Records Act, 44 U.S.C. 3101; 5 U.S.C. 301;
18 U.S.C. 3056 and 3056A; and 6 CFR part 5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and maintain criminal records related to individuals being investigated
by DHS/USSS in connection with USSS’ criminal law enforcement functions, including but not limited to investigating
counterfeiting offenses, financial institution fraud, computer and telecommunications fraud, false identification
documents, access device fraud, advance fee fraud, and electronic funds transfer fraud.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside the Department of Homeland Security (DHS)
as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To employees and officials of financial and commercial business firms and to private individuals, information
pertaining to actual or suspected criminal offenders where such disclosure is considered reasonably necessary for the
purpose of furthering USSS efforts to investigate the activities of and apprehend criminal offenders and suspected
criminal offenders.
</p><p>I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosure to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>J. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if the information
is relevant and necessary to agency’s decision concerning the hiring or retention of an individual, the issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>K. To the Integrated Automated Fingerprint Identification System (IAFIS) managed by the Department of Justice, Federal
Bureau of Investigations in connection with USSS’s utilization.
</p><p>L. To federal, state, and local government agencies foreign or domestic, having prosecutorial and civil law
enforcement functions for use by attorneys, magistrates, and judges, parole or probation authorities and other law
enforcement authorities for the purpose of developing a criminal or civil investigation, prosecuting, sentencing, or
determining the parole and probation status of criminal offenders or suspected criminal offenders.
</p><p>M. To personnel of other federal, state, and local law enforcement agencies, foreign or domestic, for the purpose of
developing information on subjects involved in USSS criminal investigations and assisting other law enforcement agencies
in the investigation and prosecution of violations of the criminal laws which those agencies are responsible for
enforcing.
</p><p>N. To personnel of federal, state, and local governmental agencies, foreign and domestic, where such disclosure is
considered reasonably necessary for the purpose of furthering USSS efforts to investigate the activities of and apprehend
criminal offenders and suspected criminal offenders.
</p><p>O. To personnel of federal, state, and local governmental agencies, foreign and domestic, where there is a showing of
reasonable necessity to obtain such information to accomplish a valid law enforcement purpose as agreed to by the USSS.
</p><p>P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic records in this system are stored in secure facilities and/or behind locked doors.
Electronic records media, such as magnetic tape, magnetic disk, digital media, and CD ROM are stored in proper
environmental controls.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>This system is indexed by name, address, vehicle license number, and/or telephone number, and is retrieved
through computer search of magnetic media indices both at Headquarters and in the field offices. Additionally, subjects
are retrievable from the computerized files by physical description. Access to the physical files containing records is
by case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS and USSS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored, processed, and transmitted. Access to the computer system containing
the records in this system is limited to those individuals who have a USSS approved need to know the information for the
performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>All judicial cases are retained for a period of 30 years after case closure (unless otherwise required to be held
permanently for transfer to the National Archives and Records Administration). Non-judicial criminal investigative cases
(except non-judicial check and bond cases) are retained for 10 years. Non-judicial check claim and bond forgery cases are
retained for 5 years. Administrative files of an investigatory nature are retained for 5 years. Investigations for other
districts are retained for 2 years. Receipts are retained for a variety of time periods depending on the case file to
which they pertain. Arrest history forms are held permanently for transfer to the National Archives and Records
Administration. Headquarters criminal investigative case files are retained for 30 years. Consensual and non-consensual
interception indices are held for 10 years or when investigative use no longer exists, whichever is longer. Fingerprint
and photograph files are retained at varying intervals based on case type and in accordance with record retention
schedules approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Office of Investigations, U.S. Secret Service, 245 Murray Lane SW., Building T-5,
Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS/USSS will consider individual requests
to determine whether or not information may be released. Thus, individuals seeking notification of and access to any
record contained in this system of records, or seeking to contest its content, may submit a request in writing to the
USSS FOIA Officer, 245 Murray Drive SW., Building T-5, Washington, DC 20223. If an individual believes more than
one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief
FOIA Officer, Department of Homeland Security, whose contact information can be found at <i>http://www.dhs.gov/foia.</i>
</p><p>When seeking records about yourself from this system of records or any other USSS system of records, your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information USSS may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (e)(4)(I) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) and (k)(3); therefore, records sources shall not be disclosed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act and the limitations therein, this system is exempt
from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f);
and (g). Pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3) this system is exempt from the following provisions of the
Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)
(4)(H), (e)(4)(I), and (f). In addition, to the extent a record contains information from other exempt systems of
records; USSS will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="usss3" toc="yes">
<systemNumber>/USSS-003</systemNumber>
<subsection type="systemName">Non-Criminal Investigation Information System System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Secret Service Headquarters, 950 H St. NW., Washington, DC 20223 and
field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>&#149; Individuals who are applicants for employment or are currently employed with the USSS or other
federal or state entities and have taken a polygraph; and
</p><p>&#149; Qualified USSS law enforcement officers and qualified USSS retired law enforcement officers who carry
concealed firearms.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Individual’s name;
</p><p>&#149; Social Security number;
</p><p>&#149; Address;
</p><p>&#149; Date of birth;
</p><p>&#149; Case number;
</p><p>&#149; Polygraph examination reports and files;
</p><p>&#149; Records containing investigatory material compiled solely for the purpose of determining suitability,
eligibility, and/or qualifications for federal civilian employment or access to classified information; and
</p><p>&#149; Any group of records which have been created by the Law Enforcement Officer Safety Act of 2004, Public Law
108-277, 1, codified at 18 U.S.C. 926 B and C, as amended.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Public Law 107-296; 5 U.S.C. 301; Federal Records Act, 44 U.S.C. 3101;
18 U.S.C. 3056; 18 U.S.C. 3056A; 42 U.S.C. 13031; Executive Order 10450; and 6 CFR part 5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to record and maintain files related to applicants for employment or current
employees of the USSS or other federal or state entities who have taken a polygraph; and current and retired USSS
employees who are qualified to carry a concealed weapon.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C.
</p><p>552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed
outside the Department of Homeland Security (DHS) as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation, and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To Federal, State, or local government agencies for the purpose of developing a relevant ongoing civil,
administrative, or background investigation.
</p><p>I. To private institutions and individuals for the purpose of confirming and/or determining suitability, eligibility,
or qualification for federal civilian employment or access to classified information, and for the purposes of furthering
the efforts of the USSS to investigate the activities of individuals related to or involved in non-criminal civil and
administrative investigations.
</p><p>J. To another federal agency or to an instrumentality of any government jurisdiction within or under the control of
the United States for the purpose of determining suitability, eligibility, or qualifications for employment with or
access to classified information in such other agency instrumentality.
</p><p>K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>L. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the letting of a contract, or the issuance of a license,
grant or other benefit when disclosure is appropriate to the proper performance of the official duties of the person
making the request.
</p><p>M. To state and local school boards, private and public schools, daycare facilities, children’s camps, and childcare
transportation providers, if information concerns one of their employees, or applicants for employment, when such an
individual has admitted to the USSS that they viewed, have taken an interest in, or have engaged in prior activity
regarding child pornography, the touching of a child for sexual gratification, or child abuse.
</p><p>N. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic records in this system are stored in secure facilities and/or behind locked doors.
Electronic records media, such as magnetic tape, magnetic disk, digital media, and CD-ROM are stored in proper
environmental controls.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by name on file at USSS Headquarters, and in field offices and are retrieved through a manual
search of index cards and/or through computer search of magnetic media. Access to the physical files is by case number
obtained from the name indices.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS and USSS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored, processed, and transmitted. Access to the records in this system is
limited to those individuals who have a USSS approved need to know the information for the performance of their official
duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Applicant security and background investigation records of retired or separated USSS employees are retained for
20 years after the date of last action. All judicial case records are retained for 30 years from the date of case
closure, unless otherwise required to be held permanently for transfer to the National Archives and Records
Administration. Non-judicial and non-criminal case files generally are retained for a period of between 5 years and 30
years from the date of case closure, depending upon the nature or subject of the investigation. All other records, the
disposition of which is not otherwise specified, are retained until destruction is authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Human Resources and Training and Assistant Director, Office of Investigation, U.S. Secret
Service, 245 Murray Lane SW., Building T-5, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS/USSS will consider individual requests
to determine whether or not information may be released. Thus, individuals seeking notification of and access to any
record contained in this system of records, or seeking to contest its content, may submit a request in writing to the
USSS FOIA Officer, 245 Murray Drive, SW., Building T-5, Washington, DC 20223. If an individual believes more than
one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief
FOIA Officer, Department of Homeland Security, whose contact information can be found at <i>http://www.dhs.gov/foia.</i>
</p><p>When seeking records about yourself from this system of records or any other USSS system of records, your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-(866) 431-0486. In addition, you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information USSS may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from employees, former employees, and applicants for employment with the USSS; federal,
state, and local governmental agencies; court systems; executive entities, both foreign and domestic; educational
institutions; private businesses; and members of the general public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act and the limitations therein, this system is exempt
from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f);
and (g). Pursuant to 5 U.S.C. 552a (k)(1), (k)(2), (k)(3), (k)(5), and (k)(6), this system is exempt from the following
provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)
(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). In addition, to the extent a record contains information from other exempt
systems of records, USSS will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="usss4" toc="yes">
<systemNumber>/USSS-004</systemNumber>
<subsection type="systemName">Protection Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Secret Service Headquarters, 950 H St., NW., Washington, DC 20223,
other locations in Washington, DC, and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>&#149; Individuals who have been or are currently the subject of a criminal investigation by USSS or another
law enforcement agency for the violation of certain criminal statutes relating to the safety of persons or security of
properties, facilities, and areas protected by USSS;
</p><p>&#149; Individuals who are the subjects of investigative records and reports supplied to USSS by Federal, State,
and local law enforcement agencies, foreign or domestic, other non-law enforcement governmental agencies, or private
institutions and individuals, in conjunction with the protective function of USSS;
</p><p>&#149; Individuals who are the subjects of non-criminal protective and background investigations by USSS and
other law enforcement agencies;
</p><p>&#149; Individuals who are granted or denied ingress and egress to areas secured by USSS, or to areas in
proximity to persons protected by USSS, including but not limited to: invitees; passholders; tradesmen; and law
enforcement, maintenance, or service personnel;
</p><p>&#149; Individuals who are witnesses, protectees, suspects, complainants, informants, defendants, fugitives,
released prisoners, and correspondents who have been identified by USSS or from information supplied by other law
enforcement agencies, governmental units, private institutions, and members of the general public in connection with USSS
performance of its authorized protective functions;
</p><p>&#149; Individuals who have sought an audience or contact with persons protected by USSS;
</p><p>&#149; Individuals who have been involved in incidents or events which relate to the protective functions of the
USSS; and
</p><p>&#149; Individuals protected by the USSS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Individual’s name;
</p><p>&#149; Address;
</p><p>&#149; Date of Birth;
</p><p>&#149; Case number;
</p><p>&#149; Arrest record;
</p><p>&#149; Nature and disposition of criminal charges, sentencing, confinement, release, and parole or probation
status;
</p><p>&#149; Records concerning agency activities associated with protectee movements and other protective measures
taken on a protectee’s behalf;
</p><p>&#149; Records containing information compiled for the purpose of identifying and evaluating individuals who may
constitute a threat to the safety of persons or security of areas protected by the USSS;
</p><p>&#149; Records containing information compiled for the purpose of a criminal investigation, including reports of
informants and investigators, which are associated with an identifiable individual;
</p><p>&#149; Informant’s name and contact information (e.g., address; phone number);
</p><p>&#149; Records containing reports relative to an individual compiled at various stages of the process of
enforcement of certain criminal laws from arrest or indictment through release from supervision;
</p><p>&#149; Records containing information supplied by other Federal, State, and local law enforcement agencies,
foreign or domestic, other non-law enforcement governmental agencies, private institutions and persons concerning
individuals who, because of their activities, personality traits, criminal or mental history, or history of social
deviancy, may be of interest to the USSS in connection with the performance by that agency of its protective functions;
and
</p><p>&#149; Records containing information compiled for the purpose of background investigations of individuals,
including but not limited to, passholders, tradesmen, maintenance or service personnel who have access and/or have been
denied access to areas secured by or who may be in proximity to persons protected by USSS.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, Public Law 107-296; 5 U.S.C. 301; Federal Records Act, 44 U.S.C. 3101;
18 U.S.C. 3056; 18 U.S.C. 3056A and 6 CFR part 5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to assist USSS in protecting its protectees by recording information necessary to
implement protective measures and to investigate individuals who may come into proximity with a protectee, including
individuals who have been involved in incidents or events which relate to the protective functions of the USSS, and
individuals who have sought to make contact with a protectee.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside the Department of Homeland Security (DHS)
as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other federal agency conducting litigation or in proceedings before any court,
adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the
litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other
appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule,
regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation
or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the disclosure.
</p><p>H. To the Department of Justice and other Federal, State, and local governmental agencies having a prosecution
function for the use of attorneys, magistrates, and judges; and the parole and probation authorities for the purpose of
prosecuting, sentencing, and determining the parole and probation status of criminal offenders or suspected criminal
offenders; and for civil and other proceedings involving USSS protective functions.
</p><p>I. To Federal, State, and local governmental agencies, foreign and domestic, for the purposes of developing
information on subjects involved in USSS protective investigations and the evaluation of persons considered to be of
protective interest and for the purpose of protective functions.
</p><p>J. To Federal, State, and local governmental agencies, private institutions and private individuals, for the purpose
of implementing protective measures.
</p><p>K. To personnel of Federal, State, and local governmental agencies, foreign and domestic, when reasonably necessary to
the exercise of the USSS protective function.
</p><p>L. To private institutions and private individuals, identifying information pertaining to actual or suspected criminal
offenders or other individuals considered to be of protective interest, for the purpose of furthering USSS efforts to
evaluate the danger such individuals pose to persons protected by the agency.
</p><p>M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection
with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.
</p><p>N. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant
and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or the issuance of a
security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS
decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, the issuance of a license, grant or other benefit and when
disclosure is appropriate to the proper performance of the official duties of the person making the request.
</p><p>O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic records in this system are stored in secure facilities behind locked doors. Electronic
records media, such as magnetic tape, magnetic disk, digital media, and CD ROM are stored in proper environmental
controls.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>This system is indexed by case number, name, and other identifying data and other case related data, in master
and magnetic media indices. Records may be retrieved by any of these indices. Access to the physical files is located at
field offices, Headquarters, and other Washington, DC locations.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS and USSS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored, processed, and transmitted. Access to the records in this system is
limited to those individuals who have a USSS approved need to know the information for the performance of their official
duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Protective intelligence case records, including non-judicial protective intelligence cases, are routinely
retained for a period of up to 5 years from the date of last action; or for 10 years from the date of last action if they
contain electronic records. All judicial records are retained for a period of 20 years from the date of last action,
unless otherwise required to be held permanently for transfer to the National Archives and Records Administration. Files
relating to issuance of White House Complex passes for employees of the White House, Secret Service Employees, press
representatives accredited at the White House, and other authorized individuals are retained for a period of 8 years from
the date the file is closed. Records pertaining to the administration and operations of Secret Service protective
program, shift reports, survey files, and special event files are retained for a period of 3 to 5 years from the end of
the event. Records pertaining to trip files for domestic travel are retained for 5 years, and trip files for foreign
travel are retained for 10 years from the end of the event. Campaign related files are retained for a period of 30 years
after the end of the campaign and subsequently transferred to the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Office of Strategic Intelligence and Information; Assistant Director, Office of Technical
Development and Mission Support; and Assistant Director, Office of Protective Operations, U.S. Secret Service, 245 Murray
Drive SW., Building T-5, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment
procedures of the Privacy Act because it is a law enforcement system. However, DHS/USSS will consider individual requests
to determine whether or not information may be released. Thus, individuals seeking notification of and access to any
record contained in this system of records, or seeking to contest its content, may submit a request in writing to the
USSS FOIA Officer, Freedom of Information and Privacy Acts Program, 245 Murray Drive, SW., Building T-5,
Washington, DC 20223. If an individual believes more than one component maintains Privacy Act records concerning him or
her, the individual may submit the request to the DHS FOIA Officer, whose contact information can be found at <i>
http://www.dhs.gov/foia.</i>
</p><p>When seeking records about yourself from this system of records or any other USSS system of records your request must
conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you
must provide your full name, current address and date and place of birth. You must sign your request, and your signature
must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from
the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-(866) 431-0486. In addition you should
provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Specify when you believe the records would have been created; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information USSS may not be able to conduct an effective search, and your request may be denied
due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from subsections (e)(4)(I) of the Privacy Act
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) and (k)(3); therefore, records sources shall not be disclosed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act and the limitations therein, this system is exempt
from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f);
and (g). Pursuant to 5 U.S.C. 552a (k)(1), (k)(2), and (k)(3) this system is exempt from the following provisions of the
Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)
(4)(H), (e)(4)(I), and (f). In addition, to the extent a record contains information from other exempt Systems of
Records, USSS will rely on the exemptions claimed for those systems.
</p></xhtmlContent></subsection></section>
<section id="usvisit1" toc="yes">
<systemNumber>/USVISIT-001</systemNumber>
<subsection type="systemName">Arrival and Departure Information System (ADIS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Homeland Security (DHS).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist of aliens who have applied for entry, entered, or
departed from the United States at any time. These individuals may be in records collected by DHS or other Federal,
state, local, tribal, foreign, or international government organizations. This system primarily consists of records
pertaining to alien immigrants (including lawful permanent residents) and non-immigrants. Some of these individuals may
change status and become United States citizens.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>ADIS contains biographic data, biometric indicator data, and encounter data. Biographic data includes, but is not
limited to, name, date of birth, nationality, and other personal descriptive data. Biometric indicator data includes, but
is not limited to, fingerprint identification numbers. Encounter data provides the context of the interaction between the
immigrant or non-immigrant and the border management authority. This data includes, but is not limited to, encounter
location, document types, document numbers, document issuance information, and address while in the United States.
</p><p>ADIS also sometimes contains commentary from immigration enforcement officers which includes references to active
criminal and other immigration enforcement investigations and contains other confidential data fields used for
enforcement purposes.
</p><p>ADIS data may be derived from records related to entry or exit data of foreign countries collected by foreign
governments in support of their respective entry and exit processes; however, records collected from foreign governments
must relate to individuals who have entered or exited the United States at any time, i.e., individuals who have an
existing record in ADIS.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>6 U.S.C. 202; 8 U.S.C. 1103, 1158, 1201, 1225, 1324, 1357, 1360, 1365a, 1365b, 1372, 1379, and 1732.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is the primary repository of data held by DHS for near real-time entry and exit status
tracking throughout the immigrant and non-immigrant pre-entry, entry, status management, and exit processes, based on
data collected by DHS or other Federal or foreign government agencies and used in connection with DHS national security,
law enforcement, immigration, intelligence, and other DHS mission-related functions. Data is also used to provide
associated testing, training, management reporting, planning and analysis, or other administrative purposes. Similar data
may be collected from multiple sources to verify or supplement existing data and to ensure a high degree of data
accuracy.
</p><p>Specifically, the ADIS data will be used to identify lawfully admitted non-immigrants who remain in the United States
beyond their period of authorized stay, which may have a bearing on an individual’s right or authority to remain in the
country or to receive governmental benefits; to assist DHS in supporting immigration inspection at ports of entry (POEs)
by providing quick retrieval of biographic and biometric indicator data on individuals who may be inadmissible to the
United States; and to facilitate the investigation process of individuals who may have violated their immigration status
or may be subjects of interest for law enforcement or intelligence purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3), limited by privacy impact assessments, data sharing, or other agreements, as follows:
</p><p>A. To appropriate Federal, state, local, tribal, foreign, or international governmental agencies seeking information
on the subjects of wants, warrants, or lookouts, or any other subject of interest, for purposes related to administering
or enforcing the law, national security, or immigration, where consistent with a DHS mission-related function as
determined by DHS.
</p><p>B. To appropriate Federal, state, local, tribal, foreign, or international government agencies charged with national
security, law enforcement, immigration, intelligence, or other DHS mission-related functions in connection with the
hiring or retention by such an agency of an employee, the issuance of a security clearance, the reporting of an
investigation of such an employee, the letting of a contract, or the issuance of a license, grant, loan, or other benefit
by the requesting agency.
</p><p>C. To an actual or potential party or to his or her attorney for the purpose of negotiation or discussion on such
matters as settlement of a case or matter, or discovery proceedings.
</p><p>D. 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.
</p><p>E. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>F. 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 a DHS mission
function related to this system of records in compliance with the Privacy Act of 1974.
</p><p>G. To appropriate agencies, entities, and persons when: (1) It is suspected or confirmed that the security or
confidentiality of information in the system of records has been compromised; (2) DHS has determined that, as a result of
the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or
another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies,
entities, and persons who are reasonably necessary to assist in DHS’s efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
</p><p>H. To Federal, state, local, tribal, foreign or international government intelligence or counterterrorism agencies or
components where DHS becomes aware of an indication of a threat or potential threat to national or international
security, or where such use is to assist in anti-terrorism efforts and disclosure is appropriate to the proper
performance of the official duties of the person making the disclosure.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in a central computer database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by a variety of data elements including, but not limited to, name, place and date of
arrival or departure, document number, and fingerprint identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules, and policies, including the
DHS Information Technology Security Program Handbook. All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized
personnel who have a need to know, using locks, and password protection identification features. DHS file areas are
locked after normal duty hours, and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following proposal for retention and disposal is pending approval with the National Archives and Records
Administration (NARA): Testing and training data will be purged when the data is no longer required. Electronic records
for which the statute of limitations has expired for all criminal violations or that are older than 75 years, whichever
is longer, will be purged.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>ADIS System Manager, US-VISIT Program, U.S. Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the US-VISIT Privacy Officer,
US-VISIT Program, U.S. Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). An individual who is
the subject of a record in this system may be provided access. A determination whether a record may be accessed will be
made at the time a request is received. DHS will review and comply appropriately with information requests on a case-by-
case basis. An individual desiring copies of records maintained in this system should direct his or her request to the
FOIA Officer, US-VISIT Program, U.S. Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>This system is exempted from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). An individual who is
the subject of a record in this system may be provided access. A determination whether a record may be accessed will be
made at the time a request is received. DHS will review and comply appropriately with information requests on a case-by-
case basis. Requests for correction of records in this system may be made through the Traveler Redress Inquiry Program
(TRIP) at <i>http://www.dhs.gov/trip</i> or via mail, facsimile, or e-mail in accordance with instructions available at
<i>http://www.dhs.gov/trip.</i>
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic information contained in this system is supplied by individuals covered by this system and other Federal,
state, local, tribal, or foreign governments; private citizens; and public and private organizations.
</p><p>ADIS data may be derived from records related to entry or exit data of foreign countries collected by foreign
governments in support of their respective entry and exit processes; however, records collected from foreign governments
must relate to individuals who have entered or exited the United States at some time, i.e., have an existing record in
ADIS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)
(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). In addition, the
Secretary of Homeland Security has exempted portions of this system from 5 U.S.C. 552a (c)(3); (d); (e)(1), (e)(4)(G),
(e)(4)(H); and (f) pursuant to 5 U.S.C. 552a (k)(2). These exemptions apply only to the extent that records in the system
are subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="nppd/usvisit3" toc="yes">
<systemNumber>/NPPD/USVISIT-003</systemNumber>
<subsection type="systemName">The United States Visitor and Immigrant Status Indicator Technology (US-VISIT) Program; Technical
Reconciliation Analysis Classification System (TRACS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the United States Visitor and Immigrant Status Indicator Technology (US-VISIT)
Program Office Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice consist primarily of persons who are not United States citizens
or legal permanent residents (LPRs). However, it will contain data on: (1) U.S. citizens or LPRs who have a connection to
the DHS mission (e.g., individuals who have submitted a visa application to the UK (based on the January 11, 2008 signed
Memorandum of Understanding between the Department of Homeland Security of the United States of America and the [UKBA
International Group Visa Services program formerly known as] UKVISAS as the Authority Appointed by the Secretary of State
for the Home Department and the Secretary of State for Foreign and Commonwealth Affairs of the United Kingdom of Great
Britain and Northern Ireland, regarding Information Vetting and Sharing), or have made requests for a license or
credential as part of a background check or security screening in connection with their hiring or retention, performance
of a job function or the issuance a license or credential for employment at DHS); (2) U.S. citizens and LPRs who have an
incidental connection to the DHS mission (e.g., individuals living at the same address as individuals who have remained
in this country beyond their authorized stays); and (3) individuals who have, over time, changed their status and became
U.S. citizens or LPRs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include: (1) Biometric data (to include, but not limited to, photographs and
fingerprints); (2) biographic data held in Government system (to include, but not limited to, names, aliases, date of
birth, nationality or other personal descriptive data such as address and phone number); (3) biometric indicator data (to
include, but not limited to, fingerprint identification numbers); (4) encounter data (i.e. information that provides the
context of the interaction with an individual, such as encounters concerning border entry screening, immigration
enforcement, and submission of visa applications); and (5) commercial or publicly available data such as name, address,
and phone number as found in open source searches of internet phone directories. The records described in (1)-(5)
above may also include related contextual and information management data and metadata, such as: encounter location, time
of encounter, document types, document numbers, document issuance information, conveyance information, and address while
in the U.S. Information management data is used to manage ongoing analyses or investigations and may include, but is not
limited to, case resolution, status, comments and notes from interviewers or by the analysts assigned to the case(s).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>6 U.S.C. 202, 8 U.S.C. 1103, 1158, 1187, 1201, 1225, 1324, 1357, 1360, 1365a, 1365b, 1379, and 1732.
Specifically, the data is collected and maintained in TRACS under the authority provided by: The Immigration and
Naturalization Service Data Management Improvement Act of 2000 (DMIA), Public Law 106-215; The Visa Waiver
Permanent Program Act of 2000 (VWPPA), Public Law 106-396; The Uniting and Strengthening America by Providing
Appropriate Tools Required to Intercept and Obstruct Terrorism Act (U.S.A. PATRIOT Act), Public Law 107-56; The
Enhanced Border Security and Visa Entry Reform Act (Border Security Act), Public Law 107-173; The Intelligence
Reform and Terrorism Prevention Act of 2004 (IRTPA), Public Law 108-458; The Implementing Recommendations of the
9/11 Commission Act of 2007, Public Law 110-53; and The Immigration and Nationality Act (INA), Title 8, United
States Code, as delegated by the Secretary, Department of Homeland Security.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to serve as an information management tool used to enhance the integrity of the
United States’ immigration system by detecting, deterring, and pursuing immigration fraud, and identifying persons who
pose a threat to national security and/or public safety, and to assist in supporting credentialing activities. TRACS is
used to: identify individuals who have remained in the United States beyond their authorized period of admission
(overstays); maintain information on why individuals are promoted to, or demoted from, the IDENT list of subjects of
interest; assist in determining eligibility in connection with: Hiring or retention, issuance of a license or credential
as part of a background check or security screening in connection with their hiring or retention, or performance of a job
function or the issuance a license or credential for employment at DHS; and to analyze information regarding immigration
status, including applications to enter and exit the United States, as well as the actual physical entries into and exits
from the United States, in support of law enforcement and intelligence agencies. In addition, TRACS will be used to
analyze data quality, integrity, and utility; and analyze data to establish trends and patterns in the data for future
enforcement actions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion
of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
</p><p>A. To the United States Department of Justice (including United States Attorney offices) or other federal agency
conducting litigation or in proceedings before any court, adjudicative or administrative body, or to the court or
administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has
an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and
DHS determines that the records are both relevant and necessary to the litigation and the use of such records is
compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records
management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been
compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, harm to the security or integrity of this system or other
systems or programs (whether maintained by DHS or another agency or entity), or harm to the individual that rely upon the
compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
DHS’ efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, when necessary to accomplish an agency function
related to this system of records. The individuals who provide information under this routine use are subject to the same
Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, foreign, multinational, or international law enforcement agency or
other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law,
rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is
proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To appropriate Federal, State, local, tribal, foreign, multinational, or international governmental agencies
seeking information on the subjects of wants, warrants, or lookouts, or any other subject of interest, for purpose
related to administering or enforcing the law, national security, immigration, or preparedness and critical
infrastructure protection, where consistent with a DHS mission-related function as determined by DHS.
</p><p>I. To appropriate Federal, State, local, tribal, foreign, multinational, or international government agencies charged
with national security, law enforcement, immigration, intelligence, preparedness and critical infrastructure protection,
or other DHS mission-related functions in connection with the hiring or retention by such an agency of an employee, the
issuance of a security clearance, the reporting of an investigation of such an employee, the letting of a contract, or
the issuance of a license, grant, loan, or other benefit by the requesting agency.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when
there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’ officers,
employees, or individuals covered by the system, except to the extent it is determined that release of the specific
information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a
locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM. Information may also be
stored in secured case file folders, cabinets, safes, or a variety of secured electronic or computer databases and
storage media to include data and materials introduced through legacy systems (e.g. spreadsheets).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by a variety of data elements including, but not limited to, name, place and date of
arrival or departure, document number, and other personal identifiers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of
compromising the information that is being stored. Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access
the system. Additional safeguards may vary by component and program. The system is protected through multi-layer security
mechanisms. The protective strategies are physical, technical, administrative, and environmental in nature, and provide
access control to sensitive data, physical access control to DHS facilities, confidentiality of communications, user
authentication, and personnel screening to ensure that all personnel with access to data are screened through background
investigations commensurate with the level of access required to perform their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The following proposal for retention and disposal is pending approval with National Archives and Records
Administration (NARA):
Data will be disposed of when the information regarding the potential subject of interest has either been adjudicated or
when the 75 year retention schedule has been met. Seventy five years is the retention period of IDENT and ADIS, the
primary source systems of TRACS. Because TRACS is frequently used to establish and track decisions that affect the list
of subjects of interest and overstay status in IDENT and ADIS, it is necessary that a retention period correspond to
these systems.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>TRACS System Manager, US-VISIT Program, U.S. Department of Homeland Security, Washington, DC 20528.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to
contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be
found at <i>http://www.dhs.gov/foia</i> under "contacts". If an individual believes more than one component
maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your
request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity,
meaning that you must provide your full name, current address and date and place of birth. You must sign your request,
and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made
under penalty or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for
this purpose form the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In
addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have
responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement
from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request
may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>A portion of this system is exempted from this requirement pursuant to 5 U.S.C. 552a (j)(2), (k1), (k)(2), and
(k)(5). An individual who is the subject of a record in this system may access those records that are not exempt from
disclosure. A determination whether a record may be accessed will be made at the time a request is received. DHS will
review and comply appropriately with information requests on a case by case basis. An individual desiring copies of
records maintained in this system should direct his or her request to the FOIA Officer: See: "Notification
procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>A portion of this system is exempted from this requirement pursuant to 5 U.S.C. 552a (j)(2), (k)(1), (k)(2), and
(k)(5). An individual who is the subject of a record in this system may access those records that are not exempt from
disclosure. A determination whether a record may be accessed will be made at the time a request is received. DHS will
review and comply appropriately with information requests on a case by case basis. Requests for access or correction of
records in this system may be made through the Traveler Redress Inquiry Program (TRIP) at <i>http://www.dhs.gov/trip</i>
or via mail, facsimile or e-mail in accordance with instructions available at <i>http://www.dhs.gov/trip</i>. See:
"Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Basic information contained in this system is supplied by individuals covered by this system, and other Federal,
State, local, tribal, or foreign government systems; private citizens; and public sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)
(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). In
addition, the Secretary of Homeland Security has exempted this system from 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5). These exemptions apply only to the
extent that records in the system are subject to exemption pursuant to 5 U.S.C. 552a (j)(2), (k)(1), (k)(2), and (k)(5).</p></xhtmlContent></subsection></section>

<section id="fema/govt1" toc="yes">
<systemNumber>/FEMA/GOVT-1</systemNumber>
<subsection type="systemName">Federal Emergency Management Agency National Defense Executive Reserve System.  
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.  
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records may be maintained in the personnel office, emergency preparedness unit, or other designated offices located at the local installation of the department or agency which currently employs the individual.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals include applicants for and members of the National Defense Executive Reserve assignments.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:  
</p><p>&#149; FEMA Form 85-3, National Defense Executive Reserve Personal Qualifications Statement. This Form includes:  
</p><p>&#149; Individual’s name;  
 
</p><p>&#149; Social security number;  
</p><p>&#149; Home mailing address;  
</p><p>&#149; Home telephone number;  
</p><p>&#149; Home e-mail address;  
</p><p>&#149; Date of birth;  
</p><p>&#149; Birthplace;  
</p><p>&#149; Employment experience; and  
</p><p>&#149; Professional memberships.  
</p><p>&#149; Other personnel and administrative records, skills inventory, training data, and other related records necessary to coordinate and administer the program.  
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Defense Production Act of 1950, E.O. 11179 dated September 22, 1964, as amended by E.O. 12148 dated July 20, 1979, 5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive Order 9397.  
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect and preserve records regarding applicants for and members of the National Defense Executive Reserve. The collection and maintenance of this information will assist the Federal Government in coordinating and administering the National Defense Executive Reserve  
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:  
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:  
</p><p>1. DHS or any component thereof;  
</p><p>2. Any employee of DHS in his/her official capacity;  
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or  
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.  
</p><p>B. 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 about whom the record pertains.  
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.  
</p><p>D. 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.  
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;  
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and  
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.  
</p><p>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 DHS, 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 DHS officers and employees.  
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  
</p><p>H. To the Association of the National Defense Executive Reserve and the National Defense Executive Reserve Conference Association to facilitate training and relevant information dissemination efforts for reservists in the National Defense Executive Reserve.  
</p><p>I. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.  
</p><p>J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.  
</p><p>K. To the news media and the public, with the approval of the Chief Privacy  Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.  
</p><p>Disclosure to consumer reporting agencies: 
</p><p>None.  
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: 
</p><p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.  
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual’s name, social security number, specific skill area of the applicant, or agency.  
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.  
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Case files on reservists are maintained in accordance with Item 29a, GRS 18, Security and Protective Services Records, and destroyed five years after termination from the NDER program. Case files on individuals whose applications were rejected or withdrawn are destroyed when five years old in accordance with Item 29b, GRS 18. FEMA will review this retention schedule and work with NARA to determine whether it remains appropriate.  
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Director, National Preparedness Directorate, Federal Emergency Management Agency, Washington, DC 20472, will maintain a computerized record of all applications and assignments of National Defense Executive Reserve reservists for the Federal Government as well as the personnel files for all individuals assigned to the Federal Emergency Management Agency. The departments and agencies will maintain their own personnel records on those individuals assigned to their respective department or agency.  
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to inquire whether this system of records contains information about themselves should submit their inquiries to:  
</p><p>(a) NDER applicants/assignees to DHS/FEMA--Federal Emergency Management Agency, Associate Director, National Preparedness Directorate, Washington, DC 20472;  
</p><p>(b) NDER applicants/assignees to Federal departments and/or agencies other than DHS--contact the agency personnel, emergency preparedness unit, or Privacy Act Officer to determine location of records within the department/agency. Individuals must include their full name, date of birth, social security number, current address, and type of assignment/agency they applied with to be an NDER reservist.  
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals/applicants/assignees to DHS/FEMA wishing to access records containing information about themselves should follow the record access procedures that are outlined in FEMA’s and DHS’ Privacy Act regulations, 44 CFR Part 6 and 6 CFR Part 5. Requests for Privacy Act protected information must be made in writing and clearly marked as a "Privacy Act Request." The name of the requester, the nature of the record sought, and the required verification of identity must be clearly indicated. Requests should be sent to: FOIA Officer, Records Management, Federal Emergency Management Agency, Department of Homeland Security, 500 C Street, SW., Washington, DC 20472.  
</p><p>Individuals/applicants/assignees to Federal departments and/or agencies other than DHS should follow "Notification procedure (b)" above.  
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record access procedures" above.  
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individuals to whom the record pertains. Prior to being designated as a National Defense Executive Reserve reservist, the applicant must successfully complete a background investigation conducted by the Office of Personnel Management which may include reference checks of prior employers, educational institutions attended, police records, neighborhoods, and present and past friends and acquaintances.  
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema/mitigation" toc="yes">
<systemNumber>/FEMA/MITIGATION-</systemNumber>
<subsection type="systemName">NFIP Claims Appeals Process. 
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. 
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The database will be maintained at FEMA Headquarters at 500 C Street, SW., Washington, DC 20472. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system covers the individual NFIP policyholders who are appealing decisions on their flood insurance claim. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information is collected from individual NFIP policyholders, who have voluntarily opted to appeal the disposition of their flood insurance claim. In addition, FEMA collects individual policyholder information from the WYO Companies that service the policies which are the subject of appeals in order to make a determination on these appeals. The "individually identifying information" collected includes the policyholders name, address where the loss occurred, telephone number, a list of personal property that is claimed to be damaged and is the subject of the appeal, the policyholder’s statement of facts about the claim, the policyholder’s statement why the claim’s disposition is being disputed and supporting proof or records to document the policyholder’s position, correspondence pertaining to the appeal which may include the foregoing individually identifying information, and FEMA’s appeal decision. 
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 205 of the Bunning-Bereuter-Blumenauer Flood Insurance Reform Act (FIRA) of 2004, 42 U.S.C. 4011. 
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are collected for the purpose of FEMA’s review and determination on NFIP flood insurance individual policyholder’s claim appeals, so that FEMA may determine whether additional payment to the individual policyholder is warranted. 
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: 
</p><p>A. To the Government Accountability Office (GAO), DHS Office of the Inspector General (OIG), or other organization for the purposes of performing authorized audits or oversight of the NFIP program. 
</p><p>B. 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. 
</p><p>C. To FEMA contractors as necessary to provide an appeal resolution. 
 
