[Federal Register Volume 73, Number 202 (Friday, October 17, 2008)]
[Notices]
[Pages 61882-61885]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-24741]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2008-0012]
Privacy Act of 1974; Department of Homeland Security Grievances,
Appeals, and Disciplinary Action Records System of Records
AGENCY: Privacy Office; DHS.
ACTION: Notice of Privacy Act system of records.
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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the
Department of Homeland Security's ongoing effort to review and update
legacy system of record notices, the Department of Homeland Security
proposes to consolidate four legacy record systems: Treasury/CS.077
Disciplinary Action Grievance and Appeal Case Files, October 18, 2001,
Treasury/CS.159 Notification of Personnel Management Division When an
Employee is Placed Under Investigation by the Office of Internal
Affairs, October 18, 2001, FEMA/NETC-3 Records of Alleged Misconduct of
Students Attending Training Courses at the National Emergency Training
Center, September 7, 1990, and FEMA/PER-1 Grievance Records, September
7, 1990, into one Department of Homeland Security-wide system of
records. The Department of Homeland Security also proposes to partially
consolidate Treasury/USSS.002 Chief Counsel Record System, August 28,
2001, into this system. This system will allow the Department of
Homeland Security to document all current and former Department of
Homeland Security personnel who have been the subject of proposed or
final disciplinary action, have filed a grievance or appeal, or have
been suspected of misconduct. Categories of individuals, categories of
records, and the routine uses of these legacy systems of records
notices have been consolidated and updated to better reflect the
Department's grievances, appeals, and disciplinary action record
systems. DHS is issuing a Notice of Proposed Rulemaking (NPRM)
concurrent with this SORN elsewhere in the Federal Register. The
exemptions for the legacy system of records notices will continue to be
applicable until the final rule for this SORN has been completed. This
consolidated system, titled Grievances, Appeals, and Disciplinary
Action, will be included in the Department's inventory of record
systems.
[[Page 61883]]
DATES: Submit comments on or before November 17, 2008. This new system
will be effective November 17, 2008.
ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0012 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 1-866-466-5370.
Mail: Hugo Teufel III, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528.
Instructions: All submissions received must include the
agency name and docket number for this rulemaking. All comments
received will be posted without change to http://www.regulations.gov,
including any personal information provided.
Docket: For access to the docket to read background
documents or comments received go to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions and privacy
issues please contact: Hugo Teufel III (703-235-0780), Chief Privacy
Officer, Privacy Office, Department of Homeland Security, Washington,
DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
Pursuant to the savings clause in the Homeland Security Act of
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25,
2002), the Department of Homeland Security (DHS) and its components and
offices have relied on preexisting Privacy Act systems of records
notices for the collection and maintenance of records concerning files
relating to employee grievances, appeals, and disciplinary action.
As part of its efforts to streamline and consolidate its Privacy
Act record systems, DHS is establishing a new agency-wide system of
records under the Privacy Act (5 U.S.C. 552a) for DHS grievances,
appeals, and disciplinary actions. This will ensure that all components
of DHS follow the same privacy rules for collecting and maintaining
grievances, appeals, and disciplinary action records. DHS will use this
system to collect and maintain records submitted to it by DHS personnel
and others.
In accordance with the Privacy Act of 1974 and as part of DHS's
ongoing effort to review and update legacy system of record notices,
DHS proposes to consolidate four legacy record systems: Treasury/CS.077
Disciplinary Action Grievance and Appeal Case Files (66 FR 52984
October 18, 2001), Treasury/CS.159 Notification of Personnel Management
Division When an Employee is Placed Under Investigation by the Office
of Internal Affairs (66 FR 52984 October 18, 2001), FEMA/NETC-3 Records
of Alleged Misconduct of Students Attending Training Courses at the
National Emergency Training Center (55 FR 37182 September 7, 1990) and
FEMA/PER-1 Grievance Records (55 FR 37182 September 7, 1990) into one
DHS-wide system of records. DHS also proposes to partially consolidate
Treasury/USSS.002 Chief Counsel Record System (66 FR 45362 August 28,
2001) into this system. This system will allow DHS 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. Categories of individuals, categories of
records, and the routine uses of these legacy system of records notices
have been consolidated and updated to better reflect the Department's
grievances, appeals, and disciplinary action record systems. DHS is
issuing a Notice of Proposed Rulemaking (NPRM) concurrent with this
SORN elsewhere in the Federal Register. The exemptions for the legacy
system of records notices will continue to be applicable until the
final rule for this SORN has been completed. This consolidated system,
titled Grievances, Appeals, and Disciplinary Action, will be included
in the Department's inventory of record systems.
II. Privacy Act
The Privacy Act embodies fair information principles in a statutory
framework governing the means by which the United States Government
collects, maintains, uses, and disseminates individuals' records. The
Privacy Act applies to information that is maintained in a ``system of
records.'' A ``system of records'' is a group of any records under the
control of an agency for which information is retrieved by the name of
an individual or by some identifying number, symbol, or other
identifying particular assigned to the individual. In the Privacy Act,
an individual is defined to encompass United States citizens and legal
permanent residents. As a matter of policy, DHS extends administrative
Privacy Act protections to all individuals where systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors. Individuals may request access to their own records that are
maintained in a system of records in the possession or under the
control of DHS by complying with DHS Privacy Act regulations, 6 CFR
Part 5.
The Privacy Act requires that each agency publish in the Federal
Register a description denoting the type and character of each system
of records in order to make agency recordkeeping practices transparent,
to notify individuals about the use of their records, and to assist the
individual to more easily find files within the agency. Below is a
description of the Grievances, Appeal, and Disciplinary Action System
of Records.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
this revised system of records to the Office of Management and Budget
and to the Congress.
System of Records:
DHS/ALL-018.
System name:
Department of Homeland Security Grievances, Appeals, and
Disciplinary Action Records.
Security classification:
Unclassified.
System location:
Records are maintained at several Headquarters locations and in
component offices of DHS, in both Washington, DC and field locations.
Categories of individuals covered by the system:
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.
Categories of records in the system:
Categories of records in this system include:
Individual's name;
Social security number;
Addresses;
Restriction letters;
Reprimands;
Suspensions;
Adverse actions;
Grievances;
Appeals;
Correspondence;
Management requests for assistance;
Evidentiary materials on which action is contemplated,
proposed or taken;
Regulatory materials;
Reports of investigation into alleged employee misconduct;
and
Examiners' reports.
Authority for maintenance of the system:
5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; the Homeland
Security
[[Page 61884]]
Act of 2002, Public Law 107-296; and Executive Order 9373.
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, 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:
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 the
Department of Justice 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.
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.
C. 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) or harm to the
individual who relies upon the compromised information; 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.
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.
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.
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.
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.
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.
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.
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.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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.
Retrievability:
Data may be retrieved alphabetically by individual's name.
Safeguards:
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.
Retention and disposal:
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
[[Page 61885]]
18, Security and Protective Services, Item 11.
System Manager and address:
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 http://www.dhs.gov/foia under ``contacts.''
Notification procedure:
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 http://www.dhs.gov/foia 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.
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, http://www.dhs.gov or 1-866-431-0486. In addition
you should provide the following:
An explanation of why you believe the Department would
have information on you,
Identify which component(s) of the Department you believe
may have the information about you,
Specify when you believe the records would have been
created,
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records,
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.
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.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record Source Categories:
Information originates within DHS and its components, supervisors,
union representatives, and employees who submit a grievance or appeal.
Exemptions claimed for the system:
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).
Dated: October 7, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-24741 Filed 10-16-08; 8:45 am]
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