</p><p>D. To the Department of Justice (DOJ), the United States Attorney’s Office, or a consumer-reporting agency for further collection action on any debt in relation to the appeals process, when circumstances warrant. 
</p><p>E. Where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law--criminal, civil or regulatory--the relevant records may be referred to an appropriate Federal, State, territorial, tribal, local, international, or foreign agency law enforcement authority or other appropriate agency charged with investigating or prosecuting such a violation or enforcing or implementing such law. 
</p><p>F. To DOJ or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when: (1) FEMA, or (2) any employee of FEMA in his/her official capacity, or (3) any employee of FEMA in his/her individual capacity where DOJ or FEMA have agreed to represent the employee, or (4) the United States or any agency thereof, is a party to the litigation or has an interest in such litigation and when the records are determined by FEMA to be arguably relevant to the proceeding. 
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12). 
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: 
</p><p>The hard copy files and the electronically scanned document files will be maintained at FEMA Headquarters at 500 C Street, SW., Washington, DC 20472. 
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hard copy files and the electronically scanned document files are retrieved by the individual flood insurance policyholder’s name or property address. 
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable laws, rules and policies, including the DHS Information Technology Security Program Handbook. All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized personnel who have a need-to-know, using locks, and password protection identification features. DHS file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel. 
</p><p>Each authorized individual working on the NFIP appeals procedure will have access only to information necessary to perform his or her official duties. Activity logs (audit trails) are maintained for all operating systems, applications, and middleware. A periodic review is conducted to monitor all user access. Incident response procedures are established to address reported security incidents as quickly as possible. Use of the access database will be carefully monitored and reviewed on a periodic basis by the system administrator. 
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The paper copy of the appeal letter and supporting documentation that are sent to FEMA by the individual with the appeal letter, and FEMA’s response letter reflecting its appeal decision constitute the official copy of the records. Electronically scanned copies will be kept as back up. FEMA will retain both the paper and electronic copies for six years and three months. This retention schedule has been approved by the National Archives and Records Administration (NARA). The NARA authority is N1-311-86-1 2A12 (a)(2) FIA File 12-2. 
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Claims, Mitigation Division, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472. 
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>A request for access to records in this system may be made in writing to the System Manager identified above, or to the Privacy Act Officer, DHS/FEMA, Office of General Counsel (GL), Room 406, 500 C Street, SW., Washington, DC 20472, in conformance with 6 CFR part 5, subpart B and 44 CFR part 6, which provide the rules for requesting access to Privacy Act records. 
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Notification procedure above. Request for access must comply with DHS and FEMA regulations for Privacy Act requests. 
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Policyholders typically contest their records with their service provider (WYO or NFIP Servicing Agent). Virtually all of theses disputes are successfully handled through that mechanism. However, policyholders may also contest their records using the process outlined in the Notification procedures section above. State clearly and concisely the information being contested, the reasons for contesting it and the proposed amendment to the information sought. 
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The "individually identifying" information may come from the individual NFIP policyholder and/or the entity servicing the policy. 
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None. 
</p></xhtmlContent></subsection></section>
<section id="fema/netc17" toc="yes">
<systemNumber>/FEMA/NETC-017</systemNumber>
<subsection type="systemName">Student Application and Registration Records.  
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.  
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>NETC, 16825 South Seton Avenue, Emmitsburg, Maryland 21727-8998.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system covers those individuals who apply for or take courses offered by FEMA’s NFA or EMI. Courses are offered on-campus and off-campus, by State and local training agencies, through selected colleges and universities, and through independent self-study. Information can be obtained by individuals completing a general admissions application or by applying for a course electronically. Information may also be provided by a State or local training agency when the course has been taken through that agency.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files include application forms and other information submitted either in hard copy or electronically by the applicant. Information collected includes, but is not limited to, U.S. citizenship (city and country of birth is also included for non-U.S. citizens), social security number or an alternate number that has been assigned in lieu of the social security number, name, mailing address, work phone number, alternate phone number, fax number, email address, course code and title, course location, dates requested, course pre-requisite as described in the course catalog, an indication if they require special assistance, name and address of the organization being represented, fire department identification number, current position and years in that position, category of the position, jurisdiction type, type of work for the organization, organization type, employment status, number of staff in the organization, size of population served by the organization, brief description of the activities or responsibilities as they relate to the course for which they are applying, primary responsibility and type of experience, number of years of experience, date of birth, sex, ethnicity and race. Information such as age, sex, and ancestral heritage are used for statistical purposes only. Personal information is provided on a voluntary basis. Failure to provide certain information being requested, however, may result in a delay in processing an application because the information provided may be insufficient to determine eligibility for the course. The social security number is necessary because of the large number of individuals who may have identical names and birth dates and whose identities can only be distinguished by their social security number. The social security number is used for record-keeping purposes, i.e., to ensure that academic records are maintained accurately. Disclosure of an individual’s social security number is voluntary. However, if an applicant does not provide a social security number, a unique identification number will be substituted, which will affect the ability to retrieve complete training information on an applicant.  
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 93-498, Federal Fire Prevention and Control Act of 1974, as amended; Pub. L. 93-288, Robert T. Stafford Disaster Relief and Emergency Assistance Act; Pub. L. 93-579, 44 U.S.C. 3101; Privacy Act of 1974; E.O. 12127; E.O. 12148; and Reorganization Plan No. 3 of 1978; 5 U.S.C. 301; Presidential Memorandum, "Electronic Government’s Role in Implementing the President’s Management Agenda," July 10, 2002; 15 U.S.C. 2206, 44 U.S.C. 3101; 50 U.S.C. App. 2253 and 2281; E.O. 12127, 12148 and 9397; Title VI of the Civil Rights Act of 1964; and Section 504 of the Rehabilitation Act of 1973. Executive Order 9397 authorizes the collection of the social security number.  
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For the purpose of determining eligibility and effectiveness of NFA and EMI courses; to reimburse students under the Student Stipend Program, and to provide housing to students and other official guests of the NETC. Information such as age, sex, and ancestral heritage are used for statistical purposes only.  
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in this system may be disclosed as a routine use as follows:  
</p><p>1. Audits and Oversight: To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.  
</p><p>2. Congressional Inquiries: 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.  
</p><p>3. Contractors, et al: 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.  
</p><p>4. Investigations: Where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law--criminal, civil or regulatory--the relevant records may be referred to an appropriate Federal, State, territorial, tribal, local, international, or foreign agency law enforcement authority or other appropriate agency charged with investigating or prosecuting such a violation or enforcing or implementing such law.  
</p><p>5. Litigation: To the Department of Justice (DOJ) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when: (a) DHS, or (b) any employee of DHS in his/her official capacity, or (c) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest in such litigation and when the records are determined by the DHS to be arguably relevant to the proceeding  
</p><p>6. Privacy Act Verification and Amendment: To a federal, State, territorial, tribal, local, international, or foreign agency or entity for the purpose of consulting with that agency or entity (a) to assist in making a determination regarding access to or amendment of information, or (b) for the purpose of verifying the identity of an individual or the accuracy of information submitted by an individual who has requested access to or amendment of information.  
</p><p>7. Privacy/Act FOIA Access and Amendment: To the submitter or subject of a record or information to assist DHS in making a determination as to access or amendment.  
</p><p>8. Records Management: To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. sections 2904 and 2906.  
</p><p>9. Requesting Information: To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain information relevant to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.  
</p><p>10. Requested Information: To a Federal, State, local, tribal, territorial, foreign, or international agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.  
</p><p>11. Medical Assistance: To a physician(s) in order to provide information from the application for students who become ill or are injured during courses and are unable to provide the information.  
</p><p>12. Boards of Visitors: To members of the NFA and EMI Boards of Visitors Federal advisory committees for the purpose of evaluating NFA’s and EMI’s programmatic statistics.  
</p><p>13. Sponsors: To sponsoring States, local officials, or state agencies to update/evaluate statistics on NFA and EMI educational program participation.  
</p><p>Disclosure to consumer reporting agencies: 
</p><p>Records in this system do not qualify for the purpose of disclosure to consumer reporting agencies.  
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:   
</p><p>Copies of paper applications as well as information maintained electronically are stored in a work area that is locked when it is not staffed. The doors to the work area are kept closed and signs stating that access is limited to authorized personnel are posted on the doors. There is limited access given to persons who have a need to have access to the information to perform their official duties. Computerized records are stored in a database server in a secured file server room. Electronic records are stored on a file server in another building and backed up nightly. The backup tapes are stored in a separate area from the file server for seven days. After that they are placed in a safe in another building and retained for one year.  
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records can be retrieved by an individual’s last name or social security number.  
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The admissions contractor controls access to hardcopy records by keeping them in file cabinets when not being used and in a work area that is locked when it is not occupied by authorized personnel. The System Administrator controls access to the electronic files by use of passwords and the Admissions Specialist assigns rights to modules of the system based on work responsibility. The files are stored in a secure server room at FEMA’s Emmitsburg facility. Records are maintained in accordance with Federal computer security standards.  
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hard copy records are maintained for one year and nine months, at which time they are retired to the Federal Records Center. Records are retained for a total of 40 years. Computerized records are stored in a database server in a secured file server room. The same retention schedule that applies to paper records will be followed. This is consistent with the records retention schedule that has been developed for this system.  
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Senior Admissions Specialist, National Emergency Training Center, 16825 South Seton Avenue, Emmitsburg, Maryland, 21727-8998.  
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any records contained in the system of records, or seeking to contest its content, may inquire in accordance with instructions appearing at 6 CFR Part 5, subpart B, with specific reference to the verification of identity requirements of 6 CFR 5.21.  
</p><p>Requests for Privacy Act protected information must be made in writing, and clearly marked as a "Privacy Act Request." The name of the requester, the nature of the record sought, and the required verification of identity must be clearly indicated. Requests should be sent to: Privacy Act Officer, DHS/FEMA Office of General Counsel (GL), room 840, 500 C Street, SW., Washington, DC 20472.  
</p><p>Certain public information such as name, organizational address, organizational telephone number, email address, position title, course code and title, and the dates the course was taken are made available. All reports are based on organizational information.  
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure above.  
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure above. State clearly and concisely the information being contested, the reasons for contesting it, and the proposed amendment to the information sought.  
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The sources are the individuals themselves, applicants to NFA or EMI courses, Federal employees, and FEMA employees and contractor support processing NFA or EMI course applications as part of their official duties.  
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.  
</p></xhtmlContent></subsection></section>
<section id="fema/nfip/loma" toc="yes">
<systemNumber>/FEMA/NFIP/LOMA-1</systemNumber>

<subsection type="systemName">Letter of Map Amendment System (LOMA), DHS/FEMA/NFIP/LOMA-1.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Electronic: Solutions Delivery Center (SDC), 3039 Cornwallis Road, Building 301, Dock 85/86, Research Triangle Park, North Carolina 27709. Paper: FEMA’s Map Modernization Library, 847 South Pickett Street, Alexandria VA 22034.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system covers only applicants (individuals and/or certifiers) who are seeking a letter of map amendment (LOMA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>There are three ways to apply for a LOMA. They include the paper only MT-1 form, online MT-EZ, and electronic LOMA (eLOMA). The associated categories of records include:
</p><p>&#149; Individual’s name
</p><p>&#149; Individual’s mailing address
</p><p>&#149; Individual’s signature
</p><p>&#149; Individual’s signature date
</p><p>&#149; Certifier’s (registered professional engineer or licensed land surveyor) name
</p><p>&#149; Certifier’s professional license number
</p><p>&#149; Certifier’s professional license expiration date
</p><p>&#149; Certifier’s company name
</p><p>&#149; Individual’s property address
</p><p>&#149; Individual’s legal property description
</p><p>&#149; Certifier’s business telephone number
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The National Flood Insurance Act of 1968, Public Law 90-448, as amended by the Flood Disaster Protection Act of 1973, Public Law 93-234.
</p><p>Purpose:</p>
<p>This system is maintained for the purpose of determining an applicant’s eligibility for LOMAs. An applicant can be a private individual or a certified professional.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To an agency, organization, or individual for the purposes of performing authorized audit or oversight operations.
</p><p>B. 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.
</p><p>C. 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.
</p><p>D. Where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law--criminal, civil or regulatory--the relevant records may be referred to an appropriate Federal, State, territorial, tribal, local, international, or foreign agency law enforcement authority or other appropriate agency charged with investigating or prosecuting such a violation or enforcing or implementing such law.
</p><p>E. To the Department of Justice (DOJ) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when: (a) DHS, or (b) any employee of DHS in his/her official capacity, or (c) any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee, or (d) the United States or any agency thereof, is a party to the litigation or has an interest in such litigation.
</p><p>F. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. Sections 2904 and 2906.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Official records in this system are stored on paper at the FEMA Map Modernization Library, located at 847 South Pickett Street, Alexandria VA 22034. Electronic records will be stored at the FEMA’s limited access facility--Service Delivery Center, located at 3039 East Cornwallis Road, Raleigh NC 27709. Computerized records are stored in a database server in a secured file server room. Personally identifying information is appropriately stored in accordance with the DHS Information Technology Security Program Handbook.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the individual’s property address or, if there is no address, by the legal description of the property. Records are also retrieved by the individual’s uniquely identifying case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Safeguards include restricting access to authorized personnel who have a need to know, using locks, and password protection identification features. File areas are locked after normal duty hours, and the facilities are protected by security personnel or technology such as security cameras.
</p><p>Use of the database and physical records will be carefully monitored by the system administrators and the library administrators at:
</p><p>&#149; Paper: FEMA Map Modernization Library, 847 South Pickett Street, Alexandria VA 22034
</p><p>&#149; Electronic: Service Delivery Center, 3039 East Cornwallis Road, Raleigh NC 27709
</p><p>The system has an audit trail of changes made to the application and the user identification of who made the changes. Electronic records are also safeguarded by software programs that monitor traffic to identify unauthorized attempts to upload or change information or otherwise cause damage. Unauthorized attempts to upload or change information are prohibited and may be punishable under the Computer Fraud and Abuse Act of 1986 and the National Information Infrastructure Protection Act.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention schedule has been approved by NARA. The NARA authority is N1-311-86-1 2A2c; the retention period is 20-years. Electronic copies of MT-EZs and eLOMAs will be printed and retained in the same manner as hard copies.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Paper: FEMA Map Modernization Library, 847 South Pickett Street, Alexandria VA 22034. Electronic: Service Delivery Center, 3039 East Cornwallis Road, Raleigh NC 27709.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>A request for access to records in this system may be made by writing to the System Manager, identified above, or to the Privacy Act Officer, in conformance with 6 CFR part 5, subpart B and 44 CFR part 6, which provides the rules for requesting access to Privacy Act records.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The procedures for individuals to gain access to their own information are listed both in FEMA’s and the DHS’s Privacy Act regulations, 44 CFR part 6 and 6 CFR part 5, subpart B. Requests for Privacy Act protected information must be made in writing, and clearly marked as a "Privacy Act Request." The name of the requester, the nature of the record sought, and the required verification of identity must be clearly indicated. Requests should be sent to: Privacy Act Officer, DHS/FEMA, Office of General Counsel, Room 406, 500 C Street, SW., Washington DC 20472.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Record Access Procedure (above). State clearly and concisely the information being contested, the reasons for contesting it, and the proposed change to the record.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information will come from individuals and certifiers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema/nfip/sec1" toc="yes">
<systemNumber>/FEMA/NFIP/SEC-1</systemNumber>
<subsection type="systemName">Security Support System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Limited Access. Certain records in this system are provided security safeguards equivalent to the protection of Top Secret and/or Special Access Program (SAP) information. 
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Security, Federal Emergency Management Agency, Washington, DC 20472; FEMA Regional offices and Field Activities, and other facilities designated and approved by the Systems Manager. Name, Social Security number, FEMA point of contact, and time and length of visit, is also available to General Services Administration guards who are hired under a GSA contract for FEMA to confirm proper identification of individuals requiring access to FEMA Headquarters facility. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>FEMA employees, other Federal agency employees, State employees, and consultant/contract employees and visitors to the FEMA Headquarters Building and Field Activities, and all other individuals requiring access to official FEMA premises. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains security records on FEMA employees, applicants for employment, nominees. Security records include: Statement of personal history, personal data (e.g., name, address, telephone number and social security number) contained on Standard Forms 85, 85A, 86, and 87, security clearance forms; rosters; lists; Standard Form 312, non-disclosure statements; FEMA Form 12-17, security termination statement, and Optional Forms 62 and 63, forms for record container combinations and other related records. This system also includes copies of background investigations conducted by the Office of Personnel Management (OPM), FEMA, or other government investigative agencies. (The OPM background investigations are not FEMA records but rather are OPM records covered by OPM’s system of records entitled, OPM/Central-9, Personnel Investigations Records, and requests for these records must be submitted directly to OPM-FIPC, Boyers, PA 16018. Requests for investigations conducted by other government investigative agencies must be submitted directly to the agency which conducted the investigation. The background investigations conducted by a FEMA contractor are FEMA records and are covered by this system notice. This system also contains records concerning Personnel Security Program for positions associated with computer systems (Chapter 732 of the Federal Personnel Manual). This system also includes FEMA Form 12-36, requests for access to FEMA Special Access Program; FEMA Form 12-35, notification of disapproval for access to FEMA Special Access Program; FEMA Form 12-37, inadvertent disclosure statements; FEMA Form 12-38, non-disclosure agreements; and FEMA Form 12-30, termination of access to certain classified information. 
</p><p>This system also includes entrant/exit records for access to FEMA premises. For visitors, this system includes name; temporary badge number; host’s number, office symbol, and room number. For all others, this system includes name, social security number, specific areas and times of authorized accessibility, escort authority, status and level of security clearance. 
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>E.O. 12127; E.O. 12148; Reorganization Plan No. 3 of 1978; Section 4-2a, Executive Order 10450; Executive Order 12356; and Paragraph 1a, National Security Decision Directive 84, Safeguarding National Security Information. 
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For routine administrative, managerial, and security purposes by officials on a need-to-know basis in order to better track, manage and control access to information, buildings and restricted areas under the jurisdiction of FEMA, to determine the status of individuals entering FEMA premises; and to provide data requisite to investigations and security reports. 
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>An employee’s level of security clearance and type of Special Access Program may be reported to another agency for the purpose of interagency security administration; information may be provided to other federal departments and agencies charged with responsibility in the assignment and coordination of federal emergency response teams; to any Federal, State or local law enforcement agency for law enforcement purposes; to any Federal agency pursuant to statutory intelligence responsibilities. The entrant and exit records may also include employees from other agencies which share building space in FEMA facilities and those records may be released to the individuals’ respective employing agency. The name, Social Security number, FEMA point of contact, and time and length of visit, is also available to General Services Administration guards who are hired under a GSA contract for FEMA to confirm proper identification of individuals requiring access to FEMA Headquarters facility. 
</p><p>Additional routine uses may include Nos.1, 2, 3, 4, 5, and 8 of Appendix A. 
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:  
</p><p>Mag-tape, disk, paper and index cards. 
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, social security number, organization, security clearance level, type of Special Access Program, and badge number (except for visitors). 
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All employees of the Office of Security have undergone a Special Background Investigation (SBI). All records containing personal information are maintained in secured storage areas contained within restricted areas, access to which is limited to authorized personnel. All records containing personal information on a computerized data base are accessible only through computer media under FEMA jurisdiction and placed in restricted areas, access to which is limited to authorized personnel. Access to computerized files is password protected and under the direct responsibility of the system manager. The system manager has the capability of printing audit trails of access from the computer media, thereby permitting regular ad hoc monitoring of computer usage. Certain records in this system are provided security safeguards equivalent to the protection of Top Secret and/or Special Access Program (SAP) information. All records are maintained in areas that are secured by building guards and/or alarm systems during non-business hours. Records are retained in areas accessible only to authorized personnel who are properly screened, cleared, trained and have a verified need-to-know.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are covered by General Records Schedule 18. Requests and authorizations for individuals to have access to classified files are destroyed 2 years after authorization expires. Forms or lists used to record safe combinations, names of individuals knowing combinations, and comparable data used to control access into classified containers are destroyed when superseded by a new form or list, or upon turning in of containers. Lists or rosters showing the current security clearance status of individuals are destroyed when superseded or obsolete. Personnel security case files are destroyed upon notification of death or not later than 5 years after separation or transfer of employee or no later than 5 years after contract relation expires, whichever is applicable. Records relating to alleged security violations are destroyed 2 years after completion of final action or when no longer needed, whichever is sooner; records relating to alleged violations of a sufficient serious nature that are referred for prosecutive determinations are destroyed 5 years after the close of the case. Copies of non-disclosure agreements are destroyed when 50 years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Security, Office of Security, Federal Emergency Management Agency, Washington, DC 20472.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to inquire whether this system contains information about them should contact the appropriate system manager in writing. Individuals must furnish their full name, social security number, some type of appropriate personal identification, current mailing address and zip code, and any other available information regarding the type of record involved.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Specific materials in this system have been exempted from the access and contesting requirements under 5 U.S.C. 552a(k)(1) and 5 U.S.C. 552a(k)(5). To the extent that this system of records is not subject to exemption, it is subject to the access and contesting procedures. A determination as to the applicability of an exemption as to a specific record shall be made at the time a request for access or contest is received. Inquiries should be addressed to the appropriate system manager. Written requests should be clearly marked, "Privacy Act Request" on the envelope and letter. Individuals must furnish their full name, social security number, some type of appropriate personal identification, and current address, any other available information regarding the type of record for which access or amendment is being requested.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as access procedure above. The letter should state clearly and concisely what information is being contested, the reasons for contesting it, and the proposed amendment to the information sought.
</p><p>FEMA Privacy Act Regulations are promulgated in 44 CFR part 6.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Directly from the individual to whom the record pertains. The FEMA background investigation for access to classified information includes information from an application submitted by or an interview with the individual to whom the record pertains; employers; coworkers; neighbors; friends; acquaintances; physicians; other government agencies; educational institutions; credit references; and police departments. The entrant and exit records come directly from paper log completed by the individuals and/or from the individuals using FEMA issued badges to enter through turnstiles.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>The Director, Federal Emergency Management Agency, has determined that specific materials in this system should be exempted from subsections (c)(3), and (d) of the Privacy Act, 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(1) and 5 U.S.C. 552a(k)(5). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553 (b), (c) and (e) and have been published in 44 CFR 6.87.
</p></xhtmlContent></subsection></section>
<section id="fema1" toc="yes">
<systemNumber>/FEMA-001 </systemNumber>
<subsection type="systemName">National Emergency Family Registry and Locator System (NEFRLS) System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at FEMA Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Registrants (adult individual(s)) who have been displaced by a Presidentially-declared disaster or emergency and who voluntarily register in NEFRLS; family or household members who are travelling with the registrant or who lived in the pre-disaster residence immediately preceding the disaster; and searchers who are searching for missing family or household members.
</p><p>Searchers are permitted to view personal information and/or messages of certain registrant(s) upon designation by the registrant(s).
</p><p>Federal, state, local, tribal, territorial, international, or foreign Law Enforcement Officials (LEOs) that are searching for missing persons that may have been displaced by a Presidentially-declared disaster or emergency pursuant to an Official Missing Persons Report.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information about the individual registering in NEFRLS as a registrant consists of:
</p><p>&#149; Authenticated Individual’s Full Name;
</p><p>&#149; Date of Birth;
</p><p>&#149; Gender;
</p><p>&#149; Current Phone;
</p><p>&#149; Alternate Phone;
</p><p>&#149; Current Address;
</p><p>&#149; Pre-Disaster Address;
</p><p>&#149; Name and Type of Current Location; (<i>i.e.</i> shelter, hotel, or family/friend’s home);
</p><p>&#149; Traveling with Pets (Yes or No);
</p><p>&#149; Identity Authentication Approval or Nonapproval (the fact of the authentication is maintained, but the answers to the questions provided to the third party organization are not maintained by DHS/FEMA);
</p><p>&#149; System Specific Username and Password; and
</p><p>&#149; Personal Message (may consist of up to 300 characters intended for designated family or household members to read).
</p><p>Information about the family/household members traveling with the registrant in NEFRLS consists of:
</p><p>&#149; Family/Household Members’ Full Name;
</p><p>&#149; Gender;
</p><p>&#149; Current Phone;
</p><p>&#149; Alternate Phone;
</p><p>&#149; Current Address;
</p><p>&#149; Pre-Disaster address;
</p><p>&#149; Name and type of current location; (<i>i.e.,</i> shelter, hotel, or family/friend’s home);
</p><p>&#149; Traveling with Pets (Yes or No);
</p><p>&#149; Personal Message: (may consist of up to 300 characters for listed, designated family, or household members to read.)
</p><p>Information about the individual searching NEFRLS for a registrant or family/household member (searcher) consists of:
</p><p>&#149; Searching Individual’s Full Name;
</p><p>&#149; Permanent Address;
</p><p>&#149; Phone;
</p><p>&#149; Alternate Phone;
</p><p>&#149; E-mail;
</p><p>&#149; Date of Birth;
</p><p>&#149; Identity Authentication Approval or Nonapproval (the fact of the authentication is maintained, but the answers to the questions provided to the third party organization are not maintained by DHS/FEMA); and
</p><p>&#149; System Specific Username and Password.
</p><p>Information about a LEO collected by a FEMA NEFRLS Administrator for verification and status:
</p><p>&#149; Law Enforcement Official’s Title;
</p><p>&#149; First Name;
</p><p>&#149; Last Name;
</p><p>&#149; Gender;
</p><p>&#149; Badge number/Law Enforcement License ID Number;
</p><p>&#149; Agency Name;
</p><p>&#149; City;
</p><p>&#149; County/Parish;
</p><p>&#149; State;
</p><p>&#149; Zip Code;
</p><p>&#149; Contact Phone;
</p><p>&#149; Contact E-mail;
</p><p>&#149; Supervisor Name;
</p><p>&#149; Supervisor Contact Number;
</p><p>&#149; Supervisor Contact E-mail;
</p><p>&#149; Agency City;
</p><p>&#149; Agency County/Parish;
</p><p>&#149; Agency State; and
</p><p>&#149; Verification Data. The verification process below indicates that there is a confirmed box to be checked for successful verification.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 689c of the Post-Katrina Emergency Management Reform Act of 2006, Public Law 109-295 and the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. 5121-5207.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to reunify families and household members following a Presidentially-declared disaster or emergency. To families using NEFRLS, the registrant, and searcher must acknowledge that the information in NEFRLS may be disclosed to searchers upon request, to Federal, state, local, tribal, territorial, international, or foreign agencies including LEO as well as voluntary agencies.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, state, local, tribal, territorial, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To appropriate authorized Federal, state, local, tribal, territorial, international, or foreign law enforcement officers charged with investigating the whereabouts or locating missing persons.
</p><p>I. To the National Center for Missing and Exploited Children and voluntary organizations as defined in 44 CFR 206.2(a)(27) that have an established disaster assistance program to address the disaster-related unmet needs of disaster victims, are actively involved in the recovery efforts of the disaster, and either have a national membership, in good standing, with the National Voluntary Organizations Active in Disaster, or are participating in the disaster’s Long-Term Recovery Committee for the express purpose of reunifying families.
</p><p>J. To Federal, state, local, tribal, territorial, international, or foreign agencies that coordinate with FEMA under the National Response Framework (an integrated plan explaining how the Federal government will interact with and support state, local, tribal, territorial, and non-governmental entities during a Presidentially-declared disaster or emergency) for the purpose of assisting with the investigation on the whereabouts of or locating missing persons.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, address, and phone number of the individual registering or searching in the National Emergency Family Registry and Locator System.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the FEMA Records Schedule (FRS) and NARA Disposition Authority number N1-311-09-1, records and reports related to and regarding registrations and searchers in NEFRLS performed by a displaced person, Call Center Operator on behalf of a displaced person, or family and friends will be cut off 60 days after the last edit to the record and destroyed/deleted three years after the cutoff. Additionally, in compliance with FRS and NARA Disposition Authority number N1-311-04-5, Item 3, records in this system associated with a domestic catastrophic event will have permanent value. A catastrophic event may be any natural or manmade incident, including terrorism, which results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment, economy, national morale, and/or government functions. A catastrophic event could result in sustained national impacts over a prolonged period of time; almost immediately exceeds resources normally available to state, local, tribal, territorial and private-sector authorities in the impacted area; and significantly interrupts governmental operations and emergency services to such an extent that national security could be threatened.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Individual Assistance, Disaster Assistance Directorate, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to FEMA’s FOIA Officer, 500 C Street, SW., Attn: FOIA Coordinator, Washington, DC 20472.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from registrants of NEFRLS and individuals searching NEFRLS, LEOs, and the third party authentication service indicating an individual has been approved or not approved.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema2" toc="yes">
<systemNumber>/FEMA-002</systemNumber>
<subsection type="systemName">Quality Assurance Recording System (QARS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. 
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Emergency Management Agency, Texas National Processing Service Center, Denton, TX 76208.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>FEMA employees and/or contractors at FEMA’s National Processing Service Centers who are making telephone calls to, or receiving telephone calls from, and those FEMA employees and/or contractors engaged in the case review of disaster assistance applications not related to a telephone call to or from a disaster assistance applicant.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Voice recordings of telephone calls between FEMA employees and/or contractors and disaster assistance applicants;
</p><p>&#149; A "quality score" generated in QARS for each call or case processing activity that is evaluated by a FEMA supervisor or Quality Control Specialist, assessing the level of customer service provided by the FEMA employee/contractor to the disaster assistance applicant;
</p><p>&#149; FEMA supervisor or Quality Control Specialists name who conducted the assessment;
</p><p>&#149; FEMA supervisor or Quality Control Specialists user identification number who conducted the assessment;
</p><p>&#149; FEMA employee name;
</p><p>&#149; FEMA user identification number;
</p><p>&#149; FEMA contractor name; and
</p><p>&#149; FEMA contractor user identification number.
</p><p>Tracking of FEMA employee/contractor activity in NEMIS related to call recordings and/or case review processing not related to a phone call may include the following disaster applicant information:
</p><p>&#149; Applicant’s name;
</p><p>&#149; Home address;
</p><p>&#149; Social Security number;
</p><p>&#149; Home phone number;
</p><p>&#149; Current mailing address; and
</p><p>&#149; Personal financial information including applicant’s bank name, bank account information, insurance information and individual or household income.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. Sec. 301; Federal Sector Labor Management Relations Act, Pub. L. 95-454 as amended, codified in 5 U.S.C. Sec. 4302, and 5 U.S.C. 7106(a); Pub. L. 109-295, title VI, Sec. 696, Oct. 4, 2006, 120 Stat. 1460, as codified in 6 U.S.C. 795; Fraud, Waste, and Abuse Controls; 29 U.S.C Sec. 204(b), Appointment, selection, classification, and promotion of employees by Administrator; FEMA Directive 3100.1 (M) Merit Promotion Plan; FEMA Directive 3700.1 (I) Performance Management System (PMS) for General Schedule and Prevailing Rate Employees; FEMA Directive 3700.2 (M) Employee Performance System.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The proposed system will be used for internal employee and/or contractor performance evaluations, training, and quality assurance purposes to improve customer service to disaster assistance applicants.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in secure facilities behind a locked door. The records are stored on, tape and digital media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records in QARS will be retrieved, and are only retrievable, by the FEMA employee and/or contractor’s name and user identification number. This system cannot be used to retrieve by disaster applicant information. Disaster applicant information is covered by Department of Homeland Security, Federal Emergency Management Agency DHS/FEMA-008 Disaster Recovery Assistance (DRA) Files system of records [September 24, 2009, 74 FR 48763].
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. The access granted is based upon an individual’s position of responsibilities for "official use" only. FEMA employees and/or contractors are allowed access to the data as a function of their specific job assignments within their respective organizations and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FEMA’s "<i>Request for Records Disposition Authority</i>" was submitted to NARA (Job Number N1-311-08-01) on March 27, 2008, and approved by NARA on June 27, 2008. The retention period for information maintained in QARS depends on the use of the data. Records within QARS that are used in an evaluation of a FEMA Customer Service Representative or contractor will be retained for six years, pursuant to General Records Schedule "FEMA Series Disaster Assistance Programs-15-1." Records that are not used in an evaluation of a FEMA Customer Service Representative or contractor will be purged from the secured servers within 45 days, per General Records Schedule "FEMA Series Disaster Assistance Programs-15-2." QARS data is stored separately from the applicant information stored in NEMIS. NEMIS has its own independent retention policy.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager (940-891-8500), Enterprise Performance Information Management Section, Federal Emergency Management Agency, Texas National Processing Service Center, Denton, TX 76208.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the FEMA FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from FEMA employees and contractors in putting data received from disaster applicants and from those FEMA employees and/or contractors engaged in the case review of quality of customer service provided to disaster assistance applications by FEMA employees and contractors.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None. 
</p></xhtmlContent></subsection></section>
<section id="fema3" toc="yes">
<systemNumber>/FEMA-003</systemNumber>
<subsection type="systemName">Federal Emergency Management Agency--003 National Flood Insurance Program Files.  
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.  
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Federal Emergency Management Agency Headquarters in Washington, DC and in field offices.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include applicants and policyholders of flood insurance; Severe Repetitive Loss (SRL) property owners (previously known as "Repetitive Loss Target Group" (RLTG)); insurance companies and agents; WYO Companies and lenders; communities that submit Community Rating Survey (CRS) applications; and certified flood adjusters.  
 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:  
</p><p>&#149; Individual’s name;  
</p><p>&#149; Social security number;  
</p><p>&#149; Addresses;  
</p><p>&#149; Telephone numbers;  
</p><p>&#149; E-mail address;  
</p><p>&#149; Tax ID numbers;  
</p><p>&#149; Insurance policy numbers and information;  
</p><p>&#149; Group Flood Insurance Program (GFIP) Certificate Holders  
</p><p>&#149; Property information: 
</p><p>&#9675; Bank/lender 
</p><p>&#9675; Date of mortgage 
</p><p>&#9675; Address of bank/lender 
</p><p>&#9675; Loan information, such as: loan number, names and addresses of first and possible second mortgagees, and file or identification number of loan; 
</p><p>&#9675; Taxpayer’s identification number  
</p><p>&#149; Administration records, such as: transaction errors and rejects per WYO Company, documents and photographs necessary to substantiate a claim for losses due to burglary or robbery, reports of adjusters, and adjusters’ bills paid by the program;  
</p><p>&#149; Names and contact information of insurance agents;  
</p><p>&#149; Write Your Own Companies (WYO’s);  
</p><p>&#149; Severe Repetitive Loss (SRL) property owners;  
</p><p>&#149; Community Rating System (CRS) applications to adjust NFIP insurance premiums based on the mitigation of activities implemented by a community;  
</p><p>&#149; Names and contact information of individuals seeking NFIP data; and  
</p><p>&#149; Data elements required for reporting purposes under the FEMA Mitigation Directorate Bureau and Statistical Agent contract for private insurance companies. Data elements include, but are not limited to: 
</p><p>&#9675; Data elements regarding policy reinstatement with/without policy changes, 
</p><p>&#9675; Data elements regarding insurance claims, and 
</p><p>&#9675; Data elements regarding payment of claims.  
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Federal Records Act, 44 U.S.C. 3101; National Flood Insurance Act of 1968, as amended and Flood Disaster Protection Act of 1973, 42 U.S.C. 4001, <i>et seq.</i>  
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to manage the National Flood Insurance Program, to assess National Flood Insurance Program user satisfaction, and to provide information on the National Flood Insurance Program to those who inquire.  
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy 
Act, all or a portion of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:  
</p><p>A. To the Department of Justice (DOJ) (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:  
</p><p>1. DHS or any component thereof;  
</p><p>2. Any employee of DHS in his/her official capacity;  
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or  
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.  
</p><p>B. 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.  
</p><p>C. To the National Archives and Records Administration or other Federal Government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.  
</p><p>D. 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.  
 
</p><p>E. To appropriate agencies, entities, and persons when:  
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;  
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and  
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.  
</p><p>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 DHS, 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 DHS officers and employees.  
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  
</p><p>H. To insurance agents, brokers, adjusters, lending institutions, WYO Companies as authorized under 44 CFR 62.23, the Army Corps of Engineers, Small Business Association, the American Red Cross, the United States Department of Agriculture Farm Service Agency, State and local governments, including State and local individual and family grant and assistance agencies, National Flood Insurance Program policy and claims records for carrying out the purposes of the National Flood Insurance Program, to determine eligibility for benefits, and to verify non-duplication of benefits following a flooding event.  
</p><p>I. To States to provide Group Flood Insurance Program (GFIP) certificates for carrying out the purposes of the National Flood Insurance Program.  
</p><p>J. To property loss reporting bureaus, State insurance departments, and insurance companies to investigate fraud or potential fraud in connection with claims, subject to the approval of the Office of Inspector General, DHS.  
</p><p>K. To State and local government individual and family grant agencies to ascertain the degree of financial burden that State and local governments expect to assume in the event of a flooding disaster.  
</p><p>L. To State and local government agencies to further the National Flood Insurance Program marketing activities.  
</p><p>M. To State and local government agencies that provide the names and addresses of policyholders and a brief general description of their plan for acquiring and relocating their flood prone properties to ensure that they are engaged in flood plain management, improved real property acquisitions, relocation projects that are consistent with the National Flood Insurance Program and, upon the approval of the Administrator, Federal Insurance Mitigation Administration, that the use furthers the flood plain management and hazard mitigation goals of the agency.  
</p><p>N. To the Army Corps of Engineers, State and local government agencies and municipalities to review National Flood Insurance Program policy and claims files to assist in hazard mitigation and flood plain management activities and in monitoring compliance with the flood plain management measures duly adopted by the community.  
</p><p>O. To lending institutions, mortgage servicing companies, and others servicing mortgage loan portfolios, as well as private companies engaged in or planning to engage in activities to market or assist lenders and mortgage servicing companies to comply with the requirements of the Flood Disaster Protection Act of 1973, including lender compliance, and to market the sale of flood insurance policies under the National Flood Insurance Program.  
</p><p>P. To current owners of properties designated under the National Flood Insurance Program as SRL Target Group properties, the dates and dollar amounts of loss payments made to prior owners so current owners may evaluate whether that designation is appropriate and may, if they believe the designation is not appropriate, use the information to appeal that designation.  
</p><p>Q. To the Special Direct Facility National Flood Insurance Program Repetitive Loss records for the processing of SRL Target Group policyholder underwriting and claims records.  
 
</p><p>R. To Preferred Risk Property (PRP) owners who are contesting the denial of the PRP applications, the properties’ prior loss history.  
</p><p>S. To Federal, State, and local government agencies to conduct research, analysis, and feasibility studies.  
</p><p>T. To communities to provide repetitive loss records that pertain to that community.  
</p><p>U. To OMB in connection with the review of private relief legislation in accordance with OMB Circular No. A-19.  
</p><p>Disclosure to consumer reporting agencies: 
</p><p>Disclosure under 5 U.S.C. 552a(b)(12). DHS/FEMA may make disclosures from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act 15 U.S.C. 1681a(f), as amended; or the Federal Claims Collection Act of 1966 31 U.S.C. 3701(a)(3), as amended.  
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: 
</p><p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.  
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrieved by individual’s name; insurance policy number; Repetitive Loss Target Group number; property address; zip code; telephone number; insurance agents; company name, including lenders and WYO Companies; community name; and Community Rating System application number.  
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.   
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Policy records are kept as long as the property owner is enrolled in the insurance program and pays the policy premiums, and cutoff when the file becomes inactive. Policy records are destroyed 5 years after the cutoff with FEMA Records Schedule N1-311-86-1, Item 1A13a(2). Claim records are maintained for 6 years and 3 months after final action, unless litigation exists. Records are disposed of FEMA Records Schedule N1-311-86-1, Item 2A12(2)(b). Claim records with pending litigation are destroyed after review by General Counsel with FEMA Records Schedule N1-311-86-1, Item 2A13a(1). Consumer records, including Community Rating System records, are retired to the Federal Record Center 2 years after cutoff, and destroyed 10 years after cutoff, IAW FEMA Records Schedule N1-311-02-01, Item 4.  
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Administrator, Federal Insurance and Mitigation Administration, Federal Emergency Management Agency Headquarters, 500 C Street, SW., Washington, DC 20472.  
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to FEMA’s FOIA Officer, 500 C Street, SW., Attn: FOIA Coordinator, Washington, DC 20472.  
</p><p>When seeking records about yourself from this system of records or any other FEMA system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:  
</p><p>&#149; An explanation of why you believe the Department would have information on you, 
</p><p>&#149; Specify when you believe the records would have been created, 
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.  
</p><p>Without this bulleted information the FEMA may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.  
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.  
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.  
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual’s who apply for and individuals who are insured under the National Flood Insurance Program, WYO Companies, flood insurance agents and lenders, individuals who request information on the National Flood Insurance Program, appraisal records, title reports, and homeowner reports.  
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema4" toc="yes">
<systemNumber>/FEMA-004</systemNumber>

<subsection type="systemName">Grant Management Information Files.  
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified and sensitive.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at Federal Emergency Management Agency Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of entities covered by this system include: Recipients (grantees) of grant funds. These include state, territorial, tribal officials, port authorities, transit authorities, non-profit organizations, and, in rare instances, private companies. 
 </p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Organizational Name;
</p><p>&#149; Employer Identification Number (EIN);
</p><p>&#149; Name of Organization’s Designated Point of Contact (POC);
</p><p>&#149; POC work address;
</p><p>&#149; POC work phone number;
</p><p>&#149; POC cellphone number;
</p><p>&#149; POC fax number;
</p><p>&#149; POC work e-mail address;
</p><p>&#149; Organization’s Bank Routing Number;
</p><p>&#149; Organization’s Bank Account Number; and
</p><p>&#149; Grant related information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Legal authority includes, but is not limited to:
</p><p>&#149; The Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5133
</p><p>&#149; The National Flood Insurance Act, 42 U.S.C. 4104c
</p><p>&#149; Section 2003(a) of the Homeland Security Act of 2002 (6 U.S.C. 101 <i>et seq.</i>), as amended by Section 101, Title I of the Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. L. 110-053)
</p><p>&#149; Section 2004(a) of the Homeland Security Act of 2002 (6 U.S.C. 101 <i>et seq.</i>), as amended by Section 101, Title I of the Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. L. 110-053)
</p><p>&#149; Section 1809 of the Homeland Security Act of 2002 (6 U.S.C. 571 <i>et seq.</i>), as amended by Section 301(a), Title III of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
</p><p>&#149; The Post-Katrina Emergency Management Reform Act of 2006 (6 U.S.C. 723)
</p><p>&#149; Title III of Division D of the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009 (Pub. L. 110-329)
</p><p>&#149; Section 614 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5196c), as amended by Section 202, Title II of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
</p><p>&#149; Title III of Division E of the Consolidated Appropriations Act, 2008 (Pub. L. 110-161)
</p><p>&#149; Section 1406, Title XIV of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
</p><p>&#149; Section 1513, Title XV of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
</p><p>&#149; Section 1532(a), Title XV of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
</p><p>&#149; 46 U.S.C. 70107
</p><p>&#149; Federal Financial Assistance Management Improvement Act of 1999 (Pub. L. 106-107)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to assist in determining awards for both disaster and non-disaster grants and for the issuance of awarded funds and allow DHS to contact individuals to ensure completeness and accuracy of grants and applications.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
 
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To an individual’s employer or affiliated organization to the extent necessary to verify employment or membership status.
</p><p>I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of organization or contact person covered by this system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access the system. Additional safeguards may vary by component and program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the Federal records retention requirements, Grant administrative records and hard copies of unsuccessful grant applications files are destroyed when two years old (Government Records Schedule (GRS) No. 3, Procurement, Supply, and Grant Records, Item 14). Electronically received and processed copies of unsuccessful grant application files are destroyed three years after rejection or withdrawal (GRS No. 3, Procurement, Supply, and Grant Records, Item 13). Grant Project Records are maintained for three years after the end of the fiscal year that the grant or agreement is finalized or when no longer needed, whichever is sooner. These records are disposed of IAW FEMA Records Schedule N1-311-95-1, Item 1. Grant Final Reports are retired to the Federal Records Center three years after cutoff, and then transferred to National Archives 20 years after cutoff. These records are maintained IAW FEMA Records Schedule N1-311-95-1, Item 3. All other grant (both disaster and non disaster) records are maintained for six years and three months after the end of the fiscal year when grant or agreement is completed or closed. These records are disposed of according to IAW FEMA Records Schedule N1-311-95-1, Item 2; N1-311-01-8, Item 1; and N1-311-04-1, Item 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Assistant Administrator, Grant Program Directorate, FEMA, 500 C Street, SW., Washington, DC 20472.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals or entities seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) will not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained by grantees, applicants for award, and grant program monitors.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema5" toc="yes">
<systemNumber>/FEMA-005</systemNumber>
<subsection type="systemName">Temporary and Permanent Relocation and Personal and Real Property Acquisitions and Relocation Files.  
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.  
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Federal Emergency Management Agency Headquarters in Washington, DC and field offices.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include individuals whose real property has been, or is being, acquired by DHS/FEMA. Also included are individuals who have been, or are being, relocated by DHS/FEMA.  
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:  
</p><p>&#149; Individual’s name;  
 
</p><p>&#149; Taxpayer identification number/social security number;  
</p><p>&#149; Amounts paid for purchase of property including records of negotiations and offers;  
</p><p>&#149; Title search documentation including property titles, title company correspondence, closing papers, tax records, and contracts;  
</p><p>&#149; Loan interest payment information including mortgage payment papers, loan documentation claims, and DHS/FEMA approvals;  
</p><p>&#149; Information for determining benefit amounts for real property acquisition including tax records, mortgage information, and divorce decrees;  
</p><p>&#149; Information concerning replacement housing determinations including tax information, affidavits, and determinations;  
</p><p>&#149; Relocation claims payment information including documents which verify that funds have been spent, deeds, contracts, building estimates, construction bills, loan papers, leases, cancelled checks, claim forms, and Decent, Safe and Sanitary Inspection Forms;  
</p><p>&#149; Deeds, contractual sale documents, notations of follow-up actions, appraiser qualifications, rent supplement information, insurance verifications, moving cost information, permanent relocation questionnaires including background information on displaced persons, and information supplied by displaced persons to support claims for real property acquisition and relocation assistance. The temporary relocation file may contain the following:
</p><p>&#9675; Applicant contact sheets;
</p><p>&#9675; Application for assistance;
</p><p>&#9675; Leases and/or reimbursement agreements and corresponding housing inspection reports;
</p><p>&#9675; Requests for payment with supporting bills, receipts, etc., for relocation expenses and payment records to individuals and businesses; and 
</p><p>&#9675; Move-out records.  
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Records Act, 44 U.S.C. 3101; Comprehensive Environmental Response Compensation Liability Act (CERCLA) of 1980, 42 U.S.C. 9601 <i>et seq.</i>; Executive Order 12580; Uniform Relocation Assistance and Real Property Acquisition Policies Act, 42 U.S.C. 4601 <i>et seq.</i>; National Flood Insurance Act of 1968 and Flood Disaster Protection Act of 1973, 42 U.S.C. 4001, <i>et seq.</i> and Executive Order 9397.  
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to track individual properties that qualify for acquisition and/or relocation under the Comprehensive Environmental Response Compensation Liability Act of 1980, as amended, and the National Flood Insurance Act, 42 U.S.C. 4001, as amended.  
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:  
 
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:  
</p><p>1. DHS or any component thereof;  
</p><p>2. Any employee of DHS in his/her official capacity;  
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or  
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.  
</p><p>B. 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.  
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.  
</p><p>D. 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.  
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;  
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and  
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.  
</p><p>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 DHS, 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 DHS officers and employees.  
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.  
</p><p>H. To the affected State or political subdivision thereof for the purpose of determining the State’s or subdivision’s eligibility for tracking title to the acquired property for recreational and open space resources.  
</p><p>I. To the Environmental Protection Agency for the purpose of verifying the proper eligibility and use of Superfund monies to acquire properties found to be uninhabitable for the population and in connection with legal cases brought under the Superfund.  
</p><p>J. To the Small Business Administration for the purpose of determining the individual/business eligibility for loans and no duplication of funds.  
</p><p>K. To the Department of Justice, or a United States Attorney for legal representation in duplication of benefits provided to the individual or legal cases brought by or against FEMA, or in the case of Superfund monies, those brought by or against the Environmental Protection Agency.  
</p><p>L. To the Department of Justice for the purpose of obtaining official title opinions prior to acquisition as outlined under Section 1362 acquisitions.  
</p><p>M. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.  
</p><p>Disclosure to consumer reporting agencies:
 
</p><p>Disclosure pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).  
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.  
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual’s name, property addresses, mobile home sales documents, leases, and contracts.  
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.  
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Permanent Personal and Real Property Acquisition and Relocation records are covered by General Record Schedules 3 and 4. Original files regarding occupant-related documents (e.g., site requests, mobile home sales documents, leases, and contracts) will be consolidated at regional offices at the end of Phase II (e.g., when shelterees are moved to permanent housing) and destroyed 6 years and 3 months after files are consolidated in accordance with FEMA Record Schedule N1-311-86-1, Item 4C8b(1). Files relating to permanent relocations under Superfund and purchases of properties under Section 1362 are permanent and will be maintained in accordance with FEMA Records Schedule N1-311-86-1, Item 4C10d.  
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For Superfund acquisitions--Associate Director, State and Local Programs and Support Directorate, Federal Emergency Management Agency, Washington, DC 20472.  
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to FEMA’s FOIA Officer, 500 C Street, SW., Attn: FOIA Coordinator, Washington, DC 20472.  
</p><p>When seeking records about yourself from this system of records or any other FEMA system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:  
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.  
</p><p>Without this bulleted information the FEMA may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.  
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.  
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.  
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, appraisal records, title reports, or homeowner reports.  
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.  
</p></xhtmlContent></subsection></section>
<section id="fema6" toc="yes">
<systemNumber>/FEMA-006</systemNumber>
<subsection type="systemName">Citizen Corps Database.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Federal Emergency Management Agency Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include individuals who express an interest in Citizen Corps programs or activities supporting State and Local governments which include the Community Emergency Response Teams (CERT), the Fire Corps, the Office of the Civilian Volunteer Medical Reserve Corps (MRC), the National Neighborhood Watch Program, the Volunteers in Police Service (VIPS), the Operation Terrorism Information and Prevention System (TIPS), the Corporation for National and Community Service (CNCS), and the Citizen Corps Council. Additionally, various State and Local Government Officials are covered by this system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Individual’s name;
</p><p>&#149; Mailing address;
</p><p>&#149; E-mail address;
</p><p>&#149; Phone number;
</p><p>&#149; Volunteer program area and type of interest;
</p><p>&#149; Date of expression of interest; and
</p><p>&#149; Emergency preparedness training information, such as; courses taken and dates of courses.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Records Act, 44 U.S.C. 3101; Section 2, Executive Order 13254, January, 29, 2002; 1998 Appropriations Act (Pub, L, 105-119); and the Homeland Security Act of 2002 (Pub. L. 107-296, Section 224.). Fiscal Year 2008 Consolidated Appropriations Act (Pub. L. 110-161).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Citizen Corps, through its internet site at <i>http://www.citizencorps.gov,</i> allows individuals to indicate their interest in specific voluntary programs. Information concerning those desired activities is then disseminated by DHS/FEMA to the appropriate organization for further processing or response. The Citizen Corps coordinates efforts among several organizations, including the Community Emergency Response Teams (CERT), the Fire Corps, the Office of the Civilian Volunteer Medical Reserve Corps (MRC), the National Neighborhood Watch Program, the Volunteers in Police Service (VIPS), the Operation Terrorism Information and Prevention System (TIPS), the Corporation for National and Community Service (CNCS), and the Citizen Corps Council. In addition, these entities may express an interest in sharing their respective contact and similar information with other participants in these programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the USA Freedom Corps, Executive Office of the President.
</p><p>I. To organizations or activities participating in the Citizen Corps Program if an individual has volunteered to assist this specific type of organization or activity.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual’s name, mailing address, e-mail address, or volunteer program(s) in which the respondent indicates an interest.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Routine correspondence with governors, mayors, and other State and local officials, as well as private citizens relating to FEMA programs will be destroyed when no longer needed in accordance with FEMA Records Schedule N1-311-86-1, Item 1B4. Records relating to establishment, organization, membership, and policy of external committees that are sponsored by FEMA, but have a membership including representatives from other Federal agencies, States, local governments, and/or public citizens are permanent and will be maintained in accordance with FEMA Records Schedule N1-311-97-2, Item 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Grants and Training, Federal Emergency Management Agency, 810 Seventh Street, NW., Washington, DC 20531.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to FEMA’s FOIA Officer, 500 C Street, SW., Attn: FOIA Coordinator, Washington, DC 20472.
</p><p>When seeking records about yourself from this system of records or any other FEMA system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you, 
</p><p>&#149; Specify when you believe the records would have been created, 
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the FEMA may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are generated by the individual and by DHS/FEMA based on individual’s responses submitted via the Citizen Corps Web site.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema7" toc="yes">
<systemNumber>/FEMA-007</systemNumber>
<subsection type="systemName">National Flood Insurance Program Marketing Files. 
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. 
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Federal Emergency Management Agency Headquarters in Washington, DC and in field offices. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include individuals who apply for and individuals who are insured under the National Flood Insurance Program, Write-Your-Own companies, flood insurance agents and lenders, and individuals who request information on the National Flood Insurance Program. 
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include: 
</p><p>&#149; Individual’s name; 
</p><p>&#149; Business’s name; 
</p><p>&#149; Addresses; 
</p><p>&#149; Phone numbers; 
</p><p>&#149; Account numbers or order numbers; 
</p><p>&#149; Market research data regarding the NFIP, including information regarding awareness, attitudes, and satisfaction as it relates to the NFIP, which is obtained through qualitative surveys approved by the Office of Management and Budget (OMB); 
</p><p>&#149; Telephone Response Center (TRC) records regarding research conducted with customers, insurance agents, Write-Your-Own (WYO) companies and individual respondents.
 
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Records Act, 44 U.S.C. 3101; National Flood Insurance Act of 1968, as amended, and Flood Disaster Protection Act of 1973, as amended, 42 U.S.C 4001 <i>et seq.</i> 
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to market the National Flood Insurance Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual’s name, business’ name, addresses, telephone number, account number, or order number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Flood plain Management Files end at the close of each fiscal year, retired to the Federal Record Center, and destroyed ten years after cutoff, in accordance with FEMA Records Schedule N1-311-02-01, Item 4. Files generated in processing flood insurance policies under the continuing National Flood Insurance Program end when file becomes inactive and destroyed five years after cutoff, in accordance with FEMA Records Schedule N1-311-86-1, Item 1A13a(2).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Administrator, Federal Insurance and Mitigation Administration, Federal Emergency Management Agency Headquarters, 500 C Street, SW., Washington, DC 20472.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to FEMA’s FOIA Officer, 500 C Street, SW., Attn: FOIA Coordinator, Washington, DC 20472.
</p><p>When seeking records about yourself from this system of records or any other FEMA system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you, 
</p><p>&#149; Specify when you believe the records would have been created, 
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the FEMA may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual’s who apply for and individuals who are insured under the National Flood Insurance Program, Write-Your-Own companies, flood insurance agents and lenders, and individuals who request information on the National Flood Insurance Program.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema8" toc="yes">
<systemNumber>/FEMA-008</systemNumber>
<subsection type="systemName">Federal Emergency Management Agency Disaster Recovery Assistance Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified. 
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Processing Service Centers (NPSC) located at FEMA MD-NPSC, 6511 America Boulevard, Hyattsville, MD 20782; FEMA VA-NPSC, 430 Market St. Winchester, VA 22603; and FEMA TX-NPSC, 3900 Karina Lane, Denton, TX 76208.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Eligible United States citizens and lawful permanent residents applying for disaster recovery assistance following a Presidentially-declared major disaster or emergency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>(a) Registration Records (Form 90-69 and 90-69b, Disaster Assistance Registration/Application)
</p><p>&#149; Individual’s full name;
</p><p>&#149; Social security number, alien number, co-application social security number;
</p><p>&#149; Date of birth;
</p><p>&#149; Phone numbers;
</p><p>&#149; E-mail addresses;
</p><p>&#149; Addresses;
</p><p>&#149; Language(s) spoken;
</p><p>&#149; Date of disaster and/or property loss including cause of damage and estimates of repair;
</p><p>&#149; Type of disaster location;
</p><p>&#149; Name for each disaster;
</p><p>&#149; Income information;
</p><p>&#149; Acceptable forms of identification (<i>e.g.</i>, drivers license, state/federal issued photo identification);
</p><p>&#149; Emergency needs of the individual (<i>e.g.</i> food, clothing, shelter <i>etc.</i>);
</p><p>&#149; Other needs (<i>e.g.,</i> medical, dental, moving, funeral <i>etc.</i>)
</p><p>&#149; Type of residence;
</p><p>&#149; Insurance coverage information including names, addresses, phone numbers, e-mail addresses;
</p><p>&#149; Household size and composition including number and type of individual’s dependents;
</p><p>&#149; Bank name and account information including electronic funds transfer information;
</p><p>(b) Inspection Reports (Form 90-56, Inspection Report)
</p><p>&#149; Inspection reports containing individuals’ identifying information and results of surveys of damaged real and personal property and goods, which may include individuals’ homes and personal items;
</p><p>(c) Temporary Housing Assistance Eligibility Determinations (Forms 90-11, through 90-13, 90-16, 90-22, 90-24 through 90-28, 90-31, 90-33, 90-41, 90-48, 90-57, 90-68 through 90-70, 90-71, 90-75 through 90-78, 90-82, 90-86, 90-87, 90-94 through 90-97, 90-99, and 90-101.
</p><p>&#149; Correspondence and documentation related to the approval and disapproval of temporary housing assistance including: general correspondence, complaints, appeals and resolutions, requests for disbursement of payments, inquiries from tenants and landlords, general administrative and fiscal information, payment schedules and forms, termination notices, information shared with the temporary housing program staff from other agencies to prevent the duplication of benefits, leases, contracts, specifications for repair of disaster damaged residences, reasons for eviction or denial of aid, sales information after tenant purchase of housing units, and the status of disposition of applications for housing;
</p><p>(d) Eligibility Decisions for Disaster Aid from other Federal and State Agencies (forms 76-27 through 70-28, 76-30, 76-32, 76-34 through 76-35 and 76-38)
</p><p>&#149; Notations of decisions for disaster aid from other Federal and State agencies as they relate to determinations of individuals’ eligibility for disaster assistance programs.
</p><p>&#149; Other files independently kept by the State, which contain records of persons who request disaster aid, specifically for the "Other Needs" assistance provision of the Individuals and Households Program (IHP), and its predecessor program, the Individuals and Family Grant (IFG), administrative files and reports required by FEMA. As to individuals, the State keeps the same type of information as described above under registration, inspection, and temporary housing assistance records. As to administrative files and reporting requirements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Robert T. Stafford Disaster Relief and Emergency Assistance Act as amended (the Stafford Act), 42 U.S.C. 5121-5206 and Reorganization Plan No. 3 of 1978, 5 U.S.C. 552a(b) of the Privacy Act, Executive Order 13411, the Homeland Security Act of 2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25, 2002), 5 U.S.C. 552a(b) of the Privacy Act, 44 U.S.C. sections 2904 and 2906, Debt Collection Improvement Act of 1996, 31 U.S.C. 3325(d) and 7701(c)(1), Fair Credit Reporting Act, 15 U.S.C. 1681a(f), as amended; Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3), as amended; 44 CFR 206.2(a)(27).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To register applicants needing disaster assistance, to inspect damaged homes, to verify information provided by each applicant, to determine eligibility regarding an applicant’s request for assistance, and to identify and implement measures to reduce future disaster damage, prevent duplication of federal government efforts and benefits, identify possible fraudulent activity once there has been a Presidentially-declared major disaster or emergency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, DHS/FEMA may disclose all or a portion of the records of information contained in this system as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ) (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation.
</p><p>B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request and with the consent of the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration or other Federal Government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. sections 2904 and 2906.
</p><p>D. To a Federal 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. Where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law--criminal, civil, or regulatory--the relevant records may be referred to an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting such a violation or enforcing or implementing a law, rule, regulation, or order, so long as such disclosure is proper and consistent with the official duties of the person receiving the information.
</p><p>H. To certain agencies where FEMA may disclose applicant information necessary to prevent a duplication of efforts or a duplication of benefits in determining eligibility for disaster assistance, or to certain entities that will provide unmet needs to eligible, ineligible or partially eligible FEMA applicants. Only the least amount of necessary information shall be released to enable the recipient agency to determine eligibility for that agency’s particular assistance program(s). The receiving agency is not permitted to alter or to further disclose the disclosed records to other disaster organizations. FEMA may make such disclosures under the following circumstances:
</p><p>1. To another Federal agency or State government agency charged by statute or regulation in administering disaster relief programs. This includes programs that make available any additional Federal and State disaster assistance to individuals and households and authorities that give preference of priority to disaster victims to the extent the information is relevant and necessary and is compatible as to purpose.
</p><p>2. When an applicant seeks assistance from a local government agency or a voluntary organization (as defined at 44 CFR 206.2(a)(27), as amended or superseded) charged under legislation or charter with administering disaster relief programs, and FEMA receives a written request from that local government or voluntary agency that includes the applicant’s name, date of birth, FEMA registration/application number, and damaged dwelling address. The written request must explain the type of tangible assistance being offered and the type of verification required before the assistance can be provided.
</p><p>3. To voluntary organizations (as defined at 44 CFR 206.2(a)(27), as amended or superseded) that have an established disaster assistance program to address the disaster-related unmet needs of disaster victims, are actively involved in the recovery efforts of the disaster, and either have a national membership in good standing with the National Voluntary Organizations Active in Disaster (NVOAD), or are participating in the FEMA or State recognized disaster’s Long-Term Recovery Committee. When a voluntary agency satisfies all of the criteria listed in this sub-paragraph, FEMA may release lists of individuals’ names, contact information, and their FEMA inspected loss amount to the voluntary agency for the sole purpose of providing additional disaster assistance. FEMA shall release this information only from the time that disaster period is first open until 90 days after the disaster period is closed.
</p><p>4. FEMA may immediately disclose, on a case-by-case basis, applicant information to an entity qualifying under routine use (H)(3) above or to an entity approved by the FEMA Disability Coordinator, if the applicant in question has a special need for durable medical equipment or device, and the qualifying entity is able to provide the assistance to the applicant in question. Specifically, FEMA may release the applicants name and telephone number. A written request is not necessary in this situation, however FEMA shall provide a written letter along with the information to receiving entity, and in turn the receiving entity shall send FEMA an acknowledgement letter that it has received the information and has contacted the applicant. In addition, the entity will confirm that it has taken the steps to protect the information provided. Only the FEMA Disability Coordinator or designee is authorized to approve a release under this routine use.
</p><p>I. To relevant agencies, organizations, and institutions when an individual’s eligibility, in whole or in part, for a disaster assistance program depends upon benefits already received or available from another source for the same purpose as necessary to determine what benefits are available from another source and to prevent the duplication of disaster assistance benefits (as described in section 312 of the Stafford Act).
</p><p>J. To Federal, State, or local agencies in response to a written request, FEMA may disclose information charged with the implementation of hazard mitigation measures and the enforcement of hazard-specific provisions of building codes, standards, and ordinances. FEMA may only disclose information for the following purposes:
</p><p>1. For hazard mitigation planning purposes to assist States and local communities in identifying high-risk areas and preparing mitigation plans that target those areas for hazard mitigation projects implemented under Federal, State or local hazard mitigation programs.
</p><p>2. For enforcement purposes, to enable State and local communities to ensure that owners repair or rebuild structures in conformance with applicable hazard-specific building codes, standards, and ordinances.
</p><p>K. To the Department of the Treasury, pursuant to the Debt Collection Improvement Act of 1996, 31 U.S.C. 3325(d) and 7701(c)(1), on the release of a social security number of the person doing business with FEMA, including an applicant for a grant. An applicant’s social security number will be released in connection with a request for payment to the Department of the Treasury to provide a disaster assistance payment to an applicant under the Individual Assistance program.
</p><p>L. To a State in connection with billing that State for the applicable non-Federal cost share under the Individuals and Households Program. Information shall only include list of applicants’ names, contact information, and amounts of assistance received.
</p><p>M. To local emergency managers, when an applicant is occupying a FEMA Temporary Housing unit, for the purposes of preparing, administering, coordinating and/or monitoring emergency response, public safety, and evacuation plans. FEMA shall only release the address and location of the housing unit.
</p><p>N. To the Department of the Treasury, Justice, the United States Attorney’s Office, or a consumer reporting agency for further collection action on any delinquent debt when circumstances warrant.
</p><p>O. To Federal or State law enforcement authority, or agency, or other entity authorized to investigate and/or coordinate locating missing children and/or reuniting families.
</p><p>P. To State and local government election authorities to oversee the voting process within their respective State/county/parish, for the limited purpose of ensuring voting rights of individuals who have applied to FEMA for Disaster Assistance, limited to their own respective State’s/county’s/parish’s citizens who are displaced by a Presidentially-declared major disaster or emergency out of their State/county/parish voting jurisdiction.
</p><p>Q. To certain Federal, State, local, and tribal agencies where FEMA may disclose an applicant’s disaster related information to update the applicant’s current records (i.e. change of address, effective date of change of address, <i>etc.</i>) within that agency to reduce additional efforts following a Presidentially-declared disaster (i.e. Social Security Administration, a state Department of Motor Vehicles, or state health agency that needs updated contact information).
</p><p>R. To other Federal agencies or non-Federal entities under approved computer matching efforts, if use of such information is compatible with the purpose for which DHS collected the information. Sharing is limited to only those data elements considered relevant and necessary to determine eligibility under particular benefit programs administered by those agencies or entities or by DHS or any component thereof to improve program integrity, and to collect debts and other monies owed under those programs.
</p><p>S. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with Counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of the Department or is necessary to demonstrate the accountability of the Department’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosure under 5 U.S.C. 552a(b)(12). DHS/FEMA may make disclosures from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act 15 U.S.C. 1681a(f), as amended; or the Federal Claims Collection Act of 1966 31 U.S.C. 3701(a)(3), as amended.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored in an interactive database, computer discs, and paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by an individual’s name, address, social security number, and case file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Only authorized FEMA employees and contractors have access to this information. Hardware and software computer security measures are used to control access to the data. Access to the data is based upon an individual’s position in FEMA and/or their designated duties. Individuals are assigned specific "rights" or specific access (<i>e.g.,</i> read only, modify, delete, <i>etc.</i>). The access granted is based upon an individual’s position responsibilities for "official use" only. FEMA employees are allowed access to the data as a function of their specific job assignments within their respective organizations. Each FEMA employee’s access to the data is restricted to that needed to carry out their duties.
</p><p>No individual applying for disaster assistance will have access to the entire database via the Internet. Applicants will have limited access to only their own information that they submitted via the Internet, and to the status of their own information regarding the processing of their own application (<i>e.g.</i> the status of required documentation, inspection status, or SBA status). Applicants are provided a Logon id, password, and Personal Identification Number (PIN) that connect only to the applicant’s data. The password and PIN ensures that the login id belongs to the applicant. Computer security software ensures that the login id is mapped only to the applicant’s data. Applicants will have access to only their own application information after FEMA assigns them a properly authenticated user id, password, and PIN. Applicants will be registered and authenticated in accordance with National Institute of Standards and Technology Level 2 Assurance guidelines.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records pertaining to individual assistance EXCEPT those relating to temporary housing and Individuals and Households Program programs will retire to inactive storage when two years old and destroyed when six years three months old in accordance with FEMA Records Schedule No. N1-311-86-1, item 4C10a. Records pertaining to temporary housing will be destroyed three years after close of the operation in accordance with FRS No. N1-311-86-1, item 4C10b. Closeout occurs when the disaster contract is terminated. Records pertaining to the IHP program will retire to the Federal Records Center (FRC) one year after closeout and destroyed three years after closeout.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Director, Individual Assistance Division, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the Headquarters or component’s FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you,
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you,
</p><p>&#149; Specify when you believe the records would have been created,
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>FEMA receives information from individuals who apply for disaster recovery assistance through three different media: (1) Electronically via the Internet at <i>http://www.disasterassistance.gov</i>; (2) by calling FEMA’s toll-free number 1-800-621-3362, and (3) through submission of a paper copy of FEMA Form 90-69. In addition information in this records system may come from credit rating bureaus, financial institutions, insurance companies, State, local and voluntary agencies providing disaster relief, and commercial databases (for verification purposes).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema9" toc="yes">
<systemNumber>/FEMA-009</systemNumber>
<subsection type="systemName">Hazard Mitigation Assistance Grant Programs.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.  
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Mitigation eGrants, the Hazard Mitigation Grant Program (HMGP) system, and hard copy records are maintained at Federal Emergency Management Agency Headquarters, in Washington, DC and field locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>&#149; The points of contact for the grant applications, including applications that are denied, and awarded grants (grantees), such as state, local, tribal, and territorial governments, and private and non-profit organizations applying for HMA grant funds; and
</p><p>&#149; Individual private property owners whose properties are identified in applications for Hazard Mitigation Assistance (HMA) grant funds.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The following information may be collected:
</p><p>&#149; Individual property owner’s name;
</p><p>&#149; Individual property owner’s damaged property address;
</p><p>&#149; Individual property owner’s home phone number;
</p><p>&#149; Individual property owner’s office phone number;
</p><p>&#149; Individual property owner’s cell phone number;
</p><p>&#149; Individual property owner’s mailing address;
</p><p>&#149; Individual property owner’s status regarding flood insurance;
</p><p>&#149; Individual property owner’s National Flood Insurance Program (NFIP) policy number;
</p><p>&#149; Individual property owner’s insurance policy provider for the property proposed to be mitigated with FEMA funds;
</p><p>&#149; Individual property owner’s signature;
</p><p>&#149; Grant applicant organization name;
</p><p>&#149; Grant applicant organization POC;
</p><p>&#149; Grant applicant organization POC office phone number;
</p><p>&#149; Grant applicant organization POC office mailing address;
</p><p>&#149; Grant applicant organization POC email address;
</p><p>&#149; Grant applicant’s Dun and Bradstreet Data Universal Numbering System (DUNS);
</p><p>&#149; Governor’s authorized representative name;
</p><p>&#149; Governor’s authorized representative signature;
 
</p><p>&#149; Notations and reports of decisions from insurance, disaster, or similar financial aid and/or income from other federal and state agencies, insurance companies, employers, banks, financial or credit data services, and public or private entities as they relate to payments and/or financial assistance received by individual property owners for the subject property; and
</p><p>&#149; Mitigation activity type, hazard type, award date, and/or Congressional district.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Sections 203 and 404 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. 5133 and 5170c; Sections 1366, 1323, and 1361A of the National Flood Insurance Act, as amended, 42 U.S.C. 4030, 4102a, and 4104c.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to determine the eligibility of a property or structure for FEMA’s hazard mitigation grant programs, verify the eligibility of activities for mitigation grants, identify repetitive loss properties, and implement measures to reduce future property damage from hazards.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof.
</p><p>B. To a congressional office from the record of an individual in response to a written inquiry from that congressional office made pursuant to a Privacy Act waiver from the individual to whom the record pertains.
</p><p>C. To the National Archives and Records Administration (NARA) or General Services Administration pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. To an agency or organization for the purpose of performing audit or oversight operations as authorized by law, but only such information as is necessary or relevant to such audit or oversight function.
</p><p>E. To agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>F. To contractors and their agents, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To another federal, state, or local government agency charged with administering federal mitigation or disaster relief programs in order to prevent a duplication of efforts by FEMA and the other agency, or a duplication of benefits to an individual eligible to apply for mitigation grant programs administered by FEMA.
</p><p>I. To a federal, state, or local government agency, or other public or private entity (to include voluntary/non-governmental organizations, insurance companies, insurance agents/brokers, individual’s employer, and/or financial institutions), when an individual property owner’s eligibility for grant assistance to the property, in whole or in part, depends upon financial benefits already received or available from that source for similar purposes.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
 
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by applicant or sub-applicant organization submitting the grant application, mitigation activity type, hazard type, award date, congressional district, and/or individual’s flood insurance policy information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Government Records Schedule (GRS) 3, Item 14, grant administrative records and hard copies of unsuccessful grant applications files are destroyed when two years old. In accordance with GRS 3, Item 13, electronically received and processed copies of unsuccessful grant application files will be stored for 3 years from the date of denial, and then deleted. In accordance with FEMA Records Schedule N1-311-95-1, Item 1, grant project records are maintained for three years after the end of the fiscal year that the grant or agreement is finalized or when no longer needed, whichever is sooner. In accordance with FEMA Records Schedule N1-311-95-1, Item 3, grant final reports are retired to the Federal Records Center (FRC) three years after cutoff, and then transferred to National Archives and Records Administration (NARA) 20 years after cutoff. In accordance with FEMA Records Schedule N1-311-95-1, Item 2; N1-311-01-8, Item 1; and N1-311-04-1, Item 1, all other grant (both disaster and non disaster) records will be stored for 6 years and 3 months from the date of closeout (where closeout is the date FEMA closes the grant in its financial system) and final audit and appeals are resolved and then deleted. Records of real properties (property acquisition agreement and lists of acquired properties) acquired with FEMA funds for maintenance in accordance with agreement terms of the grant cannot be destroyed until agreement with locality is no longer viable.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Risk Reduction Division, FEMA, 1800 South Bell Street, Arlington, VA 20598-3030.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the FEMA FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you must:
</p><p>&#149; Explain why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without the above information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained by FEMA from state, local, tribal, territorial governments, and private and non-profit organizations via hard copy and electronic applications for assistance. Individual property owners cannot apply directly to FEMA for assistance.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="fema11" toc="yes">
<systemNumber>/FEMA-011</systemNumber>
<subsection type="systemName">Training and Exercise Program Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive But Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the FEMA Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual who has applied for, participated in, or assisted with a training or exercise program recommended, sponsored, or operated by FEMA including current and former employees of DHS, any other federal employee, volunteers and contractors, and private individuals such as state, local, tribal, international, and non-profit/nongovernmental personnel; and other participants in FEMA training and exercise programs such as instructors, developers, observers, and interpreters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Individual’s name (First, Middle, Last, Suffix);
</p><p>&#149; Date of birth;
</p><p>&#149; Social Security Number;
</p><p>&#149; Alternate unique number assigned in lieu of an SSN;
</p><p>&#149; Sex;
</p><p>&#149; Race and ethnicity;
</p><p>&#149; U.S. Citizenship;
</p><p>&#149; City and country of birth (collected for non-U.S. citizens);
</p><p>&#149; Information related to disabilities requiring special assistance;
</p><p>&#149; Phone numbers;
</p><p>&#149; Email addresses;
</p><p>&#149; Addresses;
</p><p>&#149; Military Rank/Prefix;
</p><p>&#149; Unique user ID (for IT system registration);
</p><p>&#149; Individual’s password (for IT system access; only accessible by the individual; disclosed as part of the authentication process);
</p><p>&#149; Individual’s security questions and answers (for IT system access);
</p><p>&#149; Individual’s employer or organization being represented;
</p><p>&#149; Individual’s employment status;
</p><p>&#149; Individual’s position title;
</p><p>&#149; Individual’s professional certifications;
</p><p>&#149; Category of position;
</p><p>&#149; Years of experience;
</p><p>&#149; Type of experience;
</p><p>&#149; Primary responsibility;
</p><p>&#149; Reason for applying/registering for training/exercise;
</p><p>&#149; Reference point of contact name;
</p><p>&#149; Reference point of contact phone number;
</p><p>&#149; Reference point of contact addresses;
</p><p>&#149; Relationship of individual to the reference point of contact;
</p><p>&#149; Time Zone;
</p><p>&#149; Organization type/Jurisdiction (e.g. federal agency, state or local government, etc.);
</p><p>&#149; Organization identification number;
</p><p>&#149; Number of staff in the organization;
</p><p>&#149; Size of population served by the organization;
</p><p>&#149; Nomination forms;
 
</p><p>&#149; Registration/Application forms;
</p><p>&#149; Training/Exercise rosters and sign-in sheets;
</p><p>&#149; Training instructor and Exercise role lists;
</p><p>&#149; Training/exercise schedules, including location and venue, type, target capabilities, and mission;
</p><p>&#149; Financial information, such as bank routing and account number;
</p><p>&#149; Payment records, including financial, travel and related expenditures;
</p><p>&#149; Examination and testing materials;
</p><p>&#149; Grades and student evaluations;
</p><p>&#149; Course and instructor critiques; and
</p><p>&#149; Reports pertaining to and resulting from training and exercises.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>&#149; Pub. L. 93-288, Robert T. Stafford Disaster Relief and Emergency Assistance Act as amended; Pub. L. 93-498, Federal Fire Prevention and Control Act of 1974, as amended; Pub. L. 93-579, 44 U.S.C. 3101-3106; 6 U.S.C. 748; Homeland Security Presidential Directive 8; Homeland Security Presidential Directive 5; the Homeland Security Act of 2002; the E-Government Act of 2002; the Reorganization Plan No.3 of 1978, 5 U.S.C. 301; 31 U.S.C. 3716, Administrative offset; 31 U.S.C. 321, General authority of the Secretary; Executive Order 13111; Executive Order 12148; Executive Order 12127; Executive Order 9397; Title VI of the Civil Rights Act of 1964; Section 504 of the Rehabilitation Act of 1973; Presidential Memorandum, "Electronic Government’s Role in Implementing the President’s Management Agenda," July 10, 2002, 15 U.S.C. 2206, 44 U.S.C. 3101; 50 U.S.C. App. 2253 and 2281; CFO Bulletin, Financial and Acquisition Management Division, Number 117, June 23, 2003. Subject: Invitational Travel. Executive Order 9397 authorizes the collection of the social security number.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to facilitate registration for, participation in, and the completion and documentation of training and exercise programs sponsored by FEMA in support of its mission. Records in this system will be used to: determine eligibility for, and the effectiveness of, FEMA training and exercise programs; facilitate housing for and reimbursements to students of FEMA Training Programs/Conferences; promote a collaborative environment for participants in FEMA’s training and exercise programs; and facilitate the compilation of statistical information about FEMA’s training and exercise programs. FEMA uses the Social Security Number to ensure the accuracy of academic records, for stipend reimbursement of funds to registered students, and to distinguish the identity of individuals with identical names and birth dates.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To a federal, State, territorial, tribal, local, international, or foreign agency or entity for the purpose of consulting with that agency or entity (a) to assist in making a determination regarding access to or amendment of information, or (b) for the purpose of verifying the identity of an individual or the accuracy of information submitted by an individual who has requested access to or amendment of information.
</p><p>I. To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain information relevant to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>J. To a Federal, State, local, tribal, territorial, foreign, or international agency, in response to its request, in connection with the hiring of a prospective employee or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, the issuance of a license, grant, or other benefit by the requesting agency, or for general inquiries by a state agency or state entity in connection with monitoring status and activities of its employees, to the extent that the information is relevant and necessary to the requesting agency’s role and authority on such decisions and matters.
</p><p>K. To a physician(s) in order to provide information from the application for students who become ill or are injured during courses and are unable to provide the information.
</p><p>L. To members of the NFA and EMI Boards of Visitors Federal advisory committees for the purpose of evaluating NFA’s and EMI’s programmatic statistics.
</p><p>M. To sponsoring States, local officials, or state agencies to update/evaluate statistics on participation in FEMA-sponsored educational programs.
 
</p><p>N. To the Department of Treasury for the processing and issuance of stipend payments to reimburse training/exercise/conference related expenses.
</p><p>O. To Federal, State, local and tribal educational institutions for the maintenance/updating of student academic records such as transcripts.
</p><p>P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by an individual’s name, social security number, or unique user ID.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FEMA’s training and exercise records retention is generally covered under General Records Schedule (GRS) 1A-29a, 1-29a(2), and 1-29b; NARA Authority N1-311-08-2 1a, and NARA Authority N1-311-88-2 2. Under GRS 1, records are maintained for up to five years after the cutoff date and then destroyed. Under NARA Authority N1-311-08-2 1a, records are retired to the Federal Records Center (FRC) five years after the cutoff and destroyed after forty years. Under NARA Authority N1-311-88-2 2, records are maintained for six years and three months after the cutoff and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Privacy Officer, Federal Emergency Management Agency, Department of Homeland Security, Washington, DC 20478.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the FEMA FOIA Officer, whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from all individuals who have registered for, applied for, participated in, or assisted with FEMA’s training or exercise programs including FEMA employees and contractors, volunteers, other Federal employees and other participants such as instructors, course developers, observers, and interpreters.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(6).
</p></xhtmlContent></subsection></section>
<section id="fema12" toc="yes">
<systemNumber>/FEMA-012</systemNumber>

<subsection type="systemName">Suspicious Activity Reporting</subsection>
<subsection type="securityClassification"><xhtmlContent><p>For official use only (FOUO) and law enforcement sensitive (LES).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at FEMA Headquarters in Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who report suspicious activities, individuals reported as being involved in suspicious activities, and individuals charged with the analysis and appropriate handling of suspicious activity reports.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Case/incident number;
</p><p>&#149; Name (first, middle, and last);
</p><p>&#149; Address (number, street, apartment, city, and state);
</p><p>&#149; Age;
</p><p>&#149; Sex;
</p><p>&#149; Race;
</p><p>&#149; Signature (investigator, analyst, or LEO);
</p><p>&#149; Jurisdiction;
</p><p>&#149; Injury code if applicable;
</p><p>&#149; Telephone numbers (home, business, or cell);
</p><p>&#149; Other contact information (<i>e.g.,</i> email address);
</p><p>&#149; Property information (name, quantity, serial number, brand name, model, value, year, make, color, identifying characteristics, and/or registration information).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 CFR Chapter 2 "Delegation of Authority;" 42 U.S.C. 5196(d); Executive Orders 12333 and 13388; 40 U.S.C. 1315(b)(2)(F); 6 U.S.C. 314; The Homeland Security Act of 2002, as amended; the Intelligence Reform and Terrorism Prevention Act of 2004, as amended; the National Security Act of 1947, as amended; and FEMA Manual 1010-1 "Federal Emergency Management Agency Missions and Functions."
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect, investigate, analyze, and report suspicious activities to the Federal Bureau of Investigations (FBI) Joint Terrorism Task Force (JTTF), Federal Protective Service, and/or other federal, state, or local agencies required to investigate and respond to terrorist threats or hazards to homeland security.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DHS or any component thereof;
</p><p>2. Any employee of DHS in his/her official capacity;
</p><p>3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or
</p><p>4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.
</p><p>B. 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.
</p><p>C. To the National Archives and Records Administration (NARA) or other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>D. 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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DHS suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>2. DHS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DHS, 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 DHS officers and employees.
</p><p>G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>H. To an appropriate federal, state, tribal, local, international counterterrorism agencies where DHS becomes aware of an indication of a threat or potential threat to security, and where such use is to assist in counterterrorism efforts.
</p><p>I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life, property or other vital interests of a data subject and disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by case/incident number, name, address, and/or date.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pursuant to National Archives and Records Administration (NARA) Schedule Number N1-311-99-6, Items 1, 2, and 3, files containing information or allegations which are of an investigative nature but do not relate to a specific investigation are destroyed when five years old. Investigative case files that involve allegations made against senior agency officials, attract significant attention in the media, attract congressional attention, result in substantive changes in agency policies and procedures, or are cited in the OIG’s periodic reports to Congress are cut off when the case is closed, retired to the Federal Records Center (FRC) 5 years after cutoff, and then transferred to NARA 20 years after cutoff. All other investigative case files except those that are unusually significant for documenting major violations of criminal law or ethical standards by agency officials or others are placed in inactive files when case is closed, cut off at the end of fiscal year, and destroyed 10 years after cutoff.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of the Chief Security Officer, Fraud and Investigation Unit, 1201 Maryland Avenue, SW., Washington, DC 20024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS/FEMA will consider individual requests to determine whether or not information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the Chief of the FEMA Disclosure Branch whose contact information can be found at <i>http://www.dhs.gov/foia</i> under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, <i>http://www.dhs.gov</i> or 1-866-431-0486. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from individuals who report suspicious activities, individuals reported as being involved in suspicious activities, and individuals charged with the analysis and appropriate handling of suspicious activity reports, commercially available systems, and also from other federal, state, and local law enforcement agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a (k)(2).
</p></xhtmlContent></subsection></section>
<appendix id="appa" letter="A(1)" toc="yes">
<title> Addresses for FEMA Regional Offices </title>
<xhtmlContent>
<p>Region I--Regional Director, FEMA, 99 High Street, 6th Floor, Boston, MA 02110; 
</p><p>Region II--Regional Director, FEMA, 26 Federal Plaza, New York, NY 10278-0002; 
</p><p>Region III--Regional Director, FEMA, One Independence Mall, 615 Chestnut Street, Philadelphia, PA 19106-4404; 
</p><p>Region IV--Regional Director, FEMA, 3003 Chamblee-Tucker Road, Atlanta, GA 30341; 
</p><p>Region V--Regional Director, FEMA, 536 S. Clark Street, Chicago, IL 60605; 
</p><p>Region VI--Regional Director, FEMA, Federal Center, 800 North Loop 288 Denton, TX 76209; 
</p><p>Region VII--Regional Director, FEMA, 2323 Grand Boulevard, Kansas City, MO 64108-2670; 
</p><p>Region VIII--Regional Director, FEMA, Denver Federal Center, Building 710, Box 25267, Denver, CO 80225-0267; 
</p><p>Region IX--Regional Director, FEMA, 1112 Broadway St. Oakland, CA 94607; 
</p><p>Region X--Regional Director, FEMA, Federal Regional Center, 130 228th Street, SW., Bothell, WA 98021-9796. 

</p></xhtmlContent></appendix>

<appendix id="appa" toc="yes">
<title>Addresses for FEMA Regional Offices </title>
<xhtmlContent>
<p>Region I--Regional Director, Federal Emergency Management Agency, room 442, J.W. McCormack Post Office and Courthouse Building, Boston, MA 02109-4595; 
</p><p>Region II--Regional Director, Federal Emergency Management Agency, 26 Federal Plaza, room 1338, New York, NY 10278-0002;
</p><p>Region III--Regional Director, Federal Emergency Management Agency, Liberty Square Building (Second Floor), 105 South Seventh Street, Philadelphia, PA 19106-3316; 
</p><p>Region IV--Regional Director, Federal Emergency Management Agency, 1371 Peachtree Street, NE., suite 700, Atlanta, GA 30309-3108; 
</p><p>Region V--Regional Director, Federal Emergency Management Agency, 175 West Jackson Blvd., 4th Floor, Chicago, IL 60604-2698; 
</p><p>Region VI--Regional Director, Federal Emergency Management Agency, Federal Regional Center, 800 North Loop 288, Denton, TX 76201-3698; 
</p><p>Region VII--Regional Director, Federal Emergency Management Agency, 2323 Grand Boulevard, room 900, Kansas City, MO 64108-2670;
</p><p>Region VIII--Regional Director, Federal Emergency Management Agency, Denver Federal Center, Building 710, Box 25267, Denver, CO 80225-0267; 
</p><p>Region IX--Regional Director, Federal Emergency Management Agency, Building 105, Presidio of San Francisco, CA 94129-1250; 
</p><p>Region X--Regional Director, Federal Emergency Management Agency, Federal Regional Center, 130 228th Street SW., Bothell, WA 98021-9796. </p></xhtmlContent></appendix>



<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>

<regulations id="reg1" toc="yes">
<regulationsTitle number="6">
<heading> Domestic Security </heading>
<regulationsChapter number="I">
<heading> Department of Homeland Security </heading>
<regulationsPart number="5">
<heading> DISCLOSURE OF RECORDS AND INFORMATION </heading>
<xhtmlContent>
	<p><b>Subpart B--Privacy Act</b>
</p>
<p>Sec.</p>
<p>5.20 General provisions. 
</p>
<p>5.21 Requests for access to records. 
</p>
<p>5.22 Responsibility for responding to requests for access to records. 
</p>
<p>5.23 Responses to requests for access to records. 
</p>
<p>5.24 Classified information. 
</p>
<p>5.25 Appeals. 
</p>
<p>5.26 Requests for amendment or correction of records. 
</p>
<p>5.27 Requests for an accounting of record disclosures. 
</p>
<p>5.28 Preservation of records. 
</p>
<p>5.29 Fees. 
</p>
<p>5.30 Notice of court-ordered and emergency disclosures. 
</p>
<p>5.31 Security of systems of records. 
</p>
<p>5.32 Contracts for the operation of record systems. 
</p>
<p>5.33 Use and collection of social security numbers. 
</p>
<p>5.34 Standards of conduct for administration of the Privacy Act. 
</p>
<p>5.35 Sanctions and penalties. 
</p>
<p>5.36 Other rights and services. 

</p>
<p><b>Appendix A to Part 5--FOIA/Privacy Act Offices of the Department of Homeland Security 
</b></p>
<p><b>Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy Act
</b></p>
<p><b>Authority:</b> Pub. L. 107-296, 116 Stat. 2135; (6 U.S.C. 101 <i>et seq.</i>); 5 U.S.C. 301. Subpart A also issued under 5 U.S.C. 552. Subpart B also issued under 5 U.S.C. 552a. 
</p>
<p><b>Source:</b> 68 FR 4056, Jan. 27, 2003, unless otherwise noted.</p>
<p><b>Subpart B--Privacy Act 

</b></p>
<p><b>&#167; 5.20
 General provisions. 
</b></p>
<p>(a) <i>Purpose and scope.</i> (1) This subpart contains the rules that the Department of Homeland Security (Department) follows under the Privacy Act of 1974 (5 U.S.C. 552a). These rules should be read together with the Privacy Act, which provides additional information about records maintained on individuals. The rules in this subpart apply to all records in systems of records maintained by the Department that are retrieved by an individual’s name or personal identifier. They describe the procedures by which individuals may request access to records about themselves, request amendment or correction of those records, and request an accounting of disclosures of those by the Department. In addition, the Department processes all Privacy Act requests for access to records under the Freedom of Information Act (FOIA) (5 U.S.C. 552), following the rules contained in subpart A of this part, which gives requests the benefit of both statutes. 
</p>
<p>(2) The provisions established by this subpart shall apply to all Department components that are transferred to the Department. Except to the extent a Department component has adopted separate guidance under the Privacy Act, the provisions of this subpart shall apply to each component of the Department. Departmental components may issue their own guidance under this subpart pursuant to approval by the Department. 
</p>
<p>(b) <i>Definitions.</i> As used in this subpart: 
</p>
<p>(1) Component means each separate bureau, office, board, division, commission, service, or administration of the Department. 
</p>
<p>(2) Request for access to a record means a request made under Privacy Act subsection (d)(1). 
</p>
<p>(3) Request for amendment or correction of a record means a request made under Privacy Act subsection (d)(2). 
</p>
<p>(4) Request for an accounting means a request made under Privacy Act subsection (c)(3). 
</p>
<p>(5) Requester means an individual who makes a request for access, a request for amendment or correction, or a request for an accounting under the Privacy Act. 
</p>
<p>(c) <i>Authority to request records for a law enforcement purpose.</i> The head of a component or designee thereof is authorized to make written requests under subsection (b)(7) of the Privacy Act for records maintained by other agencies that are necessary to carry out an authorized law enforcement activity. 
</p>
<p>(d) <i>Notice on Departmental use of (b)(1) exemption.</i> As a general matter, when applying the (b)(1) exemption for disclosures within an agency on a need to know basis, the Department will consider itself a single entity, meaning that information may be disclosed between components of the Department under the (b)(1) exemption. 
</p>
<p>(e) <i>Interim Retention of Authorities.</i> As an interim solution, all agencies and components under the Department will retain the necessary authority from their original purpose in order to conduct these necessary activities. This includes the authority to maintain Privacy Act systems of records, disseminate information pursuant to existing or new routine uses, and retention of exemption authorities under sections (j) and (k) of the Privacy Act, where applicable. This retention of an agency or component’s authorities and information practices will remain in effect until this regulation is promulgated as a final rule, or the Department revises all systems of records notices. This retention of authority is necessary to allow components to fulfill their mission and purpose during the transition period of the establishment of the Department. During this transition period, the Department shall evaluate with the components the existing authorities and information practices and determine what revisions (if any) are appropriate and should be made to these existing authorities and practices. The Department anticipates that such revisions will be made either through the issuance of a revised system of records notices or through subsequent final regulations. 

</p>
<p><b>&#167; 5.21
 Requests for access to records. 
</b></p>
<p>(a) <i>How made and addressed.</i> You may make a request for access to a Department of Homeland Security record about yourself by appearing in person or by writing directly to the Department component that maintains the record. Your request should be sent or delivered to the component’s Privacy Act office at the address listed in appendix A to this part. In most cases, a component’s central Privacy Act office is the place to send a Privacy Act request. For records held by a field office of the U.S. Customs Service, U.S. Secret Service, U.S. Coast Guard, or any other Department component with field offices, however, you must write directly to that Customs, Secret Service, Coast Guard, or other field office address, which can be found in most telephone books or by calling the component’s central Privacy Act office. (The functions of each component are summarized elsewhere in this title and in the description of the Department and its components in the "United States Government Manual," which is issued annually and is available in most libraries, as well as for sale from the Government Printing Office’s Superintendent of Documents. This manual also can be accessed electronically at the Government Printing Office’s World Wide Web site (which can be found at <i>http://www.access.gpo.gov/su_docs</i>). Some records are maintained under a government-wide systems of records notice, for example, Official Personnel Files are maintained under the authority of the Office of Personnel Management. In order to access records maintained under a government-wide notice, please send your request to the Privacy Act office of the original department or agency from which the component was transferred to the Department. If you cannot determine where within the Department to send your request, you may send it to the Departmental Disclosure Officer, Department of Homeland Security, Washington, DC 20528, and that office will forward it to the component(s) it believes most likely to have the records that you seek. For the quickest possible handling, you should mark both your request letter and the envelope "Privacy Act Request." 
</p>
<p>(b) <i>Description of records sought.</i> You must describe the records that you want in enough detail to enable Department personnel to locate the system of records containing them with a reasonable amount of effort. Whenever possible, your request should describe the records sought, the time periods in which you believe they were compiled, and the name or identifying number of each system of records in which you believe they are kept. The Department publishes notices in the <i>Federal Register</i> that describe its components’ systems of records. A description of the Department’s systems of records also may be found as part of the "Privacy Act Compilation" published by the National Archives and Records Administration’s Office of the Federal Register. This compilation is available in most large reference and university libraries. This compilation also can be accessed electronically at the Government Printing Office’s World Wide Web site (which can be found at <i>http://www.access.gpo.gov/su_docs</i>). 
</p>
<p>(c) <i>Agreement to pay fees.</i> If you make a Privacy Act request for access to records, it shall be considered an agreement by you to pay all applicable fees charged under &#167; 5.29, up to $25.00. The component responsible for responding to your request ordinarily shall confirm this agreement in an acknowledgement letter. When making a request, you may specify a willingness to pay a greater or lesser amount. 
</p>
<p>(d) <i>Verification of identity.</i> When you make a request for access to records about yourself, you must verify your identity. You must state your full name, current address, and date and place of birth. You must sign your request and your signature must either be notarized or submitted by you under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Departmental Disclosure Officer, Department of Homeland Security, Washington, DC 20528. In order to help the identification and location of requested records, you may also, at your option, include your social security number. 
</p>
<p>(e) <i>Verification of guardianship.</i> When making a request as the parent or guardian of a minor or as the guardian of someone determined by a court to be incompetent, for access to records about that individual, you must establish: 
</p>
<p>(1) The identity of the individual who is the subject of the record, by stating the name, current address, date and place of birth, and, at your option, the social security number of the individual; 
</p>
<p>(2) Your own identity, as required in paragraph (d) of this section; 
</p>
<p>(3) That you are the parent or guardian of that individual, which you may prove by providing a copy of the individual’s birth certificate showing your parentage or by providing a court order establishing your guardianship; and 
</p>
<p>(4) That you are acting on behalf of that individual in making the request. 
</p>
<p>(f) <i>Verification in the case of third party information requests.</i> If you are making a request for records concerning an individual on behalf of that individual, you must provide a statement from the individual verifying the identity of the individual as provided in paragraph (d) of this section. You must also provide a statement from the individual certifying the individual’s agreement that records concerning the individual may be released to you. 

</p>
<p><b>&#167; 5.22
 Responsibility for responding to requests for access to records. 
</b></p>
<p>(a) <i>In general.</i> Except as stated in paragraphs (c), (d), and (e) of this section, the component that first receives a request for access to a record, and has possession of that record, is the component responsible for responding to the request. In determining which records are responsive to a request, a component ordinarily shall include only those records in its possession as of the date the component begins its search for them. If any other date is used, the component shall inform the requester of that date. 
</p>
<p>(b) <i>Authority to grant or deny requests.</i> The head of a component, or the component head’s designee, is authorized to grant or deny any request for access or amendment to a record of that component. 
</p>
<p>(c) <i>Consultations and referrals.</i> When a component receives a request for access to a record in its possession, it shall determine whether another component, or another agency of the Federal Government, is better able to determine whether the record is exempt from access under the Privacy Act. If the receiving component determines that it is best able to process the record in response to the request, then it shall do so. If the receiving component determines that it is not best able to process the record, then it shall either: 
</p>
<p>(1) Respond to the request regarding that record, after consulting with the component or agency best able to determine whether the record is exempt from access and with any other component or agency that has a substantial interest in it; or 
</p>
<p>(2) Refer the responsibility for responding to the request regarding that record to the component best able to determine whether it is exempt from access, or to another agency that originated the record (but only if that agency is subject to the Privacy Act). Ordinarily, the component or agency that originated a record will be presumed to be best able to determine whether it is exempt from access. 
</p>
<p>(d) <i>Law enforcement information.</i> Whenever a request is made for access to a record containing information that relates to an investigation of a possible violation of law and that was originated by another component or agency, the receiving component shall either refer the responsibility for responding to the request regarding that information to that other component or agency or shall consult with that other component or agency. 
</p>
<p>(e) <i>Classified information.</i> Whenever a request is made for access to a record containing information that has been classified by or may be appropriate for classification by another component or agency under Executive Order 12958 or any other executive order concerning the classification of records, the receiving component shall refer the responsibility for responding to the request regarding that information to the component or agency that classified the information, should consider the information for classification, or has the primary interest in it, as appropriate. Whenever a record contains information that has been derivatively classified by a component because it contains information classified by another component or agency, the component shall refer the responsibility for responding to the request regarding that information to the component or agency that classified the underlying information. 
</p>
<p>(f) <i>Release of Medical Records.</i> Pursuant to 5 U.S.C. 552a(f)(3), where requests are made for access to medical records, including psychological records, the decision to release directly to the individual, or to withhold direct release, shall be made by a medical practitioner. Where the medical practitioner has ruled that direct release will cause harm to the individual who is requesting access, normal release through the individual’s chosen medical practitioner will be recommended. Final review and decision on appeals of disapprovals of direct release will rest with the General Counsel. 
</p>
<p>(g) <i>Notice of referral.</i> Whenever a component refers all or any part of the responsibility for responding to a request to another component or agency, it ordinarily shall notify the requester of the referral and inform the requester of the name of each component or agency to which the request has been referred and of the part of the request that has been referred. 
</p>
<p>(h) <i>Timing of responses to consultations and referrals.</i> All consultations and referrals shall be handled according to the date the Privacy Act access request was initially received by the first component or agency, not any later date. 
</p>
<p>(i) <i>Agreements regarding consultations and referrals.</i> Components may make agreements with other components or agencies to eliminate the need for consultations or referrals for particular types of records. 

</p>
<p><b>&#167; 5.23
 Responses to requests for access to records. 
</b></p>
<p>(a) <i>Acknowledgements of requests.</i> On receipt of a request, a component ordinarily shall send an acknowledgement letter to the requester which shall confirm the requester’s agreement to pay fees under &#167; 5.21(c) and provide an assigned request number for further reference. 
</p>
<p>(b) <i>Grants of requests for access.</i> Once a component makes a determination to grant a request for access in whole or in part, it shall notify the requester in writing. The component shall inform the requester in the notice of any fee charged under &#167; 5.29 and shall disclose records to the requester promptly on payment of any applicable fee. If a request is made in person, the component may disclose records to the requester directly, in a manner not unreasonably disruptive of its operations, on payment of any applicable fee and with a written record made of the grant of the request. If a requester is accompanied by another person, the requester shall be required to authorize in writing any discussion of the records in the presence of the other person. 
</p>
<p>(c) <i>Adverse determinations of requests for access.</i> A component making an adverse determination denying a request for access in any respect shall notify the requester of that determination in writing. Adverse determinations, or denials of requests, consist of: a determination to withhold any requested record in whole or in part; a determination that a requested record does not exist or cannot be located; a determination that what has been requested is not a record subject to the Privacy Act; a determination on any disputed fee matter; and a denial of a request for expedited treatment. The notification letter shall be signed by the head of the component, or the component head’s designee, and shall include: 
</p>
<p>(1) The name and title or position of the person responsible for the denial; 
</p>
<p>(2) A brief statement of the reason(s) for the denial, including any Privacy Act exemption(s) applied by the component in denying the request; and 
</p>
<p>(3) A statement that the denial may be appealed under &#167; 5.25(a) and a description of the requirements of &#167; 5.25(a). 

</p>
<p><b>&#167; 5.24
 Classified information. 
</b></p>
<p>In processing a request for access to a record containing information that is classified under Executive Order 12958 or any other executive order, the originating component shall review the information to determine whether it should remain classified. Information determined to no longer require classification shall not be withheld from a requester on the basis of Exemption (k)(1) of the Privacy Act. On receipt of any appeal involving classified information, the Associate General Counsel (General Law), shall take appropriate action to ensure compliance with part 7 of this title. 

</p>
<p><b>&#167; 5.25
 Appeals. 
</b></p>
<p>(a) <i>Appeals.</i> If you are dissatisfied with a component’s response to your request for access to records, you may appeal an adverse determination denying your request in any respect to the Associate General Counsel (General Law), Department of Homeland Security, Washington, DC 20528. You must make your appeal in writing and it must be received by the Associate General Counsel (General Law) within 60 days of the date of the letter denying your request. Your appeal letter may include as much or as little related information as you wish, as long as it clearly identifies the component determination (including the assigned request number, if known) that you are appealing. For the quickest possible handling, you should mark both your appeal letter and the envelope "Privacy Act Appeal." 
</p>
<p>(b) <i>Responses to appeals.</i> The decision on your appeal will be made in writing. A decision affirming an adverse determination in whole or in part will include a brief statement of the reason(s) for the affirmance, including any Privacy Act exemption applied, and will inform you of the Privacy Act provisions for court review of the decision. If the adverse determination is reversed or modified on appeal in whole or in part, you will be notified in a written decision and your request will be reprocessed in accordance with that appeal decision. An adverse determination by the Associate General Counsel (General Law) will be the final action of the Department. 
</p>
<p>(c) <i>When appeal is required.</i> If you wish to seek review by a court of any adverse determination or denial of a request, you must first appeal it under this section. An appeal will not be acted on if the request becomes a matter of litigation. 

</p>
<p><b>&#167; 5.26
 Requests for amendment or correction of records. 
</b></p>
<p>(a) <i>How made and addressed.</i> Unless the record is not subject to amendment or correction as stated in paragraph (f) of this section, you may make a request for amendment or correction of a record of the Department about you by writing directly to the Department component that maintains the record, following the procedures in &#167; 5.21. Your request should identify each particular record in question, state the amendment or correction that you want, and state why you believe that the record is not accurate, relevant, timely, or complete. You may submit any documentation that you think would be helpful. If you believe that the same record is in more than one system of records, you should state that and address your request to each component that maintains a system of records containing the record. 
</p>
<p>(b) <i>Component responses.</i> Within ten working days of receiving your request for amendment or correction of records, a component shall send you a written acknowledgment of its receipt of your request, and it shall promptly notify you whether your request is granted or denied. If the component grants your request in whole or in part, it shall describe the amendment or correction made and shall advise you of your right to obtain a copy of the corrected or amended record, in disclosable form. If the component denies your request in whole or in part, it shall send you a letter signed by the head of the component, or the component head’s designee, that shall state: 
</p>
<p>(1) The reason(s) for the denial; and 
</p>
<p>(2) The procedure for appeal of the denial under paragraph (c) of this section, including the name and business address of the official who will act on your appeal. 
</p>
<p>(c) <i>Appeals.</i> You may appeal a denial of a request for amendment or correction to the Associate General Counsel (General Law) in the same manner as a denial of a request for access to records (see &#167; 5.25) and the same procedures shall be followed. If your appeal is denied, you shall be advised of your right to file a Statement of Disagreement as described in paragraph (d) of this section and of your right under the Privacy Act for court review of the decision. 
</p>
<p>(d) <i>Statements of Disagreement.</i> If your appeal under this section is denied in whole or in part, you have the right to file a Statement of Disagreement that states your reason(s) for disagreeing with the Department’s denial of your request for amendment or correction. Statements of Disagreement must be concise, must clearly identify each part of any record that is disputed, and should be no longer than one typed page for each fact disputed. Your Statement of Disagreement must be sent to the component involved, which shall place it in the system of records in which the disputed record is maintained and shall mark the disputed record to indicate that a Statement of Disagreement has been filed and where in the system of records it may be found. 
</p>
<p>(e) <i>Notification of amendment/correction or disagreement.</i> Within 30 working days of the amendment or correction of a record, the component that maintains the record shall notify all persons, organizations, or agencies to which it previously disclosed the record, if an accounting of that disclosure was made, that the record has been amended or corrected. If an individual has filed a Statement of Disagreement, the component shall append a copy of it to the disputed record whenever the record is disclosed and may also append a concise statement of its reason(s) for denying the request to amend or correct the record. 
</p>
<p>(f) <i>Records not subject to amendment or correction.</i> The following records are not subject to amendment or correction: 
</p>
<p>(1) Transcripts of testimony given under oath or written statements made under oath; 
</p>
<p>(2) Transcripts of grand jury proceedings, judicial proceedings, or quasi-judicial proceedings, which are the official record of those proceedings; 
</p>
<p>(3) Presentence records that originated with the courts; and 
</p>
<p>(4) Records in systems of records that have been exempted from amendment and correction under Privacy Act (5 U.S.C. 552a(j) or (k)) by notice published in the <i>Federal Register.</i> 

</p>
<p><b>&#167; 5.27
 Requests for an accounting of record disclosures. 
</b></p>
<p>(a) <i>How made and addressed.</i> Except where accountings of disclosures are not required to be kept (as stated in paragraph (b) of this section), you may make a request for an accounting of any disclosure that has been made by the Department to another person, organization, or agency of any record about you. This accounting contains the date, nature, and purpose of each disclosure, as well as the name and address of the person, organization, or agency to which the disclosure was made. Your request for an accounting should identify each particular record in question and should be made by writing directly to the Department component that maintains the record, following the procedures in &#167; 5.21. 
</p>
<p>(b) <i>Where accountings are not required.</i> Components are not required to provide accountings to you where they relate to: 
</p>
<p>(1) Disclosures for which accountings are not required to be kept, such as disclosures that are made to employees within the agency and disclosures that are made under the FOIA; 
</p>
<p>(2) Disclosures made to law enforcement agencies for authorized law enforcement activities in response to written requests from those law enforcement agencies specifying the law enforcement activities for which the disclosures are sought; or 
</p>
<p>(3) Disclosures made from law enforcement systems of records that have been exempted from accounting requirements. 
</p>
<p>(c) <i>Appeals.</i> You may appeal a denial of a request for an accounting to the Associate General Counsel (General Law) in the same manner as a denial of a request for access to records (see &#167; 5.25) and the same procedures will be followed. 

</p>
<p><b>&#167; 5.28
 Preservation of records. 
</b></p>
<p>Each component will preserve all correspondence pertaining to the requests that it receives under this subpart, as well as copies of all requested records, until disposition or destruction is authorized by title 44 of the United States Code or the National Archives and Records Administration’s General Records Schedule 14. Records will not be disposed of while they are the subject of a pending request, appeal, or lawsuit under the Act. 

</p>
<p><b>&#167; 5.29
 Fees. 
</b></p>
<p>(a) Components shall charge fees for duplication of records under the Privacy Act in the same way in which they charge duplication fees under &#167; 5.11. 
</p>
<p>(b) The Department shall not process a request under the Privacy Act from persons with an unpaid fee from any previous Privacy Act request to any Federal agency until that outstanding fee has been paid in full to the agency. 

</p>
<p><b>&#167; 5.30
 Notice of court-ordered and emergency disclosures. 
</b></p>
<p>(a) <i>Court-ordered disclosures.</i> When a record pertaining to an individual is required to be disclosed by a court order, the component shall make reasonable efforts to provide notice of this to the individual. Notice shall be given within a reasonable time after the component’s receipt of the order, except that in a case in which the order is not a matter of public record, the notice shall be given only after the order becomes public. This notice shall be mailed to the individual’s last known address and shall contain a copy of the order and a description of the information disclosed. Notice shall not be given if disclosure is made from a criminal law enforcement system of records that has been exempted from the notice requirement. 
</p>
<p>(b) <i>Emergency disclosures.</i> Upon disclosing a record pertaining to an individual made under compelling circumstances affecting health or safety, the component shall notify that individual of the disclosure. This notice shall be mailed to the individual’s last known address and shall state the nature of the information disclosed; the person, organization, or agency to which it was disclosed; the date of disclosure; and the compelling circumstances justifying the disclosure. 

</p>
<p><b>&#167; 5.31
 Security of systems of records. 
</b></p>
<p>(a) <i>In general.</i> Each component shall establish administrative and physical controls to prevent unauthorized access to its systems of records, to prevent unauthorized disclosure of records, and to prevent physical damage to or destruction of records. The stringency of these controls shall correspond to the sensitivity of the records that the controls protect. At a minimum, each component’s administrative and physical controls shall ensure that: 
</p>
<p>(1) Records are protected from public view; 
</p>
<p>(2) The area in which records are kept is supervised during business hours to prevent unauthorized persons from having access to them; 
</p>
<p>(3) Records are inaccessible to unauthorized persons outside of business hours; and 
</p>
<p>(4) Records are not disclosed to unauthorized persons or under unauthorized circumstances in either oral or written form. 
</p>
<p>(b) <i>Procedures required.</i> Each component shall have procedures that restrict access to records to only those individuals within the Department who must have access to those records in order to perform their duties and that prevent inadvertent disclosure of records. 

</p>
<p><b>&#167; 5.32
 Contracts for the operation of record systems. 
</b></p>
<p>Under 5 U.S.C. 552a(m), any approved contract for the operation of a record system will contain the standard contract requirements issued by the General Services Administration to ensure compliance with the requirements of the Privacy Act for that record system. The contracting component will be responsible for ensuring that the contractor complies with these contract requirements. 

</p>
<p><b>&#167; 5.33
 Use and collection of social security numbers. 
</b></p>
<p>Each component shall ensure that employees authorized to collect information are aware: 
</p>
<p>(a) That individuals may not be denied any right, benefit, or privilege as a result of refusing to provide their social security numbers, unless the collection is authorized either by a statute or by a regulation issued prior to 1975; and 
</p>
<p>(b) That individuals requested to provide their social security numbers must be informed of: 
</p>
<p>(1) Whether providing social security numbers is mandatory or voluntary; 
</p>
<p>(2) Any statutory or regulatory authority that authorizes the collection of social security numbers; and 
</p>
<p>(3) The uses that will be made of the numbers. 

</p>
<p><b>&#167; 5.34
 Standards of conduct for administration of the Privacy Act. 
</b></p>
<p>Each component will inform its employees of the provisions of the Privacy Act, including the Act’s civil liability and criminal penalty provisions. Unless otherwise permitted by law, the Department shall: 
</p>
<p>(a) Collect from individuals only the information that is relevant and necessary to discharge the responsibilities of the Department; 
</p>
<p>(b) Collect information about an individual directly from that individual whenever practicable and when the information may result in adverse determinations about an individual’s rights, benefits, and privileges under federal programs; 
</p>
<p>(c) Inform each individual from whom information is collected of: 
</p>
<p>(1) The legal authority to collect the information and whether providing it is mandatory or voluntary; 
</p>
<p>(2) The principal purpose for which the Department intends to use the information; 
</p>
<p>(3) The routine uses the Department may make of the information; and 
</p>
<p>(4) The effects on the individual, if any, of not providing the information; 
</p>
<p>(d) Ensure that the component maintains no system of records without public notice and that it notifies appropriate Department officials of the existence or development of any system of records that is not the subject of a current or planned public notice; 
</p>
<p>(e) Maintain all records that are used by the Department in making any determination about an individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to the individual in the determination; 
</p>
<p>(f) Except as to disclosures made to an agency or made under the FOIA, make reasonable efforts, prior to disseminating any record about an individual, to ensure that the record is accurate, relevant, timely, and complete; 
</p>
<p>(g) Maintain no record describing how an individual exercises his or her First Amendment rights, unless it is expressly authorized by statute or by the individual about whom the record is maintained, or is pertinent to and within the scope of an authorized law enforcement activity; 
</p>
<p>(h) When required by the Privacy Act, maintain an accounting in the specified form of all disclosures of records by the Department to persons, organizations, or agencies; 
</p>
<p>(i) Maintain and use records with care to prevent the unauthorized or inadvertent disclosure of a record to anyone. 

</p>
<p><b>&#167; 5.35
 Sanctions and penalties. 
</b></p>
<p>Under the provisions of the Privacy Act, 5 U.S.C. 552a, civil and criminal penalties may be assessed. 

</p>
<p><b>&#167; 5.36
 Other rights and services. 
</b></p>
<p>Nothing in this subpart shall be construed to entitle any person, as of right, to any service or to the disclosure of any record to which such person is not entitled under the Privacy Act.</p>

<p><b>Appendix A to Part 5--FOIA/Privacy Act Offices of the Department of Homeland Security 
</b></p>
<p>I. For the following Headquarters components of the Department of Homeland Security, FOIA and Privacy Act requests should be sent to the Departmental Disclosure Office, Department of Homeland Security, Washington, DC 20528. The Headquarters components are: 
</p>
<p><b>A 
</b></p>
<p>Office of the Secretary 
</p>
<p>Office of the Deputy Secretary 
</p>
<p>Office of the Under Secretary for Management 
</p>
<p><b>B 
</b></p>
<p>Office of the General Counsel 
</p>
<p>Office of the Inspector General 
</p>
<p>Office of International Affairs 
</p>
<p>Office of Legislative Affairs 
</p>
<p>Office of Public Affairs 
</p>
<p>Office of National Capital Region Coordination 
</p>
<p>Office of Professional Responsibility 
</p>
<p>Office for State and Local Government Coordination 
</p>
<p><b>C 
</b></p>
<p>Directorate of Border and Transportation Security 
</p>
<p>Directorate of Emergency Preparedness and Response 
</p>
<p>Directorate of Information Analysis and Infrastructure Protection 
</p>
<p>Directorate of Science and Technology 
</p>
<p>II. Requests made to components that have transferred or will transfer into the Department of Homeland Security, should be sent as follows: 
</p>
<p>A. Former components of the Department of Agriculture:
</p>
<p>1. Animal and Plant Health Inspection Service, USDA, APHIS, LPA, FOIA, 4700 River Road, Unit 50, Riverdale, MD 20737-1232 
</p>
<p>2. Plum Island Animal Disease Center; Submit request to the APHIS address above or, FOIA Coordinator, USDA-REE-ARS-Information Staff, 5601 Sunnyside Avenue, Bldg. 1, Room 2248, Mail Stop 5128, Beltsville, MD 20705-5128
</p>
<p>B. Former components of the Department of Commerce:
</p>
<p>1. Critical Infrastructure Assurance Office (A former office of the Bureau of Industry and Security); Freedom of Information Coordinator, Bureau of Industry and Security, Room 6883, U.S. Department of Commerce, Washington, DC 20230 
</p>
<p>2. FIRESTAT (formerly the Integrated Hazard Information System of the National Oceanic and Atmospheric Administration), National Oceanic and Atmospheric Administration, Public Reference Facility (OFAx2), 1315 East-West Highway (SSMC3), Room 10703, Silver Spring, MD 20910 
</p>
<p>C. Former components of the Department of Defense:
</p>
<p>1. National Communications Service (A former component of the Defense Information Systems Agency), Defense Information Systems Agency, ATTN: RGC/FOIA Officer, 701 S. Courthouse Rd., Arlington, VA 22204-2199
</p>
<p>D. Former components and programs of the Department of Energy:
</p>
<p>The address for each component and program listed below is: U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585 
</p>
<p>1. Energy Assurance Office 
</p>
<p>2. Environmental Measurements Laboratory 
</p>
<p>3. Nuclear Incident Response Team 
</p>
<p>4. The chemical and biological national security and supporting programs and activities of the non-proliferation and verification research and development program. 
</p>
<p>5. The life sciences activities related to microbial pathogens of Biological and Environmental Research Program. 
</p>
<p>6. The nuclear smuggling programs and activities within the proliferation detection program of the non-proliferation and verification research and development program. 
</p>
<p>7. The nuclear assessment program and activities of the assessment, detection, and cooperation program of the international materials protection and cooperation program, and the advanced scientific computing research program and activities at Lawrence Livermore National Laboratory. 
</p>
<p>8. National Infrastructure Simulation and Analysis Center 
</p>
<p>E. Former components of the Department of Health and Human Services:
</p>
<p>1. The address for each component and program listed below is: Department of Health and Human Services, Freedom of Information Officer, Room 645-F, Hubert H. Humphrey Building, Independence Avenue, SW., Washington, DC 20201; 
</p>
<p>a. Metropolitan Medical Response System, 
</p>
<p>b. National Disaster Medical System, and 
</p>
<p>c. Office of Emergency Preparedness 
</p>
<p>d. Strategic National Stockpile 
</p>
<p>2. Centers for Disease Control and Agency for Toxic Substances and Disease Registry, Attn: FOI Office, MS-D54, 1600 Clifton Road, NE., Atlanta, GA 30333. 
</p>
<p>F. Former components of the Department of Justice:
</p>
<p>1. Immigration and Naturalization Service, Director, Freedom of Information/Privacy Act Program, Department of Justice, 425 Eye Street, NW., 2nd Floor, ULLICO Building, Washington, DC 20536 (for field offices, consult your phone book). 
</p>
<p>2. The address for each component and program listed below is: Federal Bureau of Investigation, Chief, FOIPA Section, 935 Pennsylvania Avenue, NW., Department of Justice, Washington, DC 20535-0001; 
</p>
<p>a. National Infrastructure Protection Center, 
</p>
<p>b. National Domestic Preparedness Office, and 
</p>
<p>c. Domestic Emergency Support Team. 
</p>
<p>3. Office of Domestic Preparedness, U.S. Department of Justice, Office of Justice Programs, Office of the General Counsel, Attention: FOIA Staff, 810 7th Street, NW., Room 5400, Washington, DC 20531. 
</p>
<p>G. Former components of the Department of State:
</p>
<p>Visa Office, Information and Privacy Coordinator, Office of Information Resources, Management Programs and Services, A/RPS/IPS, SA-2, Department of State, Washington, DC 20522-6001, Re: Freedom of Information Act Request. 
</p>
<p>H. Former components of the Department of Transportation: 
</p>
<p>1. Federal Aviation Administration, National Freedom of Information Act Staff, ARC-40, 800 Independence Avenue, SW., Washington, DC 20591 (for regional centers, consult your phone book). 
</p>
<p>2. Transportation Security Administration, TSA-1, FOIA Division, 400 Seventh Street, SW., Washington, DC 20590 
</p>
<p>3. United States Coast Guard, HQ USCG Commandant, G-CIM, 2100 Second Street, SW., Washington, DC 20593-0001 (for district offices, consult your phone book). 
</p>
<p>I. Former components of the Department of Treasury:
</p>
<p>1. Federal Law Enforcement Training Center, Freedom of Information Act Officer, Townhouse 389, Glynco, GA 31524 
</p>
<p>2. U.S. Customs Service, Freedom of Information Act Request, Mint Annex, 1300 Pennsylvania Avenue, NW., Washington, DC 20229 (for field offices, consult your phone book). 
</p>
<p>3. U.S. Secret Service, Freedom of Information Act Request, 950 H Street, NW., Suite 3000, Washington, DC 20223, e-mail <i>FOIA@USSS.Treas.gov.</i> Appeals should be addressed to the Deputy Director, United States Secret Service, Freedom of Information and Privacy Act Appeal Officer, at these same contact points. 
</p>
<p>J. Federal Emergency Management Agency: Federal Emergency Management Agency, Office of General Counsel, 500 C Street, SW., Room 840, Washington, DC 20472 (for regional offices, consult your phone book). 
</p>
<p>K. Former components of the General Services Administration:
</p>
<p>1. For the Federal Computer Incident Response Center and the Federal Protective Service: Chief, FOIA Information Management Branch, GSA (CAIM), 1800 F Street, NW., Washington, DC 20405 (for regional offices, consult your phone book).
</p>
<p><b>Appendix C to Part 5--DHS Systems of Records Exempt From the Privacy Act
</b></p>
<p>This appendix implements provisions of the Privacy Act of 1974 that permit the Department of Homeland Security (DHS) to exempt its systems of records from provisions of the Act. During the course of normal agency operations, exempt materials from other systems of records may become part of the records in these and other DHS systems. To the extent that copies of records from other exempt systems of records are entered into any DHS system, DHS hereby claims the same exemptions for those records that are claimed for the original primary systems of records from which they originated and claims any additional exemptions in accordance with this rule.
</p>
<p>Portions of the following DHS systems of records are exempt from certain provisions of the Privacy Act pursuant to 5 U.S.C. 552(j) and (k):
</p>
<p>1. The DHS/ALL--001 Freedom of Information Act and Privacy Act Records System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--001 Freedom of Information Act and Privacy Act Records System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--001 Freedom of Information Act and Privacy Act Records System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3) and (4): (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (e)(12); (f); (g)(1); and (h) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3): (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. &#167; 552a(k)(1), (k)(2), (k)(3), (k)(5), and (k)(6). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of the investigation, thereby interfering with that investigation and related law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information could impede law enforcement by compromising the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because with the collection of information for law enforcement purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with subsection (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (e)(12) (Computer Matching) if the agency is a recipient agency or a source agency in a matching program with a non-Federal agency, with respect to any establishment or revision of a matching program, at least 30 days prior to conducting such program, publish in the <i>Federal Register</i> notice of such establishment or revision.
</p>
<p>(j) From subsection (g)(1) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>(k) From subsection (h) (Legal Guardians) the parent of any minor, or the legal guardian of any individual who has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, may act on behalf of the individual.
</p>
<p>2. The DHS/ALL-029 Civil Rights and Civil Liberties Records System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL-029 Civil Rights and Civil Liberties Records System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to Section 3056 and 3056A of Title 18. The DHS/ALL-029 Civil Rights and Civil Liberties Records System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, state, local, Tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. &#167; 552a(k)(1), (k)(2), (k)(3), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the individual who is the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would, therefore, present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the individual who is the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>3. DHS-ALL-005, Redress and Response Records System. A portion of the following system of records is exempt from 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and (8); (f), and (g); however, these exemptions apply only to the extent that information in this system records is recompiled or is created from information contained in other systems of records subject to such exemptions pursuant to 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5). Further, no exemption shall be asserted with respect to information submitted by and collected from the individual or the individual’s representative in the course of any redress process associated with this system of records. After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement or national security purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system records is recompiled or is created from information contained in other systems of records subject to exemptions for the following reasons:
</p>
<p>(a) From subsection (c)(3) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a known or suspected terrorist by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (c)(4) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(c) From subsections (d)(1), (2), (3), and (4) because these provisions concern individual access to and amendment of certain records contained in this system, including law enforcement counterterrorism, investigatory, and intelligence records. Compliance with these provisions could alert the subject of an investigation of the fact and nature of the investigation, and/or the investigative interest of intelligence or law enforcement agencies; compromise sensitive information related to national security; interfere with the overall law enforcement process by leading to the destruction of evidence, improper influencing of witnesses, fabrication of testimony, and/or flight of the subject; could identify a confidential source or disclose information which would constitute an unwarranted invasion of another’s personal privacy; reveal a sensitive investigative or intelligence technique; or constitute a potential danger to the health or safety of law enforcement personnel, confidential informants, and witnesses. Amendment of these records would interfere with ongoing counterterrorism, law enforcement, or intelligence investigations and analysis activities and impose an impossible administrative burden by requiring investigations, analyses, and reports to be continuously reinvestigated and revised.
</p>
<p>(d) From subsection (e)(1) because it is not always possible for DHS or other agencies to know in advance what information is relevant and necessary for it to complete an identity comparison between the individual seeking redress and a known or suspected terrorist. Also, because DHS and other agencies may not always know what information about an encounter with a known or suspected terrorist will be relevant to law enforcement for the purpose of conducting an operational response.
</p>
<p>(e) From subsection (e)(2) because application of this provision could present a serious impediment to counterterrorism, law enforcement, or intelligence efforts in that it would put the subject of an investigation, study, or analysis on notice of that fact, thereby permitting the subject to engage in conduct designed to frustrate or impede that activity. The nature of counterterrorism, law enforcement, or intelligence investigations is such that vital information about an individual frequently can be obtained only from other persons who are familiar with such individual and his/her activities. In such investigations it is not feasible to rely upon information furnished by the individual concerning his own activities.
</p>
<p>(f) From subsection (e)(3), to the extent that this subsection is interpreted to require DHS to provide notice to an individual if DHS or another agency receives or collects information about that individual during an investigation or from a third party. Should the subsection be so interpreted, exemption from this provision is necessary to avoid impeding counterterrorism, law enforcement, or intelligence efforts by putting the subject of an investigation, study, or analysis on notice of that fact, thereby permitting the subject to engage in conduct intended to frustrate or impede that activity.
</p>
<p>(g) From subsections (e)(4)(G), (H) and (I) (Agency Requirements) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(h) From subsection (e)(5) because many of the records in this system coming from other system of records are derived from other domestic and foreign agency record systems and therefore it is not possible for DHS to vouch for their compliance with this provision; however, the DHS has implemented internal quality assurance procedures to ensure that data used in the redress process is as thorough, accurate, and current as possible. In addition, in the collection of information for law enforcement, counterterrorism, and intelligence purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. The restrictions imposed by (e)(5) would limit the ability of those agencies’ trained investigators and intelligence analysts to exercise their judgment in conducting investigations and impede the development of intelligence necessary for effective law enforcement and counterterrorism efforts. The DHS has, however, implemented internal quality assurance procedures to ensure that the data used in the redress process is as thorough, accurate, and current as possible.
</p>
<p>(i) From subsection (e)(8) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism, law enforcement, or intelligence investigations to the fact of those investigations when not previously known.
</p>
<p>(j) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(k) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>4. The Department of Homeland Security Automated Biometric Identification System (IDENT) consists of electronic and paper records and will be used by DHS and its components. IDENT is the primary repository of biometric information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws (including the immigration law); investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. IDENT is a centralized and dynamic DHS-wide biometric database that also contains limited biographic and encounter history information needed to place the biometric information in proper context. The information is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies.
</p>
<p>Pursuant to exemptions 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f)(2) through (5); and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), and (e)(4)(H). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation; and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f)(2 through 5) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) and thereby would not require DHS to establish requirements or rules for records which are exempted from access.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>5. The DHS/OIG-002 Investigative Records System of Records consists of electronic and paper records used by the DHS OIG. The DHS/OIG-002 Investigative Records System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/OIG-002 Investigative Records System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (c)(4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation; and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, tamper with witnesses or evidence, and avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, tamper with witnesses or evidence, and avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject as to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby providing an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; revealing the identity of witnesses in investigations thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or revealing the identity of confidential informants, which would negatively affect the informants’ usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (e)(4)(H) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish rules or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in this system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore, DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s refusals to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely, and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>6. The Immigration and Customs Enforcement (ICE) Pattern Analysis and Information Collection (ICEPIC) System consists of electronic and paper records and will be used by DHS and its components. ICEPIC is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws (including the immigration law); investigations, inquiries, and proceedings there under; and national security and intelligence activities. ICEPIC contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies.
</p>
<p>Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; Refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>7. The Office of Intelligence and Analysis (I&amp;A) Enterprise Records System (ERS) consists of records including intelligence information and other properly acquired information received from agencies and components of the federal government, foreign governments, organizations or entities, international organizations, state and local government agencies (including law enforcement agencies), and private sector entities, as well as information provided by individuals, regardless of the medium used to submit the information or the agency to which it was submitted. This system also contains: Information regarding persons on watch lists with known or suspected links to terrorism; the results of intelligence analysis and reporting; ongoing law enforcement investigative information, information systems security analysis and reporting; active immigration, customs, border and transportation, security related records; historical law enforcement, operational, immigration, customs, border and transportation security, and other administrative records; relevant and appropriately acquired financial information; and public-source data such as that contained in media reports and commercially available databases, as appropriate. Data about the providers of information, including the means of transmission of the data, is also retained.
</p>
<p>(a) Pursuant to 5 U.S.C. 552a(k)(1), (2), (3), and (5), this system of records is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), (4), and (5), (e)(1), (e)(4)(G), (H), and (I), and (f). These exemptions apply only to the extent that information in this system is subject to exemption. Where compliance would not appear to interfere with or adversely affect the intelligence, counterterrorism, homeland security, and related law enforcement purposes of this system, the applicable exemption may be waived by DHS.
</p>
<p>(b) Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures) because making available to a record subject the accounting of disclosures from records concerning him/her would specifically reveal any interest in the individual of an intelligence, counterterrorism, homeland security, or related investigative nature. Revealing this information could reasonably be expected to compromise ongoing efforts of the Department to identify, understand, analyze, investigate, and counter the activities of:
</p>
<p>(i) Known or suspected terrorists and terrorist groups;
</p>
<p>(ii) Groups or individuals known or believed to be assisting or associated with known or suspected terrorists or terrorist groups;
</p>
<p>(iii) Individuals known, believed to be, or suspected of being engaged in activities constituting a threat to homeland security, including (1) activities which impact or concern the security, safety, and integrity of our international borders, including any illegal activities that either cross our borders or are otherwise in violation of the immigration or customs laws and regulations of the United States; (2) activities which could reasonably be expected to assist in the development or use of a weapon of mass effect; (3) activities meant to identify, create, or exploit the vulnerabilities of, or undermine, the "key resources" (as defined in section 2(9) of the Homeland Security Act of 2002) and "critical infrastructure" (as defined in 42 U.S.C. 5195c(c)) of the United States, including the cyber and national telecommunications infrastructure and the availability of a viable national security and emergency preparedness communications infrastructure; (4) activities detrimental to the security of transportation and transportation systems; (5) activities which violate or are suspected of violating the laws relating to counterfeiting of obligations and securities of the United States and other financial crimes, including access device fraud, financial institution fraud, identity theft, computer fraud; and computer-based attacks on our nation’s financial, banking, and telecommunications infrastructure; (6) activities, not wholly conducted within the United States, which violate or are suspected of violating the laws which prohibit the production, transfer, or sale of narcotics or substances controlled in accordance with Title 21 of the United States Code, or those associated activities otherwise prohibited by Titles 21 and 46 of the United States Code; (7) activities which impact, concern, or otherwise threaten the safety and security of the President and Vice President, their families, heads of state, and other designated individuals; the White House, Vice President’s residence, foreign missions, and other designated buildings within the United States; (8) activities which impact, concern, or otherwise threaten domestic maritime safety and security, maritime mobility and navigation, or the integrity of the domestic maritime environment; (9) activities which impact, concern, or otherwise threaten the national operational capability of the Department to respond to natural and manmade major disasters and emergencies, including acts of terrorism; (10) activities involving the importation, possession, storage, development, or transportation of nuclear or radiological material without authorization or for use against the United States;
</p>
<p>(iv) Foreign governments, organizations, or persons (foreign powers); and
</p>
<p>(v) Individuals engaging in intelligence activities on behalf of a foreign power or terrorist group.
</p>
<p>Thus, by notifying the record subject that he/she is the focus of such efforts or interest on the part of DHS, or other agencies with whom DHS is cooperating and to whom the disclosures were made, this information could permit the record subject to take measures to impede or evade such efforts, including the taking of steps to deceive DHS personnel and deny them the ability to adequately assess relevant information and activities, and could inappropriately disclose to the record subject the sensitive methods and/or confidential sources used to acquire the relevant information against him/her. Moreover, where the record subject is the actual target of a law enforcement investigation, this information could permit him/her to take measures to impede the investigation, for example, by destroying evidence, intimidating potential witnesses, or avoiding detection or apprehension.
</p>
<p>(2) From subsections (d)(1), (2), (3), and (4) (Access to Records) because these provisions concern individual rights of access to and amendment of records (including the review of agency denials of either) contained in this system, which consists of intelligence, counterterrorism, homeland security, and related investigatory records concerning efforts of the Department, as described more fully in subsection (b)(1), above. Compliance with these provisions could inform or alert the subject of an intelligence, counterterrorism, homeland security, or investigatory effort undertaken on behalf of the Department, or by another agency with whom DHS is cooperating, of the fact and nature of such efforts, and/or the relevant intelligence, counterterrorism, homeland security, or investigatory interest of DHS and/or other intelligence, counterterrorism, or law enforcement agencies. Moreover, compliance could also compromise sensitive information either classified in the interest of national security, or which otherwise requires, as appropriate, safeguarding and protection from unauthorized disclosure; identify a confidential source or disclose information which would constitute an unwarranted invasion of another individual’s personal privacy; reveal a sensitive intelligence or investigative technique or method, including interfering with intelligence or law enforcement investigative processes by permitting the destruction of evidence, improper influencing or intimidation of witnesses, fabrication of statements or testimony, and flight from detection or apprehension; or constitute a potential danger to the health or safety of intelligence, counterterrorism, homeland security, and law enforcement personnel, confidential sources and informants, and potential witnesses. Amendment of the records would interfere with ongoing intelligence, counterterrorism, homeland security, and law enforcement investigations and activities, including incident reporting and analysis activities, and impose an impossible administrative burden by requiring investigations, reports, and analyses to be continuously reinvestigated and revised.
</p>
<p>(3) From subsection (e)(1) (Relevant and Necessary) because it is not always possible for DHS to know in advance of its receipt the relevance and necessity of each piece of information it acquires in the course of an intelligence, counterterrorism, or investigatory effort undertaken on behalf of the Department, or by another agency with whom DHS is cooperating. In the context of the authorized intelligence, counterterrorism, and investigatory activities undertaken by DHS personnel, relevance and necessity are questions of analytic judgment and timing, such that what may appear relevant and necessary when acquired ultimately may be deemed unnecessary upon further analysis and evaluation. Similarly, in some situations, it is only after acquired information is collated, analyzed, and evaluated in light of other available evidence and information that its relevance and necessity can be established or made clear. Constraining the initial acquisition of information included within the ERS in accordance with the relevant and necessary requirement of subsection (e)(1) could discourage the appropriate receipt of and access to information which DHS and I&amp;A are otherwise authorized to receive and possess under law, and thereby impede efforts to detect, deter, prevent, disrupt, or apprehend terrorists or terrorist groups, and/or respond to terrorist or other activities which threaten homeland security. Notwithstanding this claimed exemption, which would permit the acquisition and temporary maintenance of records whose relevance to the purpose of the ERS may be less than fully clear, DHS will only disclose such records after determining whether such disclosures are themselves consistent with the published ERS routine uses. Moreover, it should be noted that, as concerns the receipt by I&amp;A, for intelligence purposes, of information in any record which identifies a U.S. Person, as defined in Executive Order 12333, as amended, such receipt, and any subsequent use or dissemination of that identifying information, is undertaken consistent with the procedures established and adhered to by I&amp;A pursuant to that Executive Order. Specifically, I&amp;A intelligence personnel may acquire information which identifies a particular U.S. Person, retain it within or disseminate it from ERS, as appropriate, only when it is determined that the personally identifying information is necessary for the conduct of I&amp;A’s functions, and otherwise falls into one of a limited number of authorized categories, each of which reflects discrete activities for which information on individuals would be utilized by the Department in the overall execution of its statutory mission.
</p>
<p>(4) From subsections (e)(4) (G), (H) and (I) (Access), and (f) (Agency Rules), inasmuch as it is unnecessary for the publication of rules and procedures contemplated therein since the ERS, pursuant to subsections (1) and (2), above, will be exempt from the underlying duties to provide to individuals notification about, access to, and the ability to amend or correct the information pertaining to them in, this system of records. Furthermore, to the extent that subsection (e)(4)(I) is construed to require more detailed disclosure than the information accompanying the system notice for ERS, as published in today’s <i>Federal Register,</i> exemption from it is also necessary to protect the confidentiality, privacy, and physical safety of sources of information, as well as the methods for acquiring it. Finally, greater specificity concerning the description of categories of sources of properly classified records could also compromise or otherwise cause damage to the national or homeland security.
</p>
<p>8. The information in MAGNET establishes Maritime Domain Awareness. Maritime Domain Awareness is the collection of as much information as possible about the maritime world. In other words, MAGNET establishes a full awareness of the entities (people, places, things) and their activities within the maritime industry. MAGNET collects the information and connects the information in order to fulfill this need.
</p>
<p>Coast Guard Intelligence (through MAGNET) will provide awareness to the field as well as to strategic planners by aggregating data from existing sources internal and external to the Coast Guard or DHS. MAGNET will correlate and provide the medium to display information such as ship registry, current ship position, crew background, passenger lists, port history, cargo, known criminal vessels, and suspect lists. Coast Guard Intelligence (CG-2) will serve as MAGNET’s executive agent and will share appropriate aggregated data to other law enforcement and intelligence agencies.
</p>
<p>(a) Pursuant to 5 U.S.C. 522a(j)(2), (k)(1), and (k)(2) this system of records is exempt from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4) (G), (H), and (I), e(5), e(8), e(12), (f), and (g). These exemptions apply only to the extent that information in this system is subject to exemption. Where compliance would not appear to interfere with or adversely affect the intelligence, counterterrorism, homeland security, and related law enforcement purposes of this system, the applicable exemption may be waived by DHS.
</p>
<p>(b) Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting of Certain Disclosures) because making available to a record subject the accounting of disclosures from records concerning him/her would specifically reveal any interest in the individual of an intelligence, counterterrorism, homeland security, law enforcement or related investigative nature. Revealing this information could reasonably be expected to compromise ongoing efforts of the Department to identify, understand, analyze, investigate, and counter the activities of:
</p>
<p>(i) Known or suspected terrorists and terrorist groups;
</p>
<p>(ii) Groups or individuals known or believed to be assisting or associated with known or suspected terrorists or terrorist groups;
</p>
<p>(iii) Individuals known, believed to be, or suspected of being engaged in activities constituting a threat to homeland security, including (1) activities which impact or concern the security, safety, and integrity of our international borders, including any illegal activities that either cross our borders or are otherwise in violation of the immigration or customs laws and regulations of the United States; (2) activities which could reasonably be expected to assist in the development or use of a weapon of mass effect; (3) activities meant to identify, create, or exploit the vulnerabilities of, or undermine, the "key resources" (as defined in section 2(9) of the Homeland Security Act of 2002) and "critical infrastructure" (as defined in 42 U.S.C. 5195c(c)) of the United States, including the cyber and national telecommunications infrastructure and the availability of a viable national security and emergency preparedness communications infrastructure; (4) activities detrimental to the security of transportation and transportation systems; (5) activities which violate or are suspected of violating the laws relating to counterfeiting of obligations and securities of the United States and other financial crimes, including access device fraud, financial institution fraud, identity theft, computer fraud; and computer-based attacks on our nation’s financial, banking, and telecommunications infrastructure; (6) activities, not wholly conducted within the United States, which violate or are suspected of violating the laws which prohibit the production, transfer, or sale of narcotics or substances controlled in accordance with Title 21 of the United States Code, or those associated activities otherwise prohibited by Titles 21 and 46 of the United States Code; (7) activities which impact, concern, or otherwise threaten the safety and security of the President and Vice President, their families, heads of state, and other designated individuals; the White House, Vice President’s residence, foreign missions, and other designated buildings within the United States; (8) activities which impact, concern, or otherwise threaten domestic maritime safety and security, maritime mobility and navigation, or the integrity of the domestic maritime environment; (9) activities which impact, concern, or otherwise threaten the national operational capability of the Department to respond to natural and manmade major disasters and emergencies, including acts of terrorism; (10) activities involving the importation, possession, storage, development, or transportation of nuclear or radiological material without authorization or for use against the United States;
</p>
<p>(iv) Foreign governments, organizations, or persons (foreign powers); and
</p>
<p>(v) Individuals engaging in intelligence activities on behalf of a foreign power or terrorist group.
</p>
<p>Thus, by notifying the record subject that he/she is the focus of such efforts or interest on the part of DHS, or other agencies with whom DHS is cooperating and to whom the disclosures were made, this information could permit the record subject to take measures to impede or evade such efforts, including the taking of steps to deceive DHS personnel and deny them the ability to adequately assess relevant information and activities, and could inappropriately disclose to the record subject the sensitive methods and/or confidential sources used to acquire the relevant information against him/her. Moreover, where the record subject is the actual target of a law enforcement investigation, this information could permit him/her to take measures to impede the investigation, for example, by destroying evidence, intimidating potential witnesses, or avoiding detection or apprehension.
</p>
<p>(2) From subsection (c)(4) (Accounting for Disclosure, notice of dispute) because certain records in this system are exempt from the access and amendment provisions of subsection (d), this requirement to inform any person or other agency about any correction or notation of dispute that the agency made with regard to those records, should not apply.
</p>
<p>(3) From subsections (d)(1), (2), (3), and (4) (Access to Records) because these provisions concern individual rights of access to and amendment of records (including the review of agency denials of either) contained in this system, which consists of intelligence, counterterrorism, homeland security, and related investigatory records concerning efforts of the Department, as described more fully in subsection (b)(1), above. Compliance with these provisions could inform or alert the subject of an intelligence, counterterrorism, homeland security, or investigatory effort undertaken on behalf of the Department, or by another agency with whom DHS is cooperating, of the fact and nature of such efforts, and/or the relevant intelligence, counterterrorism, homeland security, or investigatory interest of DHS and/or other intelligence, counterterrorism, or law enforcement agencies. Moreover, compliance could also compromise sensitive information either classified in the interest of national security, or which otherwise requires, as appropriate, safeguarding and protection from unauthorized disclosure; identify a confidential source or disclose information which would constitute an unwarranted invasion of another individual’s personal privacy; reveal a sensitive intelligence or investigative technique or method, including interfering with intelligence or law enforcement investigative processes by permitting the destruction of evidence, improper influencing or intimidation of witnesses, fabrication of statements or testimony, and flight from detection or apprehension; or constitute a potential danger to the health or safety of intelligence, counterterrorism, homeland security, and law enforcement personnel, confidential sources and informants, and potential witnesses. Amendment of the records would interfere with ongoing intelligence, counterterrorism, homeland security, and law enforcement investigations and activities, including incident reporting and analysis activities, and impose an impossible administrative burden by requiring investigations, reports, and analyses to be continuously reinvestigated and revised.
</p>
<p>(4) From subsection (e)(1) (Relevant and Necessary) because it is not always possible for DHS to know in advance of its receipt the relevance and necessity of each piece of information it acquires in the course of an intelligence, counterterrorism, or investigatory effort undertaken on behalf of the Department, or by another agency with whom DHS is cooperating. In the context of the authorized intelligence, counterterrorism, and investigatory activities undertaken by DHS personnel, relevance and necessity are questions of analytic judgment and timing, such that what may appear relevant and necessary when acquired ultimately may be deemed unnecessary upon further analysis and evaluation. Similarly, in some situations, it is only after acquired information is collated, analyzed, and evaluated in light of other available evidence and information that its relevance and necessity can be established or made clear. Constraining the initial acquisition of information included within the MAGNET in accordance with the relevant and necessary requirement of subsection (e)(1) could discourage the appropriate receipt of and access to information which DHS and MAGNET are otherwise authorized to receive and possess under law, and thereby impede efforts to detect, deter, prevent, disrupt, or apprehend terrorists or terrorist groups, and/or respond to terrorist or other activities which threaten homeland security. Notwithstanding this claimed exemption, which would permit the acquisition and temporary maintenance of records whose relevance to the purpose of the MAGNET may be less than fully clear, DHS will only disclose such records after determining whether such disclosures are themselves consistent with the published MAGNET routine uses. Moreover, it should be noted that, as concerns the receipt by USCG, for intelligence purposes, of information in any record which identifies a U.S. Person, as defined in Executive Order 12333, as amended, such receipt, and any subsequent use or dissemination of that identifying information, is undertaken consistent with the procedures established and adhered to by USCG pursuant to that Executive Order. Specifically, USCG intelligence personnel may acquire information which identifies a particular U.S. Person, retain it within or disseminate it from MAGNET, as appropriate, only when it is determined that the personally identifying information is necessary for the conduct of USCG’s functions, and otherwise falls into one of a limited number of authorized categories, each of which reflects discrete activities for which information on individuals would be utilized by the Department in the overall execution of its statutory mission.
</p>
<p>(5) From subsection (e)(2) (Collection of Information from Individuals) because application of this provision could present a serious impediment to counterterrorism or law enforcement efforts in that it would put the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct designed to frustrate or impede that activity. The nature of counterterrorism and law enforcement investigations is such that vital information about an individual frequently can be obtained only from other persons who are familiar with such individual and his/her activities. In such investigations it is not feasible to rely solely upon information furnished by the individual concerning his own activities.
</p>
<p>(6) From subsection (e)(3) (Notice to Subjects), to the extent that this subsection is interpreted to require DHS to provide notice to an individual if DHS or another agency receives or collects information about that individual during an investigation or from a third party. Should the subsection be so interpreted, exemption from this provision is necessary to avoid impeding counterterrorism or law enforcement efforts by putting the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct intended to frustrate or impede that activity.
</p>
<p>(7) From subsections (e)(4) (G), (H) and (I) (Access), and (f) (Agency Rules), inasmuch as it is unnecessary for the publication of rules and procedures contemplated therein since the MAGNET, pursuant to subsections (3), above, will be exempt from the underlying duties to provide to individuals notification about, access to, and the ability to amend or correct the information pertaining to them in, this system of records. Furthermore, to the extent that subsection (e)(4)(I) is construed to require more detailed disclosure than the information accompanying the system notice for MAGNET, as published in today’s <i>Federal Register,</i> exemption from it is also necessary to protect the confidentiality, privacy, and physical safety of sources of information, as well as the methods for acquiring it. Finally, greater specificity concerning the description of categories of sources of properly classified records could also compromise or otherwise cause damage to the national or homeland security.
</p>
<p>(8) From subsection (e)(5) (Collection of Information) because many of the records in this system coming from other system of records are derived from other domestic and foreign agency record systems and therefore it is not possible for DHS to vouch for their compliance with this provision; however, the DHS has implemented internal quality assurance procedures to ensure that data used in its screening processes is as complete, accurate, and current as possible. In addition, in the collection of information for law enforcement and counterterrorism purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. The restrictions imposed by (e)(5) would limit the ability of those agencies’ trained investigators and intelligence analysts to exercise their judgment in conducting investigations and impede the development of intelligence necessary for effective law enforcement and counterterrorism efforts.
</p>
<p>(9) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations then not previously known.
</p>
<p>(10) From subsection (e)(12) (Matching Agreements) because requiring DHS to provide notice of alterations to existing matching agreements would impair DHS operations by indicating which data elements and information are valuable to DHS’s analytical functions, thereby providing harmful disclosure of information to individuals who would seek to circumvent or interfere with DHS’s missions.
</p>
<p>(11) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>9. The Law Enforcement Information Data Base (LEIDB)/Pathfinder is a historical repository of selected Coast Guard message traffic. LEIDB/Pathfinder supports law enforcement intelligence activities. LEIDB/Pathfinder users can query archived message traffic and link relevant information across multiple data records within LEIDB/Pathfinder. Users have system tools enabling the user to identify potential relationships between information contained in otherwise unrelated documents. These tools allow the analysts to build high precision and low return queries, which minimize false hits and maximize analyst productivity while working with unstructured, unformatted, free test documents.
</p>
<p>(a) Pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2) certain records or information in the above mentioned system of records are exempt from 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f), and (g). These exemptions apply only to the extent that information in this system is subject to exemption. Where compliance would not appear to interfere with or adversely affect the intelligence, counterterrorism, homeland security, and related law enforcement purposes of this system, the applicable exemption may be waived by DHS.
</p>
<p>(b) Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures) because making available to a record subject the accounting of disclosures from records concerning him/her would specifically reveal any interest in the individual of an intelligence, counterterrorism, homeland security, or related investigative nature. Revealing this information could reasonably be expected to compromise ongoing efforts of the Department to identify, understand, analyze, investigate, and counter the activities of:
</p>
<p>(i) Known or suspected terrorists and terrorist groups;
</p>
<p>(ii) Groups or individuals known or believed to be assisting or associated with known or suspected terrorists or terrorist groups;
</p>
<p>(iii) Individuals known, believed to be, or suspected of being engaged in activities constituting a threat to homeland security, including (1) activities which impact or concern the security, safety, and integrity of our international borders, including any illegal activities that either cross our borders or are otherwise in violation of the immigration or customs laws and regulations of the United States; (2) activities which could reasonably be expected to assist in the development or use of a weapon of mass effect; (3) activities meant to identify, create, or exploit the vulnerabilities of, or undermine, the "key resources" (as defined in section 2(9) of the Homeland Security Act of 2002) and "critical infrastructure" (as defined in 42 U.S.C. 5195c(c)) of the United States, including the cyber and national telecommunications infrastructure and the availability of a viable national security and emergency preparedness communications infrastructure; (4) activities detrimental to the security of transportation and transportation systems; (5) activities which violate or are suspected of violating the laws relating to counterfeiting of obligations and securities of the United States and other financial crimes, including access device fraud, financial institution fraud, identity theft, computer fraud; and computer-based attacks on our nation’s financial, banking, and telecommunications infrastructure; (6) activities, not wholly conducted within the United States, which violate or are suspected of violating the laws which prohibit the production, transfer, or sale of narcotics or substances controlled in accordance with Title 21 of the United States Code, or those associated activities otherwise prohibited by Titles 21 and 46 of the United States Code; (7) activities which impact, concern, or otherwise threaten the safety and security of the President and Vice President, their families, heads of state, and other designated individuals; the White House, Vice President’s residence, foreign missions, and other designated buildings within the United States; (8) activities which impact, concern, or otherwise threaten domestic maritime safety and security, maritime mobility and navigation, or the integrity of the domestic maritime environment; (9) activities which impact, concern, or otherwise threaten the national operational capability of the Department to respond to natural and manmade major disasters and emergencies, including acts of terrorism; (10) activities involving the importation, possession, storage, development, or transportation of nuclear or radiological material without authorization or for use against the United States;
</p>
<p>(iv) Foreign governments, organizations, or persons (foreign powers); and
</p>
<p>(v) Individuals engaging in intelligence activities on behalf of a foreign power or terrorist group.
</p>
<p>Thus, by notifying the record subject that he/she is the focus of such efforts or interest on the part of DHS, or other agencies with whom DHS is cooperating and to whom the disclosures were made, this information could permit the record subject to take measures to impede or evade such efforts, including the taking of steps to deceive DHS personnel and deny them the ability to adequately assess relevant information and activities, and could inappropriately disclose to the record subject the sensitive methods and/or confidential sources used to acquire the relevant information against him/her. Moreover, where the record subject is the actual target of a law enforcement investigation, this information could permit him/her to take measures to impede the investigation, for example, by destroying evidence, intimidating potential witnesses, or avoiding detection or apprehension.
</p>
<p>(2) From subsection (c)(4) (Accounting for Disclosure, notice of dispute) because certain records in this system are exempt from the access and amendment provisions of subsection (d), this requirement to inform any person or other agency about any correction or notation of dispute that the agency made with regard to those records, should not apply.
</p>
<p>(3) From subsections (d)(1), (2), (3), and (4) (Access to Records) because these provisions concern individual rights of access to and amendment of records (including the review of agency denials of either) contained in this system, which consists of intelligence, counterterrorism, homeland security, and related investigatory records concerning efforts of the Department, as described more fully in subsection (b)(1), above. Compliance with these provisions could inform or alert the subject of an intelligence, counterterrorism, homeland security, or investigatory effort undertaken on behalf of the Department, or by another agency with whom DHS is cooperating, of the fact and nature of such efforts, and/or the relevant intelligence, counterterrorism, homeland security, or investigatory interest of DHS and/or other intelligence, counterterrorism, or law enforcement agencies. Moreover, compliance could also compromise sensitive information either classified in the interest of national security, or which otherwise requires, as appropriate, safeguarding and protection from unauthorized disclosure; identify a confidential source or disclose information which would constitute an unwarranted invasion of another individual’s personal privacy; reveal a sensitive intelligence or investigative technique or method, including interfering with intelligence or law enforcement investigative processes by permitting the destruction of evidence, improper influencing or intimidation of witnesses, fabrication of statements or testimony, and flight from detection or apprehension; or constitute a potential danger to the health or safety of intelligence, counterterrorism, homeland security, and law enforcement personnel, confidential sources and informants, and potential witnesses. Amendment of the records would interfere with ongoing intelligence, counterterrorism, homeland security, and law enforcement investigations and activities, including incident reporting and analysis activities, and impose an impossible administrative burden by requiring investigations, reports, and analyses to be continuously reinvestigated and revised.
</p>
<p>(4) From subsection (e)(1) (Relevant and Necessary) because it is not always possible for DHS to know in advance of its receipt the relevance and necessity of each piece of information it acquires in the course of an intelligence, counterterrorism, or investigatory effort undertaken on behalf of the Department, or by another agency with whom DHS is cooperating. In the context of the authorized intelligence, counterterrorism, and investigatory activities undertaken by DHS personnel, relevance and necessity are questions of analytic judgment and timing, such that what may appear relevant and necessary when acquired ultimately may be deemed unnecessary upon further analysis and evaluation. Similarly, in some situations, it is only after acquired information is collated, analyzed, and evaluated in light of other available evidence and information that its relevance and necessity can be established or made clear. Constraining the initial acquisition of information included within the LEIDB in accordance with the relevant and necessary requirement of subsection (e)(1) could discourage the appropriate receipt of and access to information which DHS and USCG are otherwise authorized to receive and possess under law, and thereby impede efforts to detect, deter, prevent, disrupt, or apprehend terrorists or terrorist groups, and/or respond to terrorist or other activities which threaten homeland security. Notwithstanding this claimed exemption, which would permit the acquisition and temporary maintenance of records whose relevance to the purpose of the LEIDB may be less than fully clear, DHS will only disclose such records after determining whether such disclosures are themselves consistent with the published LEIDB routine uses. Moreover, it should be noted that, as concerns the receipt by USCG, for intelligence purposes, of information in any record which identifies a U.S. Person, as defined in Executive Order 12333, as amended, such receipt, and any subsequent use or dissemination of that identifying information, is undertaken consistent with the procedures established and adhered to by USCG pursuant to that Executive Order. Specifically, USCG intelligence personnel may acquire information which identifies a particular U.S. Person, retain it within or disseminate it from LEIDB, as appropriate, only when it is determined that the personally identifying information is necessary for the conduct of USCG’s functions, and otherwise falls into one of a limited number of authorized categories, each of which reflects discrete activities for which information on individuals would be utilized by the Department in the overall execution of its statutory mission.
</p>
<p>(5) From subsection (e)(2) (Collection of Information from Individuals) because application of this provision could present a serious impediment to counterterrorism or law enforcement efforts in that it would put the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct designed to frustrate or impede that activity. The nature of counterterrorism, and law enforcement investigations is such that vital information about an individual frequently can be obtained only from other persons who are familiar with such individual and his/her activities. In such investigations it is not feasible to rely solely upon information furnished by the individual concerning his own activities.
</p>
<p>(6) From subsection (e)(3) (Notice to Subjects), to the extent that this subsection is interpreted to require DHS to provide notice to an individual if DHS or another agency receives or collects information about that individual during an investigation or from a third party. Should the subsection be so interpreted, exemption from this provision is necessary to avoid impeding counterterrorism or law enforcement efforts by putting the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct intended to frustrate or impede that activity.
</p>
<p>(7) From subsections (e)(4) (G), (H) and (I) (Access), inasmuch as it is unnecessary for the publication of rules and procedures contemplated therein since the LEIDB, pursuant to subsections (2) and (3), above, will be exempt from the underlying duties to provide to individuals notification about, access to, and the ability to amend or correct the information pertaining to them in, this system of records. Furthermore, to the extent that subsection (e)(4)(I) is construed to require more detailed disclosure than the information accompanying the system notice for LEIDB, as published in today’s <i>Federal Register,</i> exemption from it is also necessary to protect the confidentiality, privacy, and physical safety of sources of information, as well as the methods for acquiring it. Finally, greater specificity concerning the description of categories of sources of properly classified records could also compromise or otherwise cause damage to the national or homeland security.
</p>
<p>(8) From subsection (e)(5) (Collection of Information) because many of the records contained in this system are derived from other domestic and foreign sources, it is not possible for DHS to vouch for those records’ compliance with this provision; however, the DHS has implemented internal quality assurance procedures to ensure that data used in its screening processes is as complete, accurate, and current as possible. In addition, in the collection of information for law enforcement and counterterrorism purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. The restrictions imposed by (e)(5) would limit the ability of those agencies’ trained investigators and intelligence analysts to exercise their judgment in conducting investigations and impede the development of intelligence necessary for effective law enforcement and counterterrorism efforts.
</p>
<p>(9) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations then not previously known.
</p>
<p>(10) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d). Access to, and amendment of, system records that are not exempt or for which exemption is waived may be obtained under procedures described in the related SORN or Subpart B of this Part.
</p>
<p>(11) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>10. DHS-ICE-001, The Immigration and Customs Enforcement (ICE) Student and Exchange Visitor Information System (SEVIS) collects and maintains pertinent information on nonimmigrant students and exchange visitors and the schools and exchange visitor program sponsors that host them while in the United States. The system permits DHS to monitor compliance by these individuals with the terms of their admission into the United States. Pursuant to exemptions (j)(2), (k)(1), (k)(2) and (k)(5) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H) and (I). Exemptions from the particular subsections are justified, on a case by case basis, to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation, of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation and avoid detection or apprehension, which undermines the entire system.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation, of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation and avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information also could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective enforcement of federal laws, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because portions of this system are exempt from the access provisions of subsection (d).
</p>
<p>11. The General Counsel Electronic Management System (GEMS) consists of records and information created or collected by attorneys for U.S. Immigration and Customs Enforcement, which will be used in the preparation and presentation of cases before a court or other adjudicative body. ICE attorneys work closely with ICE law enforcement personnel throughout the process of adjudicating immigration cases. GEMS allows ICE attorneys to store all the materials pertaining to immigration adjudications, including documents related to investigations, case notes and other hearing related information, and briefs and memoranda of law related to cases. Having this information in one system should not only facilitate the work of the ICE attorneys involved in the particular case, but also will provide a legal resource for other attorneys who are adjudicating similar cases. The system will also provide management capabilities for tracking time and effort expended in the preparation and presentation of cases. Pursuant to exemptions 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f)(2) through (5); and (g). Pursuant to 5 U.S.C. 552a (k)(1) and (k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, which in some cases may be classified, and reveal investigative interest on the part of DHS or ICE. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, tamper with witnesses or evidence, and avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation pertaining to an immigration matter, which in some cases may be classified, and prematurely reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, tamper with witnesses or evidence, and avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal immigration law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement and for the protection of national security, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject of the nature or existence of an investigation, which could cause interference with the investigation, a related inquiry or other law enforcement activities, some of which may be classified.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), (f) (Agency Rules), and (g) (Civil Remedies) because portions of this system are exempt from the individual access provisions of subsection (d).
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with ICE’s ability to obtain, serve, and issue subpoenas, warrants and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>12. DHS/CBP-005, Advanced Passenger Information System. A portion of the following system of records is exempt from 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and (8); (f), and (g); however, these exemptions apply only to the extent that information in this system records is recompiled or is created from information contained in other systems of records subject to such exemptions pursuant to 5 U.S.C. 552a(j)(2), and (k)(2). Further, no exemption shall be asserted with respect to information submitted by and collected from the individual or the individual’s representative in the course of any redress process associated with this system of records. After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement or national security purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system records is recompiled or is created from information contained in other systems of records subject to exemptions for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosure) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a known or suspected terrorist by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (c)(4) (Accounting for Disclosure, notice of dispute) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(c) From subsections (d)(1), (2), (3), and (4) (Access to Records) because these provisions concern individual access to and amendment of certain records contained in this system, including law enforcement counterterrorism, investigatory, and intelligence records. Compliance with these provisions could alert the subject of an investigation of the fact and nature of the investigation, and/or the investigative interest of intelligence or law enforcement agencies; compromise sensitive information related to national security; interfere with the overall law enforcement process by leading to the destruction of evidence, improper influencing of witnesses, fabrication of testimony, and/or flight of the subject; could identify a confidential source or disclose information which would constitute an unwarranted invasion of another’s personal privacy; reveal a sensitive investigative or intelligence technique; or constitute a potential danger to the health or safety of law enforcement personnel, confidential informants, and witnesses. Amendment of these records would interfere with ongoing counterterrorism, law enforcement, or intelligence investigations and analysis activities and impose an impossible administrative burden by requiring investigations, analyses, and reports to be continuously reinvestigated and revised.
</p>
<p>(d) From subsection (e)(1) (Relevancy and Necessity of Information) because it is not always possible for DHS or other agencies to know in advance what information is relevant and necessary for it to complete an identity comparison between the individual seeking redress and a known or suspected terrorist. Also, because DHS and other agencies may not always know what information about an encounter with a known or suspected terrorist will be relevant to law enforcement for the purpose of conducting an operational response.
</p>
<p>(e) From subsection (e)(2) (Collection of Information from Individuals) because application of this provision could present a serious impediment to counterterrorism, law enforcement, or intelligence efforts in that it would put the subject of an investigation, study, or analysis on notice of that fact, thereby permitting the subject to engage in conduct designed to frustrate or impede that activity. The nature of counterterrorism, law enforcement, or intelligence investigations is such that vital information about an individual frequently can be obtained only from other persons who are familiar with such individual and his/her activities. In such investigations it is not feasible to rely upon information furnished by the individual concerning his own activities.
</p>
<p>(f) From subsection (e)(3) (Notice to Subjects), to the extent that this subsection is interpreted to require DHS to provide notice to an individual if DHS or another agency receives or collects information about that individual during an investigation or from a third party. Should the subsection be so interpreted, exemption from this provision is necessary to avoid impeding counterterrorism, law enforcement, or intelligence efforts by putting the subject of an investigation, study, or analysis on notice of that fact, thereby permitting the subject to engage in conduct intended to frustrate or impede that activity.
</p>
<p>(g) From subsections (e)(4)(G), (H) and (I) (Agency Requirements) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(h) From subsection (e)(5) (Collection of Information) because many of the records in this system coming from other system of records are derived from other domestic and foreign agency record systems and therefore it is not possible for DHS to vouch for their compliance with this provision; however, the DHS has implemented internal quality assurance procedures to ensure that data used in the redress process is as thorough, accurate, and current as possible. In addition, in the collection of information for law enforcement, counterterrorism, and intelligence purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. The restrictions imposed by (e)(5) would limit the ability of those agencies’ trained investigators and intelligence analysts to exercise their judgment in conducting investigations and impede the development of intelligence necessary for effective law enforcement and counterterrorism efforts. The DHS has, however, implemented internal quality assurance procedures to ensure that the data used in the redress process is as thorough, accurate, and current as possible.
</p>
<p>(i) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism, law enforcement, or intelligence investigations to the fact of those investigations when not previously known.
</p>
<p>(j) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(k) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>13. The Department of Homeland Security General Training Records system of records consists of electronic and paper records and will be used by DHS and its components. The Department of Homeland Security General Training Records system of records consists of electronic and paper records and will be used by DHS and its components and offices to maintain records about individual training, including enrollment and participation information, information pertaining to class schedules, programs, and instructors, training trends and needs, testing and examination materials, and assessments of training efficacy. The data will be collected by employee name or other unique identifier. The collection and maintenance of this information will assist DHS in meeting its obligation to train its personnel and contractors in order to ensure that the agency mission can be successfully accomplished. Pursuant to exemptions 5 U.S.C. 552a(k)(6) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(d) to the extent that records in this system relate to testing or examination materials used solely to determine individual qualifications for appointment in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing and examination process.
</p>
<p>14. The U.S. ICE-005 Trade Transparency Analysis and Research (TTAR) System consists of electronic and paper records and will be used by the Department of Homeland Security (DHS). TTAR is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. TTAR contains information that is collected by other federal and foreign government agencies and may contain personally identifiable information. Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>15. The DHS/ALL--013 Claims Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--013 Claims Records system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security, intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--013 Claims Records system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, Tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>16. The DHS/ALL--018 Grievances, Appeals and Disciplinary Action Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--018 Grievances, Appeals and Disciplinary Action Records system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--018 Grievances, Appeals and Disciplinary Action Records system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>17. The DHS/ALL--006 Accident Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--006 Accident Records system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--006 Accident Records system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(d) pursuant to 5 U.S.C. 552a(k)(3). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons: From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of information related to the protection of a President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. Permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>18. The DHS/ALL--020 Internal Affairs Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--020 Internal Affairs Records system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--020 Internal Affairs Records system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training, and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>19. The DHS/ALL--024 Facility and Perimeter Access Control and Visitor Management system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--024 Facility and Perimeter Access Control and Visitor Management system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/ALL--024 Facility and Perimeter Access Control and Visitor Management system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>20. The DHS/CBP--009 Electronic System for Travel Authorization system of records consists of electronic and paper records and will be used by DHS and it’s Components. The DHS/CBP--009 Electronic System for Travel Authorization system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP--009 Electronic System for Travel Authorization system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (e)(8), and (g) pursuant to 5 U.S.C. 552a(j)(2), and (k)(2). Further, no exemption shall be asserted with respect to information maintained in the system as it relates to data submitted by or on behalf of a person who travels to visit the United States and crosses the border, nor shall an exemption be asserted with respect to the resulting determination (approval or denial). After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system of records may impede a law enforcement or national security investigation:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosure) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a violation of U.S. law, including investigations of a known or suspected terrorist, by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations when not previously known.
</p>
<p>(c) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>21. The DHS/CBP--010 Persons Engaged in International Trade in CBP Licensed/Regulated Activities system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/CBP--010 Persons Engaged in International Trade in CBP Licensed/Regulated Activities is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP--010 Persons Engaged in International Trade in CBP Licensed/Regulated Activities contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to national security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>22. The DHS/CBP--011 TECS system of records consists of electronic and paper records and will be used by DHS, its Components, and other Federal agencies. The DHS/CBP-011 TECS is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP-011 TECS contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, Tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to national security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation or subject of interest would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities or national security matter.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>23. The DHS/CBP--012 Closed Circuit Television system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/CBP--012 Closed Circuit Television system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP--012 Closed Circuit Television system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>24. The DHS/CBP--013 Seized Assets and Case Tracking System (SEACATS) consists of electronic and paper records and will be used by DHS and its components. The DHS/CBP--013 Seized Assets and Case Tracking System is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP--013 Seized Assets and Case Tracking System contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to national security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude the officers and agents of DHS components’ from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>25. The DHS/CBP--014 Regulatory Audit Archive system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/CBP--014 Regulatory Audit Archive system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP--014 Regulatory Audit Archive system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>26. The DHS/CBP--015 Automated Commercial System (ACS) system of records consists of electronic and paper records and will be used by DHS and its Components. The DHS/CBP--015 Automated Commercial System is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP--015 Automated Commercial System contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (e)(8), and (g) pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). Further, no exemption shall be asserted with respect to information maintained in the system as it relates to data submitted by or on behalf of a person who travels to visit the United States and crosses the border, nor shall an exemption be asserted with respect to the resulting determination (approval or denial). After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system of records may impede a law enforcement or national security investigation:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosure) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a violation of U.S. law, including investigations of a known or suspected terrorist, by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations when not previously known.
</p>
<p>(c) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>27. The DHS/CBP-009 Nonimmigrant Information system of records consists of electronic and paper records and will be used by DHS and it’s Components. The DHS/CBP-009 Nonimmigrant Information System is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; Investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/CBP-009 Nonimmigrant Information System contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, Tribal, foreign, or international government agencies. This system may contain records or information pertaining to the accounting of disclosures made from the Nonimmigrant Information System to other law enforcement and counterterrorism agencies (Federal, State, Local, Foreign, International or Tribal) in accordance with the published routine uses. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 522(c)(3), (e) (8), and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect accounting of these disclosures only, pursuant to 5 U.S.C. 552a (j)(2), and (k)(2). Further, no exemption shall be asserted with respect to biographical or travel information submitted by, and collected from, a person’s travel documents or submitted from a government computer system to support or to validate those travel documents. After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system of records is recompiled or is created from information contained in other systems of records subject to exemptions for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosure) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a violation of U.S. law, including investigations of a known or suspected terrorist, by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations when not previously known.
</p>
<p>(c) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>28. The DHS/ICE--007 Law Enforcement Support Center (LESC) Alien Criminal Response Information Management (ACRIMe) system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ICE--007 Law Enforcement Support Center Alien Criminal Response Information Management system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/ICE--007 Law Enforcement Support Center Alien Criminal Response Information Management system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system of records from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), and (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in identifying or establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>29. The DHS/ICE--008 Search, Arrest, and Seizure system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ICE--008 Search, Arrest, and Seizure system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/ICE--008 Search, Arrest, and Seizure system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>30. The DHS/ICE--009 External Investigations system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ICE--009 External Investigations system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/ICE--009 External Investigations system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), and (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>31. The DHS/ICE--010 Confidential and Other Sources of Information (COSI) system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ICE--010 Confidential and Other Sources of Information system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; and investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/ICE--010 Confidential and Other Sources of Information system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>32. The DHS/USCIS--006 Fraud Detection and National Security Data System (FDNS-DS) system of records consists of a stand alone database and paper files that will be used by DHS and its components. The DHS/USCIS--006 Fraud Detection and National Security Data System is a case management system used to record, track, and manage immigration inquiries, investigative referrals, law enforcement requests, and case determinations involving benefit fraud, criminal activity, public safety and national security concerns. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a (k)(2). These exemptions apply only to the extent that records in the system are subject to exemption pursuant to 5 U.S.C. 552a (k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation; and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G) and (e)(4)(H) (Agency Requirements) because portions of this system are exempt from the individual access provisions of subsection (d) which exempts providing access because it could alert a subject to the nature or existence of an investigation, and thus there could be no procedures for that particular data. Procedures do exist for access for those portions of the system that are not exempted.
</p>
<p>(e) From subsection (e)(4)(I) (Agency Requirements) because providing such source information would impede law enforcement or intelligence by compromising the nature or existence of a confidential investigation.
</p>
<p>(f) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>33. The DHS/USCG--028 Family Advocacy Case Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/USCG--028 Family Advocacy Case Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under. The DHS/USCG--028 Family Advocacy Case Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>34. The DHS/USCG--029 Notice of Arrival and Departure system consists of electronic and paper records and will be used by DHS and its components. The DHS/USCG--029 Notice of Arrival and Departure system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder. The DHS/USCG--029 Notice of Arrival and Departure system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies, as well as private corporate or other entities. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). However, these exemptions apply only to the extent that information in this system of records is recompiled or is created from information contained in other systems of records. After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system of records is recompiled or is created from information contained in other systems of records subject to exemptions for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to national security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation or subject of interest would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities or national security matter.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>35. The DHS/Secret Service--001 Criminal Investigation Information system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/Secret Service--001 Criminal Investigation Information system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; the protection of the President of the United States or other individuals and locations pursuant to section 3056 and 3056A of Title 18. The DHS/Secret Service--001 Criminal Investigation Information system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, international government agencies, as well as private corporate, education and other entities. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, or protective inquiry, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or the Secret Service’s protective mission. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, or inquiry, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative or inquiry process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, or protective inquiry to the existence of the investigation or inquiry, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation or inquiry, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement or protective activities and/or could disclose security-sensitive information that could be detrimental to homeland security or the protective mission of the Secret Service.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law or protective inquiries, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation or protective inquiry. In the interests of effective law enforcement, and/or the protective mission of the Secret Service, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity, or a threat to an individual, location or event protected or secured by the Secret Service.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation or protective inquiry would alert the subject to the nature or existence of an investigation or inquiry, thereby interfering with the related investigation or inquiry and law enforcement or protective activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Individuals Providing Information) because providing such detailed information would impede law enforcement or protective activities in that it could compromise investigations or inquires by: Revealing the existence of an otherwise confidential investigation or inquiry and thereby provide an opportunity for the subject of an investigation or inquiry to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative or protective efforts; reveal the identity of witnesses in investigations or inquiries, thereby providing an opportunity for the subjects of the investigations or inquiries or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations or protective activities and discourage members of the public from cooperating as confidential informants in any future investigations or protective activities.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to the existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative or protective efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Maintenance of Information Used in Making any Determination) because in the collection of information for law enforcement and protective purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude Secret Service DHS agents from using their investigative and protective training and exercising good judgment to both conduct and report on investigations or other protective activities.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, or/and could result in disclosure of investigative or protective techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>36. The DHS/Secret Service--003 Non-Criminal Investigation Information system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/Secret Service--003 Non-Criminal Investigation Information system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; criminal, civil, protective and background investigations and inquiries, and proceedings thereunder; the protection of the President of the United States or other individuals and locations pursuant to section 3056 and 3056A of Title 18; and the hiring of employees through an application process which includes the use of polygraph examinations. The DHS/Secret Service--003 Non-Criminal Investigation Information system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies, as well as private corporate, educational and other entities. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), (k)(5), and (k)(6). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, or protective inquiry, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or the Secret Service’s protective mission. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation or inquiry, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative or inquiry process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, or protective inquiry to the existence of the investigation or inquiry, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation or inquiry, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement or protective activities and/or could disclose security-sensitive information that could be detrimental to homeland security or the protective mission of the Secret Service.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law or protective inquiries, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation or protective inquiry. In the interests of effective law enforcement and/or the protective mission of the Secret Service, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity, or a threat to an individual, location or event protected or secured by the Secret Service.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation or protective inquiry would alert the subject to the nature or existence of an investigation or inquiry, thereby interfering with the related investigation or inquiry and law enforcement or protective activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Individuals Providing Information) because providing such detailed information would impede law enforcement or protective activities in that it could compromise investigations or inquiries by: Revealing the existence of an otherwise confidential investigation or inquiry and thereby provide an opportunity for the subject of an investigation or inquiry to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative or protective efforts; reveal the identity of witnesses in investigations or inquiries, thereby providing an opportunity for the subjects of the investigations or inquiries or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations or protective activities and discourage members of the public from cooperating as confidential informants in any future investigations or protective activities.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to the existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative or protective efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Maintenance of Information Used in Making any Determination) because in the collection of information for law enforcement and protective purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude Secret Service agents from using their investigative and protective training, and exercising good judgment to both conduct and report on investigations or other protective activities.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, or could result in disclosure of investigative or protective techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>37. The DHS/Secret Service--004 Protection Information system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/Secret Service--004 Protection Information system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and the protection of the President of the United States or other individuals and locations pursuant to Sections 3056 and 3056A of Title 18. The DHS/Secret Service--004 Protection Information system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, Tribal, foreign, or international government agencies, as well as private corporate or other entities. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation or a protective inquiry to the existence of the investigation or inquiry, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or the Secret Service’s protective mission. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation or inquiry, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative or inquiry process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, or protective inquiry to the existence of the investigation or inquiry, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, or inquiry to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations, law enforcement or protective activities and/or could disclose security-sensitive information that could be detrimental to homeland security or the protective mission of the Secret Service.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law or protective inquiries, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation or protective inquiry. In the interests of effective law enforcement and/or the protective mission of the Secret Service, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity, or a possible threat to an individual, location or event protected or secured by the Secret Service.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation or protective inquiry would alert the subject to the nature or existence of an investigation or inquiry, thereby interfering with the related investigation or inquiry and law enforcement or protective activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Individuals Providing Information) because providing such detailed information would impede law enforcement or protective activities in that it could compromise investigations or inquiries by: Revealing the existence of an otherwise confidential investigation or inquiry and thereby provide an opportunity for the subject of an investigation or inquiry to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative or protective efforts; reveal the identity of witnesses, thereby providing an opportunity for the subjects of the investigations or inquiries or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations or protective activities and discourage members of the public from cooperating as confidential informants in any future investigations or protective activities.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to the existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative and protective efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Maintenance of Information Used in Making any Determination) because in the collection of information for law enforcement and protective purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude Secret Service agents from using their investigative and protective training and exercising good judgment to both conduct and report on investigations or other protective activities.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative or protective techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>38. The DHS/ALL--025 Law Enforcement Authority in Support of the Protection of Property Owned or Occupied by the Department of Homeland Security system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--025 Law Enforcement Authority in Support of the Protection of Property Owned or Occupied by the Department of Homeland Security system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/ALL--025 Law Enforcement Authority in Support of the Protection of Property Owned or Occupied by the Department of Homeland Security system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>39. The DHS/ALL--017 General Legal Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--017 General Legal Records system of records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--017 General Legal Records system of records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f), and (g), pursuant to exemption 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (I), and (f), pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3) and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>40. The DHS/ALL--023 Personnel Security Management system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--023 Personnel Security Management system is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--023 Personnel Security Management system contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>41. The DHS/NPPD/US-VISIT--001 Arrival and Departure Information system of records notice is a system for the storage and use of biographic, biometric indicator, and encounter data consolidated from various systems regarding aliens who have applied for entry, entered, or departed the United States. Information in the DHS/NPPD/US-VISIT--001 Arrival and Departure Information system of records notice is used primarily to facilitate the investigation of subjects of interest who may have violated their immigration status by remaining in the United States beyond their authorized stay; thereby supporting the several and varied missions and functions of DHS, including but not limited to: the enforcement of civil and criminal laws (including the immigration law); investigations, inquiries; national security and intelligence activities in support of the DHS mission to identify and prevent acts of terrorism against the United States. The information is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3) and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation; and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identities of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Requirements) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>42. The DHS/NPPD/US-VISIT--003 Technical Reconciliation Analysis Classification system of records (TRACS) consists of stand alone database and paper files that will be used by DHS and its components. This system of records will be used to perform a range of information management and analytic functions involving collecting, verifying, and resolving tracking of data primarily on individuals who are not United States citizens or legal permanent residents (LPRs). However, it will contain data on: (1.) U.S. citizens or LPRs who have a connection to the DHS mission (e.g., individuals who have submitted a visa application to the UK, or have made requests for a license or credential as part of a background check or security screening in connection with their hiring or retention, performance of a job function or the issuance of a license or credential for employment at DHS); (2.) U.S. citizens and LPRs who have an incidental connection to the DHS mission (e.g., individuals living at the same address as individuals who have remained in this country beyond their authorized stays); and (3.) individuals who have, over time, changed their status and became U.S. citizens or LPRs. The DHS/NPPD/US-VISIT--003 Technical Reconciliation Analysis Classification system of records is managed and maintained by the US-VISIT Program. The data contained in the DHS/NPPD/US-VISIT--003 Technical Reconciliation Analysis Classification system of records is primarily derived from DHS/NPPD/U.S-VISIT--001 Arrival and Departure Information System (ADIS); DHS/CBP--011 TECS; DHS/ICE--001 Student and Exchange Visitor Information System (SEVIS); DHS/ICE/CBP/USCIS--001--03 Enforcement Operational Immigration Records (ENFORCE/IDENT); DHS/ICE--011 Removable Alien Records System (RARS); DHS/USCIS--001 Alien File (A-File) and Central Index System (CIS); DHS/USCIS--007 Benefits Information System covering Computer Linked Application Information Management System 3 (Claims 3) and Computer Linked Application Information Management System 4 (Claims 4); DHS/USCIS Refugees, Asylum &amp; Parole System (RAPS); and from the Department of State’s Consolidated Consular Database (CCD). The DHS/NPPD/US-VISIT--003 Technical Reconciliation Analysis Classification system of records also contains data from web searches for addresses and phone numbers. This data is collected by, on behalf of, in support of, or in cooperation with DHS and its components. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), and (e)(4)(H) (Agency Requirements) because portions of this system are exempt from the individual access provisions of subsection (d) which exempts providing access because it could alert a subject to the nature or existence of an investigation, and thus there could be no procedures for that particular data. Procedures do exist for access for those portions of the system that are not exempted.
</p>
<p>(g) From subsection (e)(4)(I) (Agency Requirements) because providing such source information would impede enforcement or intelligence by compromising the nature or existence of a confidential investigation.
</p>
<p>(h) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(i) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures and evidence.
</p>
<p>(j) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(k) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>43. The DHS/USCG--013 Marine Information for Safety and Law Enforcement system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/USCG--013 Marine Information for Safety and Law Enforcement system of records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities. The DHS/USCG--013 Marine Information for Safety and Law Enforcement system of records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); (I); and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>44. The DHS/USCG--030 Merchant Seaman’s Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/USCG--030 Merchant Seaman’s Records system of records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under. The DHS/USCG--030 Merchant Seaman’s Records system of records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>45. The DHS/CBP--006 Automated Targeting system of records performs screening of both inbound and outbound cargo, travelers, and conveyances. As part of this screening function and to facilitate DHS’s border enforcement mission, the DHS/CBP--006 Automated Targeting system of records compares information received with CBP’s law enforcement databases, the Federal Bureau of Investigation Terrorist Screening Center’s Terrorist Screening Database (TSDB), information on outstanding wants or warrants, information from other government agencies regarding high-risk parties, and risk-based rules developed by analysts using law enforcement data, intelligence, and past case experience. The modules also facilitate analysis of the screening results of these comparisons. This supports the several and varied missions and functions of DHS, including but not limited to: The enforcement of civil and criminal laws (including the immigration law); investigations, inquiries; national security and intelligence activities in support of the DHS mission to identify and prevent acts of terrorism against the United States. The information is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. Certain records or information in DHS/CBP--006 Automated Targeting system of records are exempt from the Privacy Act. With respect to the ATS-P module, exempt records are the targeting rule sets, risk assessment analyses, and business confidential information contained in the PNR that relates to the air and vessel carriers. No exemption shall be asserted regarding PNR data about the requester, provided by either the requester or a booking agent, brokers, or another person on the requester’s behalf. This information, upon request, may be provided to the requester in the form in which it was collected from the respective carrier, but may not include certain business confidential information of the air carrier that is also contained in the record, such as use and application of frequent flier miles, internal annotations to the air fare, etc. For other DHS/CBP--006 Automated Targeting system of records modules the only information maintained in the system is the targeting rule sets, risk assessment analyses, and a pointer to the data from the source system of records. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f); and (g) pursuant to 5 U.S.C. 552a(k)(2). These exemptions also apply to the extent that information in this system of records is recompiled or is created from information contained in other systems of records. After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosure) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a known or suspected criminal or terrorist, or other person of interest, by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation. Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons: (a) From subsection (c)(3) (Accounting for Disclosure) because making available to a record subject the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expected to compromise ongoing efforts to investigate a known or suspected terrorist by notifying the record subject that he or she is under investigation. This information could also permit the record subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (c)(4) (Accounting for Disclosure, notice of dispute) because certain records in this system are exempt from the access and amendment provisions of subsection (d), this requirement to inform any person or other agency about any correction or notation of dispute that the agency made with regard to those records, should not apply.
</p>
<p>(c) From subsections (d)(1), (2), (3), and (4) (Access to Records) because these provisions concern individual access to and amendment of certain records contained in this system, including law enforcement, counterterrorism, and investigatory records. Compliance with these provisions could alert the subject of an investigation to the fact and nature of the investigation, and/or the investigative interest of intelligence or law enforcement agencies; compromise sensitive information related to law enforcement, including matters bearing on national security; interfere with the overall law enforcement process by leading to the destruction of evidence, improper influencing of witnesses, fabrication of testimony, and/or flight of the subject; could identify a confidential source; reveal a sensitive investigative or intelligence technique; or constitute a potential danger to the health or safety of law enforcement personnel, confidential informants, and witnesses. Amendment of these records would interfere with ongoing counterterrorism or law enforcement investigations and analysis activities and impose an impossible administrative burden by requiring investigations, analyses, and reports to be continuously reinvestigated and revised.
</p>
<p>(d) From subsection (e)(1) (Relevancy and Necessity of Information) because it is not always possible for DHS or other agencies to know in advance what information is relevant and necessary for it to complete screening of cargo, conveyances, and passengers. Information relating to known or suspected criminals or terrorists or other persons of interest, is not always collected in a manner that permits immediate verification or determination of relevancy to a DHS purpose. For example, during the early stages of an investigation, it may not be possible to determine the immediate relevancy of information that is collected--only upon later evaluation or association with further information, obtained subsequently, may it be possible to establish particular relevance to a law enforcement program. Lastly, this exemption is required because DHS and other agencies may not always know what information about an encounter with a known or suspected criminal or terrorist or other person of interest will be relevant to law enforcement for the purpose of conducting an operational response.
</p>
<p>(e) From subsection (e)(2) (Collection of Information from Individuals) because application of this provision could present a serious impediment to counterterrorism or other law enforcement efforts in that it would put the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct designed to frustrate or impede that activity. The nature of counterterrorism, and law enforcement investigations is such that vital information about an individual frequently can be obtained only from other persons who are familiar with such individual and his/her activities. In such investigations it is not feasible to rely solely upon information furnished by the individual concerning his own activities.
</p>
<p>(f) From subsection (e)(3) (Notice to Subjects), to the extent that this subsection is interpreted to require DHS to provide notice to an individual if DHS or another agency receives or collects information about that individual during an investigation or from a third party. Should the subsection be so interpreted, exemption from this provision is necessary to avoid impeding counterterrorism or other law enforcement efforts by putting the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct intended to frustrate or impede that activity.
</p>
<p>(g) From subsections (e)(4)(G), (H) and (I) (Agency Requirements) because portions of this system are exempt from the access and amendment provisions of subsection (d).
</p>
<p>(h) From subsection (e)(5) (Collection of Information) because many of the records in this system coming from other systems of records are derived from other domestic and foreign agency record systems and therefore it is not possible for DHS to vouch for their compliance with this provision; however, the DHS has implemented internal quality assurance procedures to ensure that data used in its screening processes is as complete, accurate, and current as possible. In addition, in the collection of information for law enforcement and counterterrorism purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. The restrictions imposed by (e)(5) would limit the ability of those agencies’ trained investigators and intelligence analysts to exercise their judgment in conducting investigations and impede the development of intelligence necessary for effective law enforcement and counterterrorism efforts.
</p>
<p>(i) From subsection (e)(8) (Notice on Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations when not previously known.
</p>
<p>(j) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d). Access to, and amendment of, system records that are not exempt or for which exemption is waived may be obtained under procedures described in the related SORN or Subpart B of this Part.
</p>
<p>(k) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>46. The DHS/CBP--007 Border Crossing Information system of records will maintain border crossing information on travelers who are admitted or paroled into the United States. This information includes: certain biographical information; a photograph (if available); certain itinerary information provided by air and sea carriers and any other forms of passenger transportation, including rail, which is or may subsequently be mandated, or is or may be provided on a voluntary basis; and the time and location of the border crossing. This system may contain records or information pertaining to the accounting of disclosures made from DHS/CBP--007 Border Crossing Information system of records to agencies (Federal, State, Local, Tribal, Foreign, or International), in accordance with the published routine uses. For the accounting of these disclosures only, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552(c)(3); (e)(8); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, for the accounting of these disclosures only, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552(c)(3); (e)(8); and (g) pursuant to 5 U.S.C. 552a(k)(2). Further, no exemption shall be asserted with respect to biographical or travel information submitted by, and collected from, a person’s travel documents or submitted from a government computer system to support or to validate those travel documents. After conferring with the appropriate component or agency, DHS may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement purposes of the systems from which the information is recompiled or in which it is contained. Exemptions from the above particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, when information in this system or records is recompiled or is created from information contained in other systems of records subject to exemptions for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because making available to a record subject to the accounting of disclosures from records concerning him or her would specifically reveal any investigative interest in the individual. Revealing this information could reasonably be expect to compromise ongoing efforts to investigate a violation of U.S. law, including investigations of a known or suspected terrorist or criminal, or other person of interest, by notifying the record subject that he or she is under investigation. This information could also permit the record’s subject to take measures to impede the investigation, e.g., destroy evidence, intimidate potential witnesses, or flee the area to avoid or impede the investigation.
</p>
<p>(b) From subsection (e)(8) (Notice to Individuals) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism or law enforcement investigations to the fact of those investigations when not previously known.
</p>
<p>(c) From subsection (g) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>47. The Visa Security Program Records (VSPR) system of records consists of electronic and paper records and will be used by the Department of Homeland Security (DHS) U.S. Immigration and Customs Enforcement (ICE). VSPR consists of information created in support of the Visa Security Program, the purpose of which is to identify persons who may be ineligible for a U.S. visa because of criminal history, terrorism association, or other factors and convey that information to the State Department, which decides whether to issue the visa. VSPR contains records on visa applicants for whom a visa security review is conducted. VSPR contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, Tribal, foreign, or international government agencies. Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), and (e)(4)(H), (e)(5) and (e)(8); (f); and (g). Pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the individual to the existence of an investigation in the form of a visa security review predicated on classified, national security, law enforcement, foreign government, or other sensitive information. Disclosure of the accounting would therefore present a serious impediment to ICE’s Visa Security Program, immigration enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, thereby undermining the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could alert the individual to the existence of an investigation in the form of a visa security review predicated on classified, national security, law enforcement, foreign government, or other sensitive information. Revealing the existence of an otherwise confidential investigation could also provide the visa applicant an opportunity to conceal adverse information or take other actions that could thwart investigative efforts; and reveal the identity of other individuals with information pertinent to the visa security review, thereby providing an opportunity for the applicant to interfere with the collection of adverse or other relevant information from such individuals. Access to the records would therefore present a serious impediment to the enforcement of Federal immigration laws, law enforcement efforts and/or efforts to preserve national security. Amendment of the records could interfere with ICE’s ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose classified and other security-sensitive information that could be detrimental to national or homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations of visa applications, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interest of effective enforcement of Federal immigration laws, it is appropriate to retain all information that may be relevant to the determination whether an individual is eligible for a U.S. visa.
</p>
<p>(d) From subsection (e)(2) (Collection of Information From Individuals) because requiring that information be collected from the visa applicant would alert the subject to the fact of an investigation in the form of a visa security review, and to the existence of adverse information about the individual, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede immigration enforcement activities in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the visa applicant to conceal adverse information, or take other actions that could thwart investigative efforts; Reveal the identity of other individuals with information pertinent to the visa security review, thereby providing an opportunity for the applicant to interfere with the collection of adverse or other relevant information from such individuals; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative and immigration enforcement efforts as described above.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on DHS and other agencies and could alert the subjects of counterterrorism, law enforcement, or intelligence investigations to the fact of those investigations when not previously known.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>48. The DHS/ICE-011 Immigration and Enforcement Operational Records system of records consists of electronic and paper records and will be used by DHS and its components. The DHS/ICE-011 Immigration and Enforcement Operational Records system of records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/ICE-011 Immigration and Enforcement Operational Records system of records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: Revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: Refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>49. The DHS/USCIS--009 Compliance Tracking and Management System of Records consists of electronic and paper files that will be used by DHS and its components. This system of records will be used to perform a range of information management and analytic functions involving minimizing misuse, abuse, discrimination, breach of privacy, and fraudulent use of SAVE and E-Verify. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interest of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>50. The Immigration and Customs Enforcement (ICE)--006 Intelligence Records System (IIRS) consists of electronic and paper records and will be used by the Department of Homeland Security (DHS). IIRS is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. IIRS contains information that is collected by other federal and foreign government agencies and may contain personally identifiable information. Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5) and (e)(8); (f), and (g). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by: revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G) and (H) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>51. The DHS/ALL--027 The History of the Department of Homeland Security System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL--027 The History of the Department of Homeland Security System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the United States or other individuals pursuant to section 3056 and 3056A of Title 18. The DHS/ALL--027 The History of the Department of Homeland Security System of Records contain information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (e)(12); (f); (g)(1); and (h) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of the investigation, thereby interfering with that investigation and related law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information could impede law enforcement by compromising the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because with the collection of information for law enforcement purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with subsection (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (e)(12) (Computer Matching) if the agency is a recipient agency or a source agency in a matching program with a non-Federal agency, with respect to any establishment or revision of a matching program, at least 30 days prior to conducting such program, publish in the <i>Federal Register</i> notice of such establishment or revision.
</p>
<p>(j) From subsection (g)(1) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>(k) From subsection (h) (Legal Guardians) the parent of any minor, or the legal guardian of any individual who has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, may act on behalf of the individual.
</p>
<p>52. The DHS/ALL--031 ISE SAR Initiative System of Records consists of electronic records and will be used by DHS and its components. The DHS/ALL--031 ISE SAR Initiative System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities; and protection of the President of the U.S. or other individuals pursuant to Section 3056 and 3056A of Title 18. The DHS/ALL--031 ISE SAR Initiative System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS, its components, as well as other federal, state, local, tribal, or foreign agencies or private sector organization and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), and (e)(12); (f); (g)(1); and (h) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2) and (k)(3). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (c)(4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of the investigation, thereby interfering with that investigation and related law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information could impede law enforcement by compromising the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because with the collection of information for law enforcement purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with subsection (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (e)(12) (Computer Matching) if the agency is a recipient agency or a source agency in a matching program with a non-Federal agency, with respect to any establishment or revision of a matching program, at least 30 days prior to conducting such program, publish in the <i>Federal Register</i> notice of such establishment or revision.
</p>
<p>(j) From subsection (g)(1) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>(k) From subsection (h) (Legal Guardians) the parent of any minor, or the legal guardian of any individual who has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, may act on behalf of the individual.
</p>
<p>53. The DHS/USCIS-012 CIDR System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/USCIS-012 CIDR System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; national security and intelligence activities; and protection of the President of the U.S. or other individuals pursuant to Section 3056 and 3056A of Title 18. The DHS/USCIS-012 CIDR System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain PII collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a (k)(1) and (k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting could also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>54. The DHS/USCG--008 Courts Martial Case Files System of Records consists of electronic and paper records and will be used by DHS/USCG. The DHS/USCG--008 Courts Martial Case Files System of Records is a repository of information held by DHS/USCG in connection with its several and varied missions and functions, including, but not limited to: the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/USCG--008 Courts Martial Case Files System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS/USCG and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5) and (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (c)(4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation, and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation, to the existence of the investigation, and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of an investigation, thereby interfering with the related investigation and law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information would impede law enforcement in that it could compromise investigations by revealing the existence of an otherwise confidential investigation and thereby provide an opportunity for the subject of an investigation to conceal evidence, alter patterns of behavior, or take other actions that could thwart investigative efforts; reveal the identity of witnesses in investigations, thereby providing an opportunity for the subjects of the investigations or others to harass, intimidate, or otherwise interfere with the collection of evidence or other information from such witnesses; or reveal the identity of confidential informants, which would negatively affect the informant’s usefulness in any ongoing or future investigations and discourage members of the public from cooperating as confidential informants in any future investigations.
</p>
<p>(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements), and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because in the collection of information for law enforcement purposes it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’ ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal, and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act relating to individuals’ rights to access and amend their records contained in the system. Therefore DHS is not required to establish rules or procedures pursuant to which individuals may seek a civil remedy for the agency’s: refusal to amend a record; refusal to comply with a request for access to records; failure to maintain accurate, relevant, timely and complete records; or failure to otherwise comply with an individual’s right to access or amend records.
</p>
<p>55. The DHS/FEMA-011 Training and Exercise Program Records System of Records consists of electronic and paper records and will be used by FEMA. The DHS/FEMA-011 Training and Exercise Program Records System of Records consists of electronic and paper records and will be used by DHS and its components and offices to maintain records about individual training, including enrollment and participation information, information pertaining to class schedules, programs, and instructors, training trends and needs, testing and examination materials, and assessments of training efficacy. The data will be collected by employee name or other unique identifier. The collection and maintenance of this information will assist DHS in meeting its obligation to train its personnel and contractors in order to ensure that the agency mission can be successfully accomplished. The DHS/FEMA-011 General Training and Exercise Program Records System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, State, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a (k)(6) where it states: "For testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process."
</p>
<p>Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>56. The DHS/TSA-023 Workplace Violence Prevention Program System of Records consists of electronic and paper records and is used by the TSA in the administration of its Workplace Violence Prevention Program, an internal TSA program designed to prevent and respond to workplace violence. The DHS/TSA-023 Workplace Violence Prevention Program System of Records is a repository of information held by TSA in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under. The DHS/TSA-023 Workplace Violence Prevention Program System of Records contains information collected by TSA, and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted portions of this system from the following provisions of the Privacy Act, subject to the limitations set forth in (c)(3); (d); (e)(1), (e)(4)(G); (e)(4)(H); (e)(4)(I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>57. The DHS/OPS-002 National Operations Center Tracker and Senior Watch Officer Logs Records System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/OPS-002 National Operations Center Tracker and Senior Watch Officer Logs Records System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities; and protection of the President of the U.S. or other individuals pursuant to Section 3056 and 3056A of Title 18. The DHS/OPS-002 National Operations Center Tracker and Senior Watch Officer Logs Records System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security is exempting this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>59. The DHS/NPPD-001 NICC Records System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/NPPD-001 NICC Records System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities The DHS/NPPD-001 NICC Records System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, state, local, Tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) pursuant to 5 U.S.C. 552a(k)(1) and (k)(2). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants. 
</p>
<p>64. The DHS/USCIS-015 Electronic Immigration System-2 Account and Case Management System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/USCIS-015 Electronic Immigration System-2 Account and Case Management is a repository of information held by USCIS to serve its mission of processing immigration benefits. This system also supports certain other DHS programs whose functions include, but are not limited to, the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/USCIS-015 Electronic Immigration System-2 Account and Case Management System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, Tribal, foreign, or international government agencies. This system is exempted from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Additionally, many of the functions in this system require retrieving records from law enforcement systems. Where a record received from another system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will claim the same exemptions for those records that are claimed for the original primary systems of records from which they originated and claims any additional exemptions in accordance with this rule. Exemptions from these particular subsections are justified, on a case-by-case basis determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and/or reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules) because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records, or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system, would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>65. The DHS/USCIS-016 Electronic Immigration System-3 Automated Background Functions System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/USCIS-016 Electronic Immigration System-3 Automated Background Functions System of Records is a repository of information held by USCIS to serve its mission of processing immigration benefits. This system also supports certain other DHS programs whose functions include, but are not limited to, the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/USCIS-016 Electronic Immigration System-3 Automated Background Functions System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, Tribal, foreign, or international government agencies. This system is exempted from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Additionally, many of the functions in this system require retrieving records from law enforcement systems. Where a record received from another system has been exempted in that source system under 5 U.S.C. 552a(j)(2), DHS will claim the same exemptions for those records that are claimed for the original primary systems of records from which they originated and claims any additional exemptions in accordance with this rule. Exemptions from these particular subsections are justified, on a case-by-case basis determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and/or reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records, or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system, would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>66. The DHS/ALL-030 Use of Terrorist Screening Database System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/ALL-030 Use of Terrorist Screening Database System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities; and protection of the President of the U.S. or other individuals pursuant to Section 3056 and 3056A of Title 18. The DHS/ALL-030 Use of Terrorist Screening Database System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other Federal, state, local, tribal, foreign, or international government agencies. Pursuant to 5 U.S.C. 552a(j)(2), the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8); (f); and (g)(1). Additionally, pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (c)(4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of Federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of the investigation, thereby interfering with that investigation and related law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Subjects) because providing such detailed information could impede law enforcement by compromising the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because with the collection of information for law enforcement purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with subsection (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (g)(1) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>67. The DHS/FEMA-012 Suspicious Activity Reporting System of Records consists of electronic and paper records and will be used by DHS/FEMA and its components. The DHS/FEMA--012 Suspicious Activity Reporting System of Records is a repository of information held by DHS/FEMA to serve its mission to support our citizens and first responders to ensure that as a nation we work together to build, sustain, and improve our capability to prepare for, protect against, respond to, recover from, and mitigate all hazards. This system also supports certain other DHS/FEMA programs whose functions include, but are not limited to, the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/FEMA-012 Suspicious Activity Reporting System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS/FEMA and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2); (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Exemptions from these particular subsections are justified, on a case-by-case basis determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS/FEMA as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS/FEMA or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS/FEMA is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>68. The DHS OPS-003 Operations Collection, Planning, Coordination, Reporting, Analysis, and Fusion System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS OPS-003 Operations Collection, Planning, Coordination, Reporting, Analysis, and Fusion System of Records is a repository of information held by DHS to serve its several and varied missions and functions. This system also supports certain other DHS programs whose functions include, but are not limited to, the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; national security and intelligence activities; and protection of the President of the U.S. or other individuals pursuant to Section 3056 and 3056A of Title 18. The DHS OPS-003 Operations Collection, Planning, Coordination, Reporting, Analysis, and Fusion System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. This system is exempted from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3): 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access and Amendment) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>69. The DHS/CBP--017 Analytical Framework for Intelligence (AFI) System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/CBP--017 Analytical Framework for Intelligence (AFI) System of Records is a repository of information held by DHS to enhance DHS’s ability to: Identify, apprehend, and/or prosecute individuals who pose a potential law enforcement or security risk; aid in the enforcement of the customs and immigration laws, and other laws enforced by DHS at the border; and enhance United States security. This system also supports certain other DHS programs whose functions include, but are not limited to, the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under; and national security and intelligence activities. The DHS/CBP--017 Analytical Framework for Intelligence (AFI) System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies.
</p>
<p>(a) The Secretary of Homeland Security has exempted this system from certain provisions of the Privacy Act as follows:
</p>
<p>(1) Pursuant to 5 U.S.C. 552a(j)(2), the system is exempt from 5 U.S.C. 552a(c)(3) and (c)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g).
</p>
<p>(2) Pursuant to 5 U.S.C. 552a(j)(2), the system (except for any records that were ingested by AFI where the source system of records already provides access and/or amendment under the Privacy Act) is exempt from 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and (d)(4).
</p>
<p>(3) Pursuant to 5 U.S.C. 552a(k)(1), the system is exempt from 5 U.S.C. 552a(c)(3); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
</p>
<p>(4) Pursuant to 5 U.S.C. 552a(k)(1), the system is exempt from (d)(1), (d)(2), (d)(3), and (d)(4).
</p>
<p>(5) Pursuant to 5 U.S.C. 552a(k)(2), the system is exempt from 5 U.S.C. 552a(c)(3); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).
</p>
<p>(6) Pursuant to 5 U.S.C. 552a(k)(2),the system (except for any records that were ingested by AFI where the source system of records already provides access and/or amendment under the Privacy Act) is exempt from (d)(1), (d)(2), (d)(3), and (d)(4).
</p>
<p>(b) Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(1) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(2) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement and national security, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(4) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of the investigation, thereby interfering with that investigation and related law enforcement and national security activities.
</p>
<p>(5) From subsection (e)(3) (Notice to Individuals) because providing such detailed information could impede law enforcement and national security by compromising the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.
</p>
<p>(6) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, and potential witnesses, and confidential informants.
</p>
<p>(7) From subsection (e)(5) (Collection of Information) because with the collection of information for law enforcement purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with subsection (e)(5) would preclude DHS agents from using their investigative training and exercise of good judgment to both conduct and report on investigations.
</p>
<p>(8) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(9) From subsection (g)(1) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act.
</p>
<p>70. DHS/USCIS-ICE-CBP-001 Alien File, Index, and National File Tracking System of Records consists of electronic and paper records and will be used by USCIS, ICE, and CBP. DHS/USCIS-ICE-CBP-001 Alien File, Index, and National File Tracking System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to: The enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. DHS/USCIS-ICE-CBP-001 Alien File, Index, and National File Tracking System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, territorial, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2): 5 U.S.C. 552a(c)(3) and (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (e)(12), (f), (g)(1), and (h). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1) and (k)(2): 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). Exemptions from these particular subsections may be justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) and (4) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsection (e)(2) (Collection of Information from Individuals) because requiring that information be collected from the subject of an investigation would alert the subject to the nature or existence of the investigation, thereby interfering with that investigation and related law enforcement activities.
</p>
<p>(e) From subsection (e)(3) (Notice to Individuals) because providing such detailed information could impede law enforcement by compromising the existence of a confidential investigation or reveal the identity of witnesses, DHS employees, or confidential informants.
</p>
<p>(f) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, potential witnesses, and confidential informants.
</p>
<p>(g) From subsection (e)(5) (Collection of Information) because with the collection of information for law enforcement purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. Compliance with subsection (e)(5) would impede DHS officials’ ability to effectively use their investigative training and exercise good judgment to both conduct and report on investigations.
</p>
<p>(h) From subsection (e)(8) (Notice on Individuals) because compliance would interfere with DHS’s ability to obtain, serve, and issue subpoenas, warrants, and other law enforcement mechanisms that may be filed under seal and could result in disclosure of investigative techniques, procedures, and evidence.
</p>
<p>(i) From subsection (e)(12) (Computer Matching) if the agency is a recipient agency or a source agency in a matching program with a non-Federal agency, with respect to any establishment or revision of a matching program, at least 30 days prior to conducting such program, publish in the <i>Federal Register</i> notice of such establishment or revision.
</p>
<p>(j) From subsection (g)(1) (Civil Remedies) to the extent that the system is exempt from other specific subsections of the Privacy Act. (k) From subsection (h) (Legal Guardians) if the parent of any minor, or the legal guardian of any individual who has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, is acting on behalf of the individual.
</p>
<p>71. The Department of Homeland Security (DHS)/Transportation Security Administration (TSA)-021 TSA Pre&#10003;&#174; Application Program System of Records consists of electronic and paper records and will be used by DHS/TSA. The DHS/TSA-021 Pre&#10003;&#174; Application Program System of Records is a repository of information held by DHS/TSA on individuals who voluntarily provide personally identifiable information (PII) to TSA in return for enrollment in a program that will make them eligible for expedited security screening at designated airports. This System of Records contains PII in biographic application data, biometric information, pointer information to law enforcement databases, payment tracking, and U.S. application membership decisions that support the TSA Pre&#10003;&#174; Application Program membership decisions. The DHS/TSA-021 TSA Pre&#10003;&#174; Application Program System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain PII collected by other federal, state, local, tribal, territorial, or foreign government agencies. The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), has exempted this system from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f). Where a record received from another system has been exempted in that source system under 5 U.S.C. 552a(k)(1) and (k)(2), DHS will claim the same exemptions for those records that are claimed for the original primary systems of records from which they originated and claims any additional exemptions set forth here. Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting also would permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (H), and (I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to the existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, potential witnesses, and confidential informants.
</p>
<p>72. [Reserved]
</p>
<p>73. The DHS/NPPD--002 Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records consists of electronic and paper records and will be used by DHS and its components. The DHS/NPPD--002 Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings thereunder; and national security and intelligence activities. The DHS/NPPD--002 Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records contains information that is collected by, on behalf of, in support of, or in cooperation with DHS and its components and may contain personally identifiable information collected by other federal, state, local, tribal, foreign, or international government agencies. The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to limitations set forth therein: 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). These exemptions are made pursuant to 5 U.S.C. 552a(k)(1) and (k)(2).
</p>
<p>In addition to records under the control of DHS, the DHS/NPPD--002 Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records may include records originating from systems of records of other law enforcement and intelligence agencies, which may be exempt from certain provisions of the Privacy Act. DHS does not, however, assert exemption from any provisions of the Privacy Act with respect to information submitted by high-risk chemical facilities.
</p>
<p>To the extent the DHS/NPPD--002 Chemical Facility Anti-Terrorism Standards Personnel Surety Program System of Records contains records originating from other systems of records, DHS will rely on the exemptions claimed for those records in the originating systems of records. Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons:
</p>
<p>(a) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest, on the part of DHS as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to law enforcement efforts and/or efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension, which would undermine the entire investigative process.
</p>
<p>(b) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of that investigation and reveal investigative interest on the part of DHS or another agency. Access to the records could permit the individual who is the subject of a record to impede the investigation, to tamper with witnesses or evidence, and to avoid detection or apprehension. Amendment of the records could interfere with ongoing investigations and law enforcement activities and would impose an unreasonable administrative burden by requiring investigations to be continually reinvestigated. In addition, permitting access and amendment to such information could disclose security-sensitive information that could be detrimental to homeland security.
</p>
<p>(c) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of federal law, the accuracy of information obtained or introduced occasionally may be unclear, or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective law enforcement, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(d) From subsections (e)(4)(G), (e)(4)(H), and (e)(4)(I) (Agency Requirements) and (f) (Agency Rules), because portions of this system are exempt from the individual access provisions of subsection (d) for the reasons noted above, and therefore DHS is not required to establish requirements, rules, or procedures with respect to such access. Providing notice to individuals with respect to existence of records pertaining to them in the system of records or otherwise setting up procedures pursuant to which individuals may access and view records pertaining to themselves in the system would undermine investigative efforts and reveal the identities of witnesses, potential witnesses, and confidential informants.
</p>
<p>[71 FR 20523, Apr. 21, 2006]
</p>
<p>Editorial Note:</p>
<p>For <i>Federal Register</i> citations affecting appendix C to part 5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at <i>www.fdsys.gov.</i></p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
	<regulations id="reg2" toc="yes">
<regulationsTitle number="44">
<heading>Emergency Management and Assistance </heading>
<regulationsChapter number="I">
<heading> Federal Emergency Management Agency, Department of Homeland Security </heading>
<regulationsPart number="6">
<heading> IMPLEMENTATION OF THE PRIVACY ACT OF 197</heading>
<xhtmlContent>
	<p><b>Subpart A—General</b>
</p>
<p>Sec.
</p>
<p>6.1 Purpose and scope of part.
</p>
<p>6.2 Definitions.
</p>
<p>6.3 Collection and use of information (Privacy Act statements).
</p>
<p>6.4 Standards of accuracy.
</p>
<p>6.5 Rules of conduct.
</p>
<p>6.6 Safeguarding systems of records.
</p>
<p>6.7 Records of other agencies.
</p>
<p>6.8 Subpoena and other legal demands.
</p>
<p>6.9 Inconsistent issuances of FEMA and/or its predecessor agencies superseded.
</p>
<p>6.10 Assistance and referrals.
</p><p><b>Subpart B--Disclosure of Records
</b></p>
<p>6.20 Conditions of disclosure.
</p>
<p>6.21 Procedures for disclosure.
</p>
<p>6.22 Accounting of disclosures.
</p><p><b>Subpart C--Individual Access to Records
</b></p>
<p>6.30 Form of requests.
</p>
<p>6.31 Special requirements for medical records.
</p>
<p>6.32 Granting access.
</p>
<p>6.33 Denials of access.
</p>
<p>6.34 Appeal of denial of access within FEMA.
</p><p><b>Subpart D--Requests To Amend Records
</b></p>
<p>6.50 Submission of requests to amend records.
</p>
<p>6.51 Review of requests to amend records.
</p>
<p>6.52 Approval of requests to amend records.
</p>
<p>6.53 Denial of requests to amend records.
</p>
<p>6.54 Agreement to alternative amendments.
</p>
<p>6.55 Appeal of denial of request to amend a record.
</p>
<p>6.56 Statement of disagreement.
</p>
<p>6.57 Judicial review.
</p><p><b>Subpart E--Report on New Systems and Alterations of Existing Systems
</b></p>
<p>6.70 Reporting requirement.
</p>
<p>6.71 Federal Register notice of establishment of new system or alteration of existing system.
</p>
<p>6.72 Effective date of new system of records or alteration of an existing system of records.
</p><p><b>Subpart F--Fees
</b></p>
<p>6.80 Records available at fee.
</p>
<p>6.81 Additional copies.
</p>
<p>6.82 Waiver of fee.
</p>
<p>6.83 Prepayment of fees.
</p>
<p>6.84 Form of payment.
</p>
<p>6.85 Reproduction fees.
</p><p><b>Subpart G--Exempt Systems of Records
</b></p>
<p>6.86 General exemptions.
</p>
<p>6.87 Specific exemptions.
</p>
<p><b>Authority:</b> 5 U.S.C. 552a; Reorganization Plan No. 3 of 1978; and E.O. 12127.
</p>
<p><b>Source:</b> 44 FR 50293, Aug. 27, 1979, unless otherwise noted.</p>
<p><b>Subpart A--General
</b></p>
<p><b>&#167; 6.1
 Purpose and scope of part.
</b></p>
<p>This part sets forth policies and procedures concerning the collection, use and dissemination of records maintained by the Federal Emergency Management Agency (FEMA) which are subject to the provision of 5 U.S.C. 552a, popularly known as the “Privacy Act of 1974” (hereinafter referred to as the Act). These policies and procedures govern only those records as defined in &#167; 6.2. Policies and procedures governing the disclosure and availability of records in general are in part 5 of this chapter. This part also covers: (a) Procedures for notification to individuals of a FEMA system of records pertaining to them; (b) guidance to individuals in obtaining information, including inspections of, and disagreement with, the content of records; (c) accounting of disclosure; (d) special requirements for medical records; and (e) fees.
</p>
<p><b>&#167; 6.2
 Definitions.
</b></p>
<p>For the purpose of this part:
</p>
<p>(a) <i>Agency</i> includes any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency (see 5 U.S.C. 552(e)).
</p>
<p>(b) <i>Individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence.
</p>
<p>(c) <i>Maintain</i> includes maintain, collect, use, and disseminate.
</p>
<p>(d) <i>Record</i> means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to those concerning education, financial transactions, medical history, and criminal or employment history, and that contains the name or other identifying particular assigned to the individual, such as a fingerprint, voiceprint, or photograph.
</p>
<p>(e) <i>System of records</i> means a group of any records under the control of an agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identification assigned to that individual.
</p>
<p>(f) <i>Statistical record</i> means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by 13 U.S.C. 8.
</p>
<p>(g) <i>Routine use</i> means, with respect to the disclosure of a record, the use of that record for a purpose which is compatible with the purpose for which it was collected.
</p>
<p>(h) <i>System manager</i> means the employee of FEMA who is responsible for the maintenance of a system of records and for the collection, use, and dissemination of information therein.
</p>
<p>(i) <i>Subject individual</i> means the individual named or discussed in a record of the individual to whom a record otherwise pertains.
</p>
<p>(j) <i>Disclosure</i> means a transfer of a record, a copy of a record, or any or all of the information contained in a record to a recipient other than the subject individual, or the review of a record by someone other than the subject individual.
</p>
<p>(k) <i>Access</i> means a transfer of a record, a copy of a record, or the information in a record to the subject individual, or the review of a record by the subject individual.
</p>
<p>(l) <i>Solicitation</i> means a request by an officer or employee of FEMA that an individual provide information about himself or herself.
</p>
<p>(m) <i>Administrator</i> means the Administrator, FEMA.
</p>
<p>(n) <i>Deputy Administrator</i> means the Deputy Administrator, FEMA, or, in the case of the absence of the Deputy Administrator, or a vacancy in that office, a person designated by the Administrator to perform the functions under this regulation of the Deputy Administrator.
</p>
<p>(o) <i>Privacy Appeals Officer</i> means the FOIA/Privacy Act Specialist or his/her designee.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 45 FR 17152, Mar. 18, 1980; 51 FR 34604, Sept. 30, 1986]
</p>
<p><b>&#167; 6.3
 Collection and use of information (Privacy Act statements).
</b></p>
<p>(a) <i>General.</i> Any information used in whole or in part in making a determination about an individual’s rights, benefits, or privileges under FEMA programs will be collected directly from the subject individual to the extent practicable. The system manager also shall ensure that information collected is used only in conformance with the provisions of the Act and these regulations.
</p>
<p>(b) <i>Solicitation of information.</i> System managers shall ensure that at the time information is solicited the solicited individual is informed of the authority for collecting that information, whether providing the information is mandatory or voluntary, the purpose for which the information will be used, the routine uses to be made of the information, and the effects on the individual, if any, of not providing the information. The Director, Records Management Division, Office of Management and Regional Administrators shall ensure that forms used to solicit information are in compliance with the Act and these regulations.
</p>
<p>(c) <i>Solicitation of Social Security numbers.</i> Before an employee of FEMA can deny to any individual a right, benefit, or privilege provided by law because such individual refuses to disclose his/her social security account number, the employee of FEMA shall ensure that either:
</p>
<p>(1) The disclosure is required by Federal statute; or
</p>
<p>(2) The disclosure of a social security number was required under a statute or regulation adopted before January 1, 1975, to verify the identity of an individual, and the social security number will become a part of a system of records in existence and operating before January 1, 1975.
</p>
<p>If solicitation of the social security number is authorized under paragraph (c) (1) or (2) of this section, the FEMA employee who requests an individual to disclose the social security account number shall first inform that individual whether that disclosure is mandatory or voluntary, by what statutory or other authority the number is solicited, and the use that will be made of it.
</p>
<p>(d) <i>Soliciting information from third parties.</i> An employee of FEMA shall inform third parties who are requested to provide information about another individual of the purposes for which the information will be used.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 47 FR 13149, Mar. 29, 1982; 48 FR 12091, Mar. 23, 1983; 50 FR 40006, Oct. 1, 1985]
</p>
<p><b>&#167; 6.4
 Standards of accuracy.
</b></p>
<p>The system manager shall ensure that all records which are used by FEMA to make determinations about any individual are maintained with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to the individual.
</p>
<p><b>&#167; 6.5
 Rules of conduct.
</b></p>
<p>Employees of FEMA involved in the design, development, operation, or maintenance of any system of records or in maintaining any record, shall conduct themselves in accordance with the rules of conduct concerning the protection of personal information in &#167; 3.25 of this chapter.
</p>
<p><b>&#167; 6.6
 Safeguarding systems of records.
</b></p>
<p>(a) Systems managers shall ensure that appropriate administrative, technical, and physical safeguards are established to ensure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained.
</p>
<p>(b) Personnel information contained in both manual and automated systems of records shall be protected by implementing the following safeguards:
</p>
<p>(1) Official personnel folders, authorized personnel operating or work folders and other records of personnel actions effected during an employee’s Federal service or affecting the employee’s status and service, including information on experience, education, training, special qualification, and skills, performance appraisals, and conduct, shall be stored in a lockable metal filing cabinet when not in use by an authorized person. A system manager may employ an alternative storage system providing that it furnished an equivalent degree of physical security as storage in a lockable metal filing cabinet.
</p>
<p>(2) System managers, at their discretion, may designate additional records of unusual sensitivity which require safeguards similar to those described in paragraph (a) of this section.
</p>
<p>(3) A system manager shall permit access to and use of automated or manual personnel records only to persons whose official duties require such access, or to a subject individual or his or her representative as provided by this part.
</p>
<p><b>&#167; 6.7
 Records of other agencies.
</b></p>
<p>If FEMA receives a request for access to records which are the primary responsibility of another agency, but which are maintained by or in the temporary possession of FEMA on behalf of that agency, FEMA will advise the requestor that the request has been forwarded to the responsible agency. Records in the custody of FEMA which are the primary responsibility of the Office of Personnel Management are governed by the rules promulgated by it pursuant to the Privacy Act.
</p>
<p><b>&#167; 6.8
 Subpoena and other legal demands.
</b></p>
<p>Access to records in systems of records by subpoena or other legal process shall be in accordance with the provisions of part 5 of this chapter.
</p>
<p><b>&#167; 6.9
 Inconsistent issuances of FEMA and/or its predecessor agencies superseded.
</b></p>
<p>Any policies and procedures in any issuances of FEMA or any of its predecessor agencies which are inconsistent with the policies and procedures in this part are superseded to the extent of that inconsistency.
</p>
<p><b>&#167; 6.10
 Assistance and referrals.
</b></p>
<p>Requests for assistance and referral to the responsible system manager or other FEMA employee charged with implementing these regulations should be made to the Privacy Appeals Officer, Federal Emergency Management Agency, Washington, DC 20472.
</p>
<p>[45 FR 17152, Mar. 18, 1980]
</p><p><b>Subpart B--Disclosure of Records
</b></p>
<p><b>&#167; 6.20
 Conditions of disclosure.
</b></p>
<p>No employee of FEMA shall disclose any record to any person or to another agency without the express written consent of the subject individual unless the disclosure is:
</p>
<p>(a) To officers or employees of FEMA who have a need for the information in the official performance of their duties;
</p>
<p>(b) Required by the provisions of the Freedom of Information Act, 5 U.S.C. 552.
</p>
<p>(c) For a routine use as published in the notices in the <i>Federal Register;</i>
</p>
<p>(d) To the Bureau of the Census for use pursuant to title 13, United States Code;
</p>
<p>(e) To a recipient who has provided FEMA with advance adequate written assurance that the record will be used solely as a statistical research or reporting record subject to the following: The record shall be transferred in a form that is not individually identifiable. The written statement should include as a minimum (1) a statement of the purpose for requesting the records; and (2) certification that the records will be used only for statistical purposes. These written statements should be maintained as accounting records. In addition to deleting personal identifying information from records released for statistical purposes, the system manager shall ensure that the identity of the individual cannot reasonably be deduced by combining various statistical records;
</p>
<p>(f) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of The National Archives and Records Administration or his designee to determine whether the record has such value;
</p>
<p>(g) To another agency or instrumentality of any governmental jurisdiction within or under the control of the United States for civil or criminal law enforcement activity, if the activity is authorized by law, and if the head of the agency or instrumentality or his designated representative has made a written request to the Administrator specifying the particular portion desired and the law enforcement activity for which the record is sought;
</p>
<p>(h) To a person showing compelling circumstances affecting the health and safety of an individual to whom the record pertains. (Upon such disclosure, a notification must be sent to the last known address of the subject individual.)
</p>
<p>(i) To either House of Congress or to a subcommittee or committee (joint or of either House, to the extent that the subject matter falls within their jurisdiction;
</p>
<p>(j) To the Comptroller General or any duly authorized representatives of the Comptroller General in the course of the performance of the duties of the Government Accountability Office; or
</p>
<p>(k) Pursuant to the order of a court of competent jurisdiction.
</p>
<p>(l) To consumer reporting agencies as defined in the Fair Credit Reporting Act (35 U.S.C. 1681a(f) or the Debt Collection Act of 1982 (31 U.S.C. 3711(d)(4)).
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 48 FR 44543, Sept. 29, 1983; 50 FR 40006, Oct. 1, 1985]
</p>
<p><b>&#167; 6.21
 Procedures for disclosure.
</b></p>
<p>(a) Upon receipt of a request for disclosure, the system manager shall verify the right of the requestor to obtain disclosure pursuant to &#167; 6.20. Upon that verification and subject to other requirements of this part, the system manager shall make the requested records available.
</p>
<p>(b) If the system manager determines that the disclosure is not permitted under the provisions of &#167; 6.20 or other provisions of this part, the system manager shall deny the request in writing and shall inform the requestor of the right to submit a request for review and final determination to the Administrator or designee.
</p>
<p><b>&#167; 6.22
 Accounting of disclosures.
</b></p>
<p>(a) Except for disclosures made pursuant to &#167; 6.20 (a) and (b), an accurate accounting of each disclosure shall be made and retained for 5 years after the disclosure or for the life of the record, whichever is longer. The accounting shall include the date, nature, and purpose of each disclosure, and the name and address of the person or agency to whom the disclosure is made;
</p>
<p>(b) The system manager also shall maintain in conjunction with the accounting of disclosures;
</p>
<p>(1) A full statement of the justification for the disclosure.
</p>
<p>(2) All documentation surrounding disclosure of a record for statistical or law enforcement purposes; and
</p>
<p>(3) Evidence of written consent to a disclosure given by the subject individual.
</p>
<p>(c) Except for the accounting of disclosures made to agencies or instrumentalities in law enforcement activities in accordance with &#167; 6.20 (g) or of disclosures made from exempt systems the accounting of disclosures shall be made available to the individual upon request. Procedures for requesting access to the accounting are in subpart C of this part.
</p><p><b>Subpart C--Individual Access to Records
</b></p>
<p><b>&#167; 6.30
 Form of requests.
</b></p>
<p>(a) An individual who seeks access to his or her record or to any information pertaining to the individual which is contained in a system of records should notify the system manager at the address indicated in the <i>Federal Register</i> notice describing the pertinent system. The notice should bear the legend “Privacy Act Request” both on the request letter and on the envelope. It will help in the processing of a request if the request letter contains the complete name and identifying number of the system as published in the <i>Federal Register;</i> the full name and address of the subject individual; a brief description of the nature, time, place, and circumstances of the individual’s association with FEMA; and any other information which the individual believes would help the system manager to determine whether the information about the individual is included in the system of records. The system manager shall answer or acknowledge the request within 10 workdays of its receipt by FEMA.
</p>
<p>(b) The system manager, at his discretion, may accept oral requests for access subject to verification of identity.
</p>
<p><b>&#167; 6.31
 Special requirements for medical records.
</b></p>
<p>(a) A system manager who receives a request from an individual for access to those official medical records which belong to the U.S. Office of Personnel Management and are described in Chapter 339, Federal Personnel Manual (medical records about entrance qualifications or fitness for duty, or medical records which are otherwise filed in the Official Personnel Folder), shall refer the pertinent system of records to a Federal Medical Officer for review and determination in accordance with this section. If no Federal Medical Officer is available to make the determination required by this section, the system manager shall refer the request and the medical reports concerned to the Office of Personnel Management for determination.
</p>
<p>(b) If, in the opinion of a Federal Medical Officer, medical records requested by the subject individual indicate a condition about which a prudent physician would hesitate to inform a person suffering from such a condition of its exact nature and probable outcome, the system manager shall not release the medical information to the subject individual nor to any person other than a physician designated in writing by the subject individual, or the guardian or conservator of the individual.
</p>
<p>(c) If, in the opinion of a Federal Medical Officer, the medical information does not indicate the presence of any condition which would cause a prudent physician to hesitate to inform a person suffering from such a condition of its exact nature and probable outcome, the system manager shall release it to the subject individual or to any person, firm, or organization which the individual authorizes in writing to receive it.
</p>
<p><b>&#167; 6.32
 Granting access.
</b></p>
<p>(a) Upon receipt of a request for access to non-exempt records, the system manager shall make these records available to the subject individual or shall acknowledge the request within 10 workdays of its receipt by FEMA. The acknowledgment shall indicate when the system manager will make the records available.
</p>
<p>(b) If the system manager anticipates more than a 10 day delay in making a record available, he or she also shall include in the acknowledgment specific reasons for the delay.
</p>
<p>(c) If a subject individual’s request for access does not contain sufficient information to permit the system manager to locate the records, the system manager shall request additional information from the individual and shall have 10 workdays following receipt of the additional information in which to make the records available or to acknowledge receipt of the request and indicate when the records will be available.
</p>
<p>(d) Records will be available for authorized access during normal business hours at the offices where the records are located. A requestor should be prepared to identify himself or herself by signature; i.e., to note by signature the date of access and/or produce other identification verifying the signature.
</p>
<p>(e) Upon request, a system manager shall permit an individual to examine the original of a non-exempt record, shall provide the individual with a copy of the record, or both. Fees shall be charged in accordance with subpart F.
</p>
<p>(f) An individual may request to pick up a record in person or to receive it by mail, directed to the name and address provided by the individual in the request. A system manager shall not make a record available to a third party for delivery to the subject individual except for medical records as outlined in &#167; 6.31.
</p>
<p>(g) An individual who selects another person to review, or to accompany the individual in reviewing or obtaining a copy of the record must, prior to the disclosure, sign a statement authorizing the disclosure of the record. The system manager shall maintain this statement with the record.
</p>
<p>(h) The procedure for access to an accounting of disclosure is identical to the procedure for access to a record as set forth in this section.
</p>
<p><b>&#167; 6.33
 Denials of access.
</b></p>
<p>(a) A system manager may deny an individual access to that individual’s record only upon the grounds that FEMA has published the rules in the <i>Federal Register</i> exempting the pertinent system of records from the access requirement. These exempt systems of records are described in subpart G of this part.
</p>
<p>(b) Upon receipt of a request for access to a record which the system manager believes is contained within an exempt system of records he or she shall forward the request to the appropriate official listed below or to his or her delegate through normal supervisory channels.
</p>
<p>(1) Deputy Administrators.
</p>
<p>(2) [Reserved]
</p>
<p>(3) Federal Insurance Administrator.
</p>
<p>(4) Assistant Administrators.
</p>
<p>(5) United States Fire Administrator.
</p>
<p>(6) Chief of Staff.
</p>
<p>(7) Office Directors.
</p>
<p>(8) Chief Counsel.
</p>
<p>(9) [Reserved]
</p>
<p>(10) Chief Financial Officer.
</p>
<p>(11) Regional Administrators.
</p>
<p>(c) In the event that the system manager serves in one of the positions listed in paragraph (b) of this section, he or she shall retain the responsibility for denying or granting the request.
</p>
<p>(d) The appropriate official listed in paragraph (b) of this section shall, in consultation with the Office of Chief Counsel and such other officials as deemed appropriate, determine if the request record is contained within an exempt system of records and:
</p>
<p>(1) If the record is not contained within an exempt system of records, the above official shall notify the system manager to grant the request in accordance with &#167; 6.32, or
</p>
<p>(2) If the record is contained within an exempt system said official shall;
</p>
<p>(i) Notify the requestor that the request is denied, including a statement justifying the denial and advising the requestor of a right to judicial review of that decision as provided in &#167; 6.57, or
</p>
<p>(ii) Notify the system manager to make record available to the requestor in accordance with &#167; 6.31, notwithstanding the record’s inclusion within an exempt system.
</p>
<p>(e) The appropriate official listed in paragraph (b) of this section shall provide the Privacy Appeals Office with a copy of any denial of a requested access.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 48 FR 44543, Sept. 29, 1983; 50 FR 40006, Oct. 1, 1985; 51 FR 34604, Sept. 30, 1986; 74 FR 15334, Apr. 3, 2009]
</p>
<p><b>&#167; 6.34
 Appeal of denial of access within FEMA.
</b></p>
<p>A requestor denied access in whole or in part, to records pertaining to that individual, exclusive of those records for which the system manager is the Administrator, may file an administrative appeal of that denial. Appeals of denied access will be processed in the same manner as processing for appeals from a denial of a request to amend a record set out in &#167; 6.55, regardless whether the denial being appealed is made at headquarters or by a regional official.
</p><p><b>Subpart D--Requests To Amend Records
</b></p>
<p><b>&#167; 6.50
 Submission of requests to amend records.
</b></p>
<p>An individual who desires to amend any record containing personal information about the individual should direct a written request to the system manager specified in the pertinent <i>Federal Register</i> notice concerning FEMA’s systems of records. A current FEMA employee who desires to amend personnel records should submit a written request to the Director, Human Capital Division, Washington, DC 20472. Each request should include evidence of and justification for the need to amend the pertinent record. Each request should bear the legend “Privacy Act--Request to Amend Record” prominently marked on both the face of the request letter and the envelope.
</p>
<p><b>&#167; 6.51
 Review of requests to amend records.
</b></p>
<p>(a) The system manager shall acknowledge the receipt of a request to amend a record within 10 workdays. If possible, the acknowledgment shall include the system manager’s determination either to amend the record or to deny the request to amend as provided in &#167; 6.53.
</p>
<p>(b) When reviewing a record in response to a request to amend, the system manager shall assess the accuracy, relevance, timeliness, and completeness of the existing record in light of the proposed amendment and shall determine whether the request for the amendment is justified. With respect to a request to delete information, the system manager also shall review the request and the existing record to determine whether the information is relevant and necessary to accomplish an agency purpose required to be accomplished by statute or Executive Order.
</p>
<p><b>&#167; 6.52
 Approval of requests to amend records.
</b></p>
<p>If the system manager determines that amendment of a record is proper in accordance with the request to amend, he or she promptly shall make the necessary corrections to the record and shall send a copy of the corrected record to the individual. Where an accounting of disclosure has been maintained, the system manager shall advise all previous recipients of the record of the fact that a correction has been made and the substance of the correction. Where practicable, the system manager shall advise the Privacy Appeals Officer that a request to amend has been approved.
</p>
<p><b>&#167; 6.53
 Denial of requests to amend records.
</b></p>
<p>(a) If the system manager determines that an amendment of a record is improper or that the record should be amended in a manner other than that requested by an individual, he shall refer the request to amend and his determinations and recommendations to the appropriate official listed in &#167; 6.33(b) through normal supervisory channels.
</p>
<p>(b) If the official listed in &#167; 6.33, after reviewing the request to amend a record, determines to amend the record in accordance with the request, said official promptly shall return the request to the system manager with instructions to make the requested amendments in accordance with &#167; 6.52.
</p>
<p>(c) If the appropriate official listed in &#167; 6.33, after reviewing the request to amend a record, determines not to amend the record in accordance with the request, the requestor shall be promptly advised in writing of the determination. The refusal letter (1) shall state the reasons for the denial of the request to amend; (2) shall include proposed alternative amendments, if appropriate; (3) shall state the requestor’s right to appeal the denial of the request to amend; and (4) shall state the procedures for appealing and the name and title of the official to whom the appeal is to be addressed.
</p>
<p>(d) The appropriate official listed in &#167; 6.33 shall furnish the Privacy Appeals Officer a copy of each initial denial of a request to amend a record.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 45 FR 17152, Mar. 18, 1980]
</p>
<p><b>&#167; 6.54
 Agreement to alternative amendments.
</b></p>
<p>If the denial of a request to amend a record includes proposed alternative amendments, and if the requestor agrees to accept them, he or she must notify the official who signed the denial. That official immediately shall instruct the system manager to make the necessary amendments in accordance with &#167; 6.52.
</p>
<p><b>&#167; 6.55
 Appeal of denial of request to amend a record.
</b></p>
<p>(a) A requestor who disagrees with a denial of a request to amend a record may file an administrative appeal of that denial. The requestor should address the appeal to the FEMA Privacy Appeals Officer, Washington, DC 20472. If the requestor is an employee of FEMA and the denial to amend involves a record maintained in the employee’s Official Personnel Folder covered by an Office of Personnel Management Government-wide system notice, the appeal should be addressed to the Assistant Director, Information Systems, Agency Compliance and Evaluation Group, Office of Personnel Management, Washington, DC 20415.
</p>
<p>(b) Each appeal to the Privacy Act Appeals Officer shall be in writing and must be received by FEMA no later than 30 calendar days from the requestor’s receipt of a denial of a request to amend a record. The appeal should bear the legend “Privacy Act--Appeal,” both on the face of the letter and the envelope.
</p>
<p>(c) Upon receipt of an appeal, the Privacy Act Appeals Officer shall consult with the system manager, the official who made the denial, the Chief Counsel or a member of that office, and such other officials as may be appropriate. If the Privacy Act Appeals Officer in consultation with these officials, determines that the record should be amended, as requested, the system manager shall be instructed immediately to amend the record in accordance with &#167; 6.52 and shall notify the requestor of that action.
</p>
<p>(d) If the Privacy Act Appeals Officer, in consultation with the officials specified in paragraph (c) of this section, determines that the appeal should be rejected, the Privacy Act Appeals Officer shall submit the file on the request and appeal, including findings and recommendations, to the Deputy Administrator for a final administrative determination.
</p>
<p>(e) If the Deputy Administrator determines that the record should be amended as requested, he or she immediately shall instruct the system manager in writing to amend the record in accordance with &#167; 6.52. The Deputy Administrator shall send a copy of those instructions to the Privacy Act Appeals Officer, who shall notify the requester of that action.
</p>
<p>(f) If the Deputy Administrator determines to reject the appeal, the requestor shall immediately be notified in writing of that determination. This action shall constitute the final administrative determination on the request to amend the record and shall include:
</p>
<p>(1) The reasons for the rejection of the appeal.
</p>
<p>(2) Proposed alternative amendments, if appropriate, which the requestor subsequently may accept in accordance with &#167; 6.54.
</p>
<p>(3) Notice of the requestor’s right to file a Statement of Disagreement for distribution in accordance with &#167; 6.56.
</p>
<p>(4) Notice of the requestor’s right to seek judicial review of the final administrative determination, as provided in &#167; 6.57.
</p>
<p>(g) The final agency determination must be made no later than 30 workdays from the date on which the appeal is received by the Privacy Act Appeals Officer.
</p>
<p>(h) In extraordinary circumstances, the Administrator may extend this time limit by notifying the requestor in writing before the expiration of the 30 workdays. The Administrator’s notification will include a justification for the extension.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 45 FR 17152, Mar. 18, 1980]
</p>
<p><b>&#167; 6.56
 Statement of disagreement.
</b></p>
<p>Upon receipt of a final administrative determination denying a request to amend a record, the requestor may file a Statement of Disagreement with the appropriate system manager. The Statement of Disagreement should include an explanation of why the requestor believes the record to be inaccurate, irrelevant, untimely, or incomplete. The system manager shall maintain the Statement of Disagreement in conjunction with the pertinent record, and shall include a copy of the Statement of Disagreement in any disclosure of the pertinent record. The system manager shall provide a copy of the Statement of Disagreement to any person or agency to whom the record has been disclosed only if the disclosure was subject to the accounting requirements of &#167; 6.22.
</p>
<p><b>&#167; 6.57
 Judicial review.
</b></p>
<p>Within 2 years of receipt of a final administrative determination as provided in &#167; 6.34 or &#167; 6.55, a requestor may seek judicial review of that determination. A civil action must be filed in the Federal District Court in which the requestor resides or has his or her principal place of business or in which the agency records are situated, or in the District of Columbia.
</p><p><b>Subpart E--Report on New Systems and Alterations of Existing Systems
</b></p>
<p><b>&#167; 6.70
 Reporting requirement.
</b></p>
<p>(a) No later than 90 calendar days prior to the establishment of a new system of records, the prospective system manager shall notify the Privacy Appeals Officer of the proposed new system. The prospective system manager shall include with the notification a completed FEMA Form 11-2, System of Records Covered by the Privacy Act of 1974, and a justification for each system of records proposed to be established. If the Privacy Appeals Officer determines that the establishment of the proposed system is in the best interest of the Government, then no later than 60 calendar days prior to the establishment of that system of records, a report of the proposal shall be submitted by the Administrator or a designee thereof, to the President of the Senate, the Speaker of the House of Representatives, and the Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget for their evaluation of the probable or potential effect of that proposal on the privacy and other personal or property rights of individuals.
</p>
<p>(b) No later than 90 calendar days prior to the alteration of a system of records, the system manager responsible for the maintenance of that system of records shall notify the Privacy Appeals Officer of the proposed alteration. The system manager shall include with the notification a completed FEMA Form 11-2. System of Records Covered by the Privacy Act of 1974, and a justification for each system of records he proposes to alter. If it is determined that the proposed alteration is in the best interest of the Government, then, the Administrator, or a designee thereof, shall submit, no later than 60 calendar days prior to the establishment of that alteration, a report of the proposal to the President of the Senate, the Speaker of the House of Representatives, and the Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget for their evaluation of the probable or potential effect of that proposal on the privacy and other personal or property rights of individuals.
</p>
<p>(c) The reports required by this regulation are exempt from reports control.
</p>
<p>(d) The Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget may waive the time requirements set out in this section upon a finding that a delay in the establishing or amending the system would not be in the public interest and showing how the public interest would be adversely affected if the waiver were not granted and otherwise complying with OMB Circular A-130.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 45 FR 17152, Mar. 18, 1980; 51 FR 34604, Sept. 30, 1986]
</p>
<p><b>&#167; 6.71
 Federal Register notice of establishment of new system or alteration of existing system.
</b></p>
<p>Notice of the proposed establishment or alteration of a system of records shall be published in the <i>Federal Register,</i> in accordance with FEMA procedures when:
</p>
<p>(a) Notice is received that the Senate, the House of Representatives, and the Office of Management and Budget do not object to the establishment of a new system or records or to the alteration of an existing system of records, or
</p>
<p>(b) No fewer than 30 calendar days elapse from the date of submission of the proposal to the Senate, the House of Representatives, and the Office of Management and Budget without receipt of an objection to the proposal. The notice shall include all of the information required to be provided in FEMA Form 11-2, System of Records Covered by the Privacy Act of 1974, and such other information as the Administrator deems necessary.
</p>
<p><b>&#167; 6.72
 Effective date of new system of records or alteration of an existing system of records.
</b></p>
<p>Systems of records proposed to be established or altered in accordance with the provisions of this subpart shall be effective no sooner than 30 calendar days from the publication of the notice required by &#167; 6.71.
</p><p><b>Subpart F--Fees
</b></p>
<p><b>&#167; 6.80
 Records available at fee.
</b></p>
<p>The system manager shall provide a copy of a record to a requestor at a fee prescribed in &#167; 6.85 unless the fee is waived under &#167; 6.82.
</p>
<p>[44 FR 50293, Aug. 27, 1979, as amended at 45 FR 17152, Mar. 18, 1980]
</p>
<p><b>&#167; 6.81
 Additional copies.
</b></p>
<p>A reasonable number of additional copies shall be provided for the applicable fee to a requestor who indicates that he has no access to commercial reproduction services.
</p>
<p><b>&#167; 6.82
 Waiver of fee.
</b></p>
<p>The system manager shall make one copy of a record, up to 300 pages, available without charge to a requestor who is an employee of FEMA. The system manager may waive the fee requirement for any other requestor if the cost of collecting the fee is an unduly large part of, or greater than, the fee, or when furnishing the record without charge conforms to generally established business custom or is in the public interest.
</p>
<p>[44 FR 50287, Aug. 27, 1979, as amended at 52 FR 13679, Apr. 24, 1987]
</p>
<p><b>&#167; 6.83
 Prepayment of fees.
</b></p>
<p>(a) When FEMA estimates or determines that allowable charges that a requester may be required to pay are likely to exceed $250.00, FEMA may require a requester to make an advance payment of the entire fee before continuing to process the request.
</p>
<p>(b) When a requester has previously failed to pay a fee charged in a timely fashion (i.e., within 30 days of the date of the billing), FEMA may require the requester to pay the full amount owed plus any applicable interest as provided in &#167; 6.85(d), and to make an advance payment of the full amount of the estimated fee before the agency begins to process a new request or a pending request from that requester.
</p>
<p>(c) When FEMA acts under &#167; 5.44 (a) or (b), the administrative time limits prescribed in subsection (a)(6) of the FOIA (i.e., 10 working days from the receipt of initial requests and 20 working days from receipt of appeals from initial denial, plus permissible extensions of these time limits) will begin only after FEMA has received fee payments described under &#167; 5.44 (a) or (b).
</p>
<p>[52 FR 13679, Apr. 24, 1987]
</p>
<p><b>&#167; 6.84
 Form of payment.
</b></p>
<p>Payment shall be by check or money order payable to The Federal Emergency Management Agency and shall be addressed to the system manager.
</p>
<p><b>&#167; 6.85
 Reproduction fees.
</b></p>
<p>(a) <i>Duplication costs.</i> (1) For copies of documents reproduced on a standard office copying machine in sizes up to 8 1/2 x 14 inches, the charge will be $.15 per page.
</p>
<p>(2) The fee for reproducing copies of records over 8 1/2 x 14 inches or whose physical characteristics do not permit reproduction by routine electrostatic copying shall be the direct cost of reproducing the records through Government or commercial sources. If FEMA estimates that the allowable duplication charges are likely to exceed $25, it shall notify the requester of the estimated amount of fees, unless the requester has indicated in advance his/her willingness to pay fees as high as those anticipated. Such a notice shall offer a requester the opportunity to confer with agency personnel with the objective of reformulating the request to meet his/her needs at a lower cost.
</p>
<p>(3) For other methods of reproduction or duplication, FEMA shall charge the actual direct costs of producing the document(s). If FEMA estimates that the allowable duplication charges are likely to exceed $25, it shall notify the requester of the estimated amount of fees, unless the requester has indicated in advance his/her willingness to pay fees as high as those anticipated. Such a notice shall offer a requester the opportunity to confer with agency personnel with the objective of reformulating the request to meet his/her needs at a lower cost.
</p>
<p>(b) Interest may be charge to those requesters who fail to pay fees charged. FEMA may begin assessing interest charges on the amount billed starting on the 31st day following the day on which the billing was sent. Interest will be at the rate prescribed in section 3717 of title 31 U.S.C.
</p>
<p>[52 FR 13679, Apr. 24, 1987]
</p><p><b>Subpart G--Exempt Systems of Records
</b></p>
<p><b>&#167; 6.86
 General exemptions.
</b></p>
<p>(a) Whenever the Administrator, Federal Emergency Management Agency, determines it to be necessary and proper, with respect to any system of records maintained by the Federal Emergency Management Agency, to exercise the right to promulgate rules to exempt such systems in accordance with the provisions of 5 U.S.C. 552a (j) and (k), each specific exemption, including the parts of each system to be exempted, the provisions of the Act from which they are exempted, and the justification for each exemption shall be published in the <i>Federal Register</i> as part of FEMA’s Notice of Systems of Records.
</p>
<p>(b) Exempt under 5 U.S.C. 552a(j)(2) from the requirements of 5 U.S.C. 552a(c) (3) and (4), (d), (e) (1), (2), (3), (e)(4) (G), (H), and (I), (e) (5) and (8) (f) and (g) of the Privacy Act.
</p>
<p>(1) <i>Exempt systems.</i> The following systems of records, which contain information of the type described in 5 U.S.C. 552(j)(2), shall be exempt from the provisions of 5 U.S.C. 552a listed in paragraph (b) of this section.
</p>
<p>General Investigative Files (FEMA/IG-2)--Limited Access
</p>
<p>(2) <i>Reasons for exemptions.</i> (i) 5 U.S.C. 552a (e)(4)(G) and (f)(1) enable individuals to be notified whether a system of records contains records pertaining to them. The Federal Emergency Management Agency believes that application of these provisions to the above-listed system of records would give individuals an opportunity to learn whether they are of record either as suspects or as subjects of a criminal investigation; this would compromise the ability of the Federal Emergency Management Agency to complete investigations and identify or detect violators of laws administered by the Federal Emergency Management Agency or other Federal agencies. Individuals would be able (A) to take steps to avoid detection, (B) to inform co-conspirators of the fact that an investigation is being conducted, (C) to learn the nature of the investigation to which they are being subjected, (D) to learn the type of surveillance being utilized, (E) to learn whether they are only suspects or identified law violators, (F) to continue to resume their illegal conduct without fear of detection upon learning that they are not in a particular system of records, and (G) to destroy evidence needed to prove the violation.
</p>
<p>(ii) 5 U.S.C. 552a (d)(1), (e)(4)(H) and (f)(2), (3) and (5) enable individuals to gain access to records pertaining to them. The Federal Emergency Management Agency believes that application of these provisions to the above-listed system of records would compromise its ability to complete or continue criminal investigations and to detect or identify violators of laws administered by the Federal Emergency Management Agency or other Federal agencies. Permitting access to records contained in the above-listed system of records would provide individuals with significant information concerning the nature of the investigation, and this could enable them to avoid detection or apprehension in the following ways:
</p>
<p>(A) By discovering the collection of facts which would form the basis for their arrest, (B) by enabling them to destroy evidence of criminal conduct which would form the basis for their arrest, and (C) by learning that the criminal investigators had reason to believe that a crime was about to be committed, they could delay the commission of the crime or change the scene of the crime to a location which might not be under surveillance. Granting access to ongoing or closed investigative files would also reveal investigative techniques and procedures, the knowledge of which could enable individuals planning criminal activity to structure their future operations in such a way as to avoid detection or apprehension, thereby neutralizing law enforcement officers’ established investigative tools and procedures. Further, granting access to investigative files and records could disclose the identity of confidential sources and other informers and the nature of the information which they supplied, thereby endangering the life or physical safety of those sources of information by exposing them to possible reprisals for having provided information relating to the criminal activities of those individuals who are the subjects of the investigative files and records; confidential sources and other informers might refuse to provide criminal investigators with valuable information if they could not be secure in the knowledge that their identities would not be revealed through disclosure of either their names or the nature of the information they supplied, and this would seriously impair the ability of the Federal Emergency Management Agency to carry out its mandate to enforce criminal and related laws. Additionally, providing access to records contained in the above-listed system of records could reveal the identities of undercover law enforcement personnel who compiled information regarding individual’s criminal activities, thereby endangering the life or physical safety of those undercover personnel or their families by exposing them to possible reprisals.
</p>
<p>(iii) 5 U.S.C. 552a(d) (2), (3) and (4), (e)(4)(H) and (f)(4), which are dependent upon access having been granted to records pursuant to the provisions cited in paragraph (b)(2)(ii) of this section, enable individuals to contest (seek amendment to) the content of records contained in a system of records and require an agency to note an amended record and to provide a copy of an individual’s statement (of disagreement with the agency’s refusal to amend a record) to persons or other agencies to whom the record has been disclosed. The Federal Emergency Management Agency believes that the reasons set forth in paragraph (b)(2)(ii) of this section are equally applicable to this paragraph and, accordingly, those reasons are hereby incorporated herein by reference.
</p>
<p>(iv) 5 U.S.C. 552a(c)(3) requires that an agency make accountings of disclosures of records available to individuals named in the records at their request; such accountings must state the date, nature and purpose of each disclosure of a record and the name and address of the recipient. The Federal Emergency Management Agency believes that application of this provision to the above-listed system of records would impair the ability of other law enforcement agencies to make effective use of information provided by the Federal Emergency Management Agency in connection with the investigation, detection and apprehension of violators of the criminal laws enforced by those other law enforcement agencies. Making accountings of disclosure available to violators or possible violators would alert those individuals to the fact that another agency is conducting an investigation into their criminal activities, and this could reveal the geographic location of the other agency’s investigation, the nature and purpose of that investigation, and the dates on which that investigation was active. Violators possessing such knowledge would thereby be able to take appropriate measures to avoid detection or apprehension by altering their operations, by transferring their criminal activities to other geographic areas or by destroying or concealing evidence which would form the basis for their arrest. In addition, providing violators with accountings of disclosure would alert those individuals to the fact that the Federal Emergency Management Agency has information regarding their criminal activities and could inform those individuals of the general nature of that information; this, in turn, would afford those individuals a better opportunity to take appropriate steps to avoid detection or apprehension for violations of criminal and related laws.
</p>
<p>(v) 5 U.S.C. 552a(c)(4) requires that an agency inform any person or other agency about any correction or notation of dispute made by the agency in accordance with 5 U.S.C. 552a(d) of any record that has been disclosed to the person or agency if an accounting of the disclosure was made. Since this provision is dependent on an individual’s having been provided an opportunity to contest (seek amendment to) records pertaining to him/her, and since the above-listed system of records is proposed to be exempt from those provisions of 5 U.S.C. 552a relating to amendments of records as indicated in paragraph (b)(2)(iii) of this section, the Federal Emergency Management Agency believes that this provision should not be applicable to the above system of records.
</p>
<p>(vi) 5 U.S.C. 552a(e)(4)(I) requires that an agency publish a public notice listing the categories of sources for information contained in a system of records. The categories of sources of this system of records have been published in the <i>Federal Register</i> in broad generic terms in the belief that this is all that subsection (e)(4)(I) of the Act requires. In the event, however, that this subsection should be interpreted to require more detail as to the identity of sources of the records in this system, exemption from this provision is necessary in order to protect the confidentiality of the sources of criminal and other law enforcement information. Such exemption is further necessary to protect the privacy and physical safety of witnesses and informants.
</p>
<p>(vii) 5 U.S.C. 552a(e)(1) requires that an agency maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required to be accomplished by statute or executive order. The term <i>maintain</i> as defined in 5 U.S.C. 552a(a)(3) includes “collect” and “disseminate.” At the time that information is collected by the Federal Emergency Management Agency, there is often insufficient time to determine whether the information is relevant and necessary to accomplish a purpose of the Federal Emergency Management Agency; in many cases information collected may not be immediately susceptible to a determination of whether the information is relevant and necessary, particularly in the early stages of an investigation, and in many cases, information which initially appears to be irrelevant or unnecessary may, upon further evaluation or upon continuation of the investigation, prove to have particular relevance to an enforcement program of the Federal Emergency Management Agency. Further, not all violations of law discovered during a criminal investigation fall within the investigative jurisdiction of the Federal Emergency Management Agency; in order to promote effective law enforcement, it often becomes necessary and desirable to disseminate information pertaining to such violations to other law enforcement agencies which have jurisdiction over the offense to which the information relates. The Federal Emergency Management Agency should not be placed in a position of having to ignore information relating to violations of law not within its jurisdiction when that information comes to the attention of the Federal Emergency Management Agency through the conduct of a lawful FEMA investigation. The Federal Emergency Management Agency, therefore, believes that it is appropriate to exempt the above-listed system of records from the provisions of 5 U.S.C. 552a(e)(1).
</p>
<p>(viii) 5 U.S.C. 552a(e)(2) requires that an agency collect information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual’s rights, benefits, and privileges under Federal programs. The Federal Emergency Management Agency believes that application of this provision to the above-listed system of records would impair the ability of the Federal Emergency Management Agency to conduct investigations and to identify or detect violators of criminal or related laws for the following reasons:
</p>
<p>(A) Most information collected about an individual under criminal investigations is obtained from third parties such as witnesses and informers, and it is usually not feasible to rely upon the subject of the investigation as a source for information regarding his/her criminal activities, (B) an attempt to obtain information from the subject of a criminal investigation will often alert that individual to the existence of an investigation, thereby affording the individual an opportunity to attempt to conceal his/her criminal activities so as to avoid apprehension, (C) in certain instances, the subject of a criminal investigation is not required to supply information to criminal investigators as a matter of legal duty, and (D) during criminal investigations it is often a matter of sound investigative procedures to obtain information from a variety of sources in order to verify information already obtained.
</p>
<p>(ix) 5 U.S.C. 552a(e)(3) requires that an agency inform each individual whom it asks to supply information, either on the form which the agency uses to collect the information or on a separate form which can be retained by the individual, with the following information: The authority which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary; the principal purposes for which the information is intended to be used; the routine uses which may be made of the information; and the effects on the individual of not providing all or part of the requested information. The Federal Emergency Management Agency believes that the above-listed system of records should be exempted from this provision in order to avoid adverse effects on its ability to identify or detect violators of criminal or related laws. In many cases, information is obtained by confidential sources, other informers or undercover law enforcement officers under circumstances where it is necessary that the true purpose of their actions be kept secret so as to avoid alerting the subject of the investigation or his/her associates that a criminal investigation is in process. Further, if it became known that the undercover officer was assisting in a criminal investigation, that officer’s life or physical safety could be endangered through reprisal, and, under such circumstances it may not be possible to continue to utilize that officer in the investigation. In many cases, individuals, for personal reasons, would feel inhibited in talking to a person representing a criminal law enforcement agency but would be willing to talk to a confidential source or undercover officer who they believe is not involved in law enforcement activities. In addition, providing a source of information with written evidence that he was a source, as required by this provision, could increase the likelihood that the source of information would be the subject of retaliatory action by the subject of the investigation. Further, application of this provision could result in an unwarranted invasion of the personal privacy of the subject of the criminal investigation, particularly where further investigation would result in a finding that the subject was not involved in any criminal activity.
</p>
<p>(x) 5 U.S.C. 552a(e)(5) requires that an agency maintain all records used by the agency in making any determination about any individual with such accuracy, relevance, timeliness and completeness as is reasonably necessary to assure fairness to the individual in the determination. Since 5 U.S.C. 552a(a)(3) defines “maintain” to include “collect” and “disseminate,” application of this provision to the above-listed system of records would hinder the initial collection of any information which could not, at the moment of collection, be determined to be accurate, relevant, timely and complete. Similarly, application of this provision would seriously restrict the necessary flow of information from the Federal Emergency Management Agency to other law enforcement agencies when a FEMA investigation revealed information pertaining to a violation of law which was under investigative jurisdiction of another agency. In collecting information during the course of a criminal investigation, it is not possible or feasible to determine accuracy, relevance, timeliness or completeness prior to collection of the information; in disseminating information to other law enforcement agencies it is often not possible to determine accuracy, relevance, timeliness or completeness prior to dissemination because the disseminating agency may not have the expertise with which to make such determinations. Further, information which may initially appear to be inaccurate, irrelevant, untimely or incomplete may, when gathered, grouped, and evaluated with other available information, become more pertinent as an investigation progresses. In addition, application of this provision could seriously impede criminal investigators and intelligence analysts in the exercise of their judgment in reporting on results obtained during criminal investigations. The Federal Emergency Management Agency believes that it is appropriate to exempt the above-listed system of records from the provisions of 5 U.S.C. 552a(e)(5).
</p>
<p>(xi) 5 U.S.C. 552a(e)(8) requires that an agency make reasonable effort to serve notice on an individual when any record on the individual is made available to any person under compulsory legal process when such process becomes a matter of public record. The Federal Emergency Management Agency believes that the above-listed system of records should be exempt from this provision in order to avoid revealing investigative techniques and procedures outlined in those records and in order to prevent revelation of the existence on an on-going investigation where there is a need to keep the existence of the investigation secret.
</p>
<p>(xii) 5 U.S.C. 552a(g) provides civil remedies to an individual for an agency’s refusal to amend a record or to make a review of a request for amendment; for an agency’s refusal to grant access to a record; for an agency’s failure to maintain accurate, relevant, timely and complete records which are used to make a determination which is adverse to the individual; and for an agency’s failure to comply with any other provision of 5 U.S.C. 552a in such a way as to have an adverse effect on an individual. The Federal Emergency Management Agency believes that the above-listed system of records should be exempted from this provision to the extent that the civil remedies provided therein may relate to provisions of 5 U.S.C. 552a from which the above-listed system of records is proposed to be exempt. Since the provisions of 5 U.S.C. 552a enumerated in paragraphs (b)(2)(i) through (xi) of this section are proposed to be inapplicable to the above-listed systems of records for the reasons stated therein, there should be no corresponding civil remedies for failure to comply with the requirements of those provisions to which the exemption is proposed to apply. Further, the Federal Emergency Management Agency believes that application of this provision to the above-listed system of records would adversely affect its ability to conduct criminal investigations by exposing to civil court action every stage of the criminal investigative process in which information is compiled or used in order to identify, detect, or otherwise investigate persons suspected or known to be engaged in criminal conduct.
</p>
<p>(xiii) Individuals may not have access to another agency’s records, which are contained in files maintained by the Federal Emergency Management Agency, when that other agency’s regulations provide that such records are subject to general exemption under 5 U.S.C. 552a(j). If such exempt records are within a request for access, FEMA will advise the individual of their existence and of the name and address of the source agency. For any further information concerning the record and the exemption, the individual must contact that source agency.
</p>
<p>[45 FR 64580, Sept. 30, 1980]
</p>
<p><b>&#167; 6.87
 Specific exemptions.
</b></p>
<p>(a) <i>Exempt under 5 U.S.C. 552a(k)(1).</i> The Administrator, Federal Emergency Management Agency has determined that certain systems of records may be exempt from the requirements of (c)(3) and (d) pursuant to 5 U.S.C. 552a(k)(1) to the extent that the system contains any information properly classified under Executive Order 12356 or any subsequent Executive order and which are required to be kept secret in the interest of national defense or foreign policy. To the extent that this occurs, such records in the following systems would be exempt:
</p>
<p>Claims (litigation) (FEMA/GC-1)--Limited Access
</p>
<p>FEMA Enforcement (Compliance) (FEMA/GC-2)--Limited Access
</p>
<p>General Investigative Files (FEMA/IG-1)--Limited Access
</p>
<p>Security Management Information System (FEMA/SEC-1)--Limited Access
</p>
<p>(b) <i>Exempt under 5 U.S.C. 552a(k)(2) from the requirements of 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f).</i> The Federal Emergency Management Agency will not deny individuals access to information which has been used to deny them a right, privilege, or benefit to which they would otherwise be entitled.
</p>
<p>(1) <i>Exempt systems.</i> The following systems of records, which contain information of the type described in 5 U.S.C. 552a(k)(2), shall be exempt from the provisions of 5 U.S.C. 552a(k)(2) listed in paragraph (b) of this section.
</p>
<p>Claims (litigation) (FEMA/GC-1)--Limited Access
</p>
<p>FEMA Enforcement (Compliance) (FEMA/GC-2)--Limited Access
</p>
<p>General Investigative Files (FEMA/IG-1)--Limited Access
</p>
<p>Equal Employment Opportunity Complaints of Discrimination Files (FEMA/PER-2)--Limited Access
</p>
<p>(2) <i>Reasons for exemptions.</i> (i) 5 U.S.C. 552a (e)(4)(G) and (f)(1) enable individuals to be notified whether a system of records contains records pertaining to them. The Federal Emergency Management Agency believes that application of these provisions to the above-listed systems of records would impair the ability of FEMA to successfully complete investigations and inquiries of suspected violators of civil and criminal laws and regulations under its jurisdiction. In many cases investigations and inquiries into violations of civil and criminal laws and regulations involve complex and continuing patterns of behavior. Individuals, if informed, that they have been identified as suspected violators of civil or criminal laws and regulations, would have an opportunity to take measures to prevent detection of illegal action so as to avoid prosecution or the imposition of civil sanctions. They would also be able to learn the nature and location of the investigation or inquiry, the type of surveillance being utilized, and they would be able to transmit this knowledge to co-conspirators. Finally, violators might be given the opportunity to destroy evidence needed to prove the violation under investigation or inquiry.
</p>
<p>(ii) 5 U.S.C. 552a (d)(1), (e)(4)(H) and (f)(2), (3) and (5) enable individuals to gain access to records pertaining to them. The Federal Emergency Management Agency believes that application of these provisions to the above-listed systems of records would impair its ability to complete or continue civil or criminal investigations and inquiries and to detect violators of civil or criminal laws. Permitting access to records contained in the above-listed systems of records would provide violators with significant information concerning the nature of the civil or criminal investigation or inquiry. Knowledge of the facts developed during an investigation or inquiry would enable violators of criminal and civil laws and regulations to learn the extent to which the investigation or inquiry has progressed, and this could provide them with an opportunity to destroy evidence that would form the basis for prosecution or the imposition of civil sanctions. In addition, knowledge gained through access to investigatory material could alert a violator to the need to temporarily postpone commission of the violation or to change the intended point where the violation is to be committed so as to avoid detection or apprehension. Further, access to investigatory material would disclose investigative techniques and procedures which, if known, could enable violators to structure their future operations in such a way as to avoid detection or apprehension, thereby neutralizing investigators’ established and effective investigative tools and procedures. In addition, investigatory material may contain the identity of a confidential source of information or other informer who would not want his/her identity to be disclosed for reasons of personal privacy or for fear of reprisal at the hands of the individual about whom he/she supplied information. In some cases mere disclosure of the information provided by an informer would reveal the identity of the informer either through the process of elimination or by virtue of the nature of the information supplied. If informers cannot be assured that their identities (as sources for information) will remain confidential, they would be very reluctant in the future to provide information pertaining to violations of criminal and civil laws and regulations, and this would seriously compromise the ability of the Federal Emergency Management Agency to carry out its mission. Further, application of 5 U.S.C. 552a (d)(1), (e)(4)(H) and (f)(2), (3) and (5) to the above-listed systems of records would make available attorney’s work product and other documents which contain evaluations, recommendations, and discussions of on-going civil and criminal legal proceedings; the availability of such documents could have a chilling effect on the free flow of information and ideas within the Federal Emergency Management Agency which is vital to the agency’s predecisional deliberative process, could seriously prejudice the agency’s or the Government’s position in a civil or criminal litigation, and could result in the disclosure of investigatory material which should not be disclosed for the reasons stated above. It is the belief of the Federal Emergency Management Agency that, in both civil actions and criminal prosecutions, due process will assure that individuals have a reasonable opportunity to learn of the existence of, and to challenge, investigatory records and related materials which are to be used in legal proceedings.
</p>
<p>(iii) 5 U.S.C. 552a (d)(2), (3) and (4), (e)(4)(H) and (f)(4) which are dependent upon access having been granted to records pursuant to the provisions cited in paragraph (b)(2)(ii) of this section, enable individuals to contest (seek amendment to) the content of records contained in a system of records and require an agency to note an amended record and to provide a copy of an individual’s statement (of disagreement with the agency’s refusal to amend a record) to persons or other agencies to whom the record has been disclosed. The Federal Emergency Management Agency believes that the reasons set forth in paragraphs (b)(2)(i) of this section are equally applicable to this paragraph, and, accordingly, those reasons are hereby incorporated herein by reference.
</p>
<p>(iv) 5 U.S.C. 552a(c)(3) requires that an agency make accountings of disclosures of records available to individuals named in the records at their request; such accountings must state the date, nature, and purpose of each disclosure of a record and the name and address of the recipient. The Federal Emergency Management Agency believes that application of this provision to the above-listed systems of records would impair the ability of the Federal Emergency Management Agency and other law enforcement agencies to conduct investigations and inquiries into civil and criminal violations under their respective jurisdictions. Making accountings available to violators would alert those individuals to the fact that the Federal Emergency Management Agency or another law enforcement authority is conducting an investigation or inquiry into their activities, and such accountings could reveal the geographic location of the investigation or inquiry, the nature and purpose of the investigation or inquiry and the nature of the information disclosed, and the date on which that investigation or inquiry was active. Violators possessing such knowledge would thereby be able to take appropriate measures to avoid detection or apprehension by altering their operations, transferring their activities to other locations or destroying or concealing evidence which would form the basis for prosecution or the imposition of civil sanctions.
</p>
<p>(v) 5 U.S.C. 552a(e)(1) requires that an agency maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required to be accomplished by statute or executive order. The term <i>maintain</i> as defined in 5 U.S.C. 552a(a)(3) includes “collect” and “disseminate.” At the time that information is collected by the Federal Emergency Management Agency there is often insufficient time to determine whether the information is relevant and necessary to accomplish a purpose of the Federal Emergency Management Agency; in many cases information collected may not be immediately susceptible to a determination of whether the information is relevant and necessary, particularly in the early stages of investigation or inquiry, and in many cases information which initially appears to be irrelevant or unnecessary may, upon further evaluation or upon continuation of the investigation or inquiry, prove to have particular relevance to an enforcement program of the Federal Emergency Management Agency. Further, not all violations of law uncovered during a Federal Emergency Management Agency inquiry fall within the civil or criminal jurisdiction of the Federal Emergency Management Agency; in order to promote effective law enforcement, it often becomes necessary and desirable to disseminate information pertaining to such violations to other law enforcement agencies which have jurisdiction over the offense to which the information relates. The Federal Emergency Management Agency should not be placed in a position of having to ignore information relating to violations of law not within its jurisdiction when that information comes to the attention of the Federal Emergency Management Agency through the conduct of a lawful FEMAs civil or criminal investigation or inquiry. The Federal Emergency Management Agency therefore believes that it is appropriate to exempt the above-listed systems of records from the provisions of 5 U.S.C. 552a(e)(1).
</p>
<p>(c) <i>Exempt under 5 U.S.C. 552a(k)(5).</i> The Administrator, Federal Emergency Management Agency has determined that certain systems of records are exempt from the requirements of (c)(3) and (d) of 5 U.S.C. 552a.
</p>
<p>(1) <i>Exempt systems.</i> The following systems of records, which contain information of the type described in 5 U.S.C. 552a(k)(5), shall be exempted from the provisions of 5 U.S.C. 552a listed in paragraph (c) of this section.
</p>
<p>Claims (litigation) (FEMA/GC-1)--Limited Access
</p>
<p>FEMA Enforcement (Compliance) (FEMA/GC-2)--Limited Access
</p>
<p>General Investigative Files (FEMA/IG-2)--Limited Access
</p>
<p>Security Management Information Systems (FEMA/SEC-1)--Limited Access
</p>
<p>(2) <i>Reasons for exemptions.</i> All information about individuals in these records that meet the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a (c)(3) and (d). These provisions of the Privacy Act relate to making accountings of disclosure available to the subject and access to and amendment of records. These exemptions are claimed because the system of records entitled, FEMA/SEC-1, Security Management Information System, contains investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for access to classified information or classified Federal contracts, but only to the extent that the disclosure would reveal the identity of a source who furnished information to the Government under an express promise or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence. During the litigation process and investigations, it is possible that certain records from the system of records entitled, FEMA/SEC-1, Security Management System may be necessary and relevant to the litigation or investigation and included in these systems of records. To the extent that this occurs, the Administrator, FEMA, has determined that the records would also be exempted from subsections (c)(3) and (d) pursuant to 5 U.S.C. 552a(k)(5) to protect such records. A determination will be made at the time of the request for a record concerning whether specific information would reveal the identity of a source. This exemption is required in order to protect the confidentiality of the sources of information compiled for the purpose of determining access to classified information. This confidentiality helps maintain the Government’s continued access to information from persons who would otherwise refuse to give it.
</p>
<p>[45 FR 64580, Sept. 30, 1980, as amended at 47 FR 54816, Dec. 6, 1982; 52 FR 5114, Feb. 19, 1987]
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>


<regulations id="reg3" toc="yes">
<regulationsTitle number="48">
<heading> Federal Acquisition Regulations System </heading>
<regulationsChapter number="30">
<heading> Department of Homeland Security </heading>
<regulationsPart number="3204">
<heading> PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION </heading>
<xhtmlContent>
<p><b>Subpart 3024.1--Protection of Individual Privacy
</b></p>
<p>Sec.
</p>
<p>3024.102-70 General.
</p>
<p><b>Authority:</b> 41 U.S.C. 418b (a) and (b).
</p>
<p><b>Source:</b> 68 FR 67871, Dec. 4, 2003, unless otherwise note.</p>
<p><b>Subpart 3024.1--Protection of Individual Privacy
</b></p>
<p>3024.102-70 General.
</p>
<p>Procedures for implementing the Privacy Act of 1974 are contained in Departmental regulations under 6 CFR part 5,
subpart B, Privacy Act.</p>

</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>
