[Federal Register Volume 73, Number 209 (Tuesday, October 28, 2008)]
[Notices]
[Pages 63987-63989]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-25612]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2008-0013]
Privacy Act of 1974; Department of Homeland Security Claims
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 nine legacy record systems: DOT/CG 508 Claims
and Litigation, Treasury/CS.045 Claims Act File, Treasury/CS.046 Claims
Case File, Treasury/CS.144 Mail Protest File, Treasury/CS.148 Military
Personnel and Civilian Employees' Claims Act File, Treasury/CS.232 Tort
Claims Act File, Treasury/CS.234 Tort Claims Act File, Treasury/CS.268
Military Personnel and Civilian Employees' Claim Act File, and FEMA/GC-
1 Claims (litigation) into one Department of Homeland Security-wide
system of records. The Department of Homeland Security also proposes to
partially consolidate one legacy record system: Treasury/USSS.001
Administrative Information System, August 28, 2001, into this
Department-wide system of records. This system will allow the
Department of Homeland Security to respond to, and process, claims
submitted to, or by, the Department of Homeland Security, including
requests for waivers of claims. 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 claims record systems. Additionally, 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
Claims Records, will be included in the Department's inventory of
record systems.
DATES: Submit comments on or before November 28, 2008.
ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0013 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 that concern
claims submitted to DHS.
As part of its efforts to streamline and consolidate its Privacy
Act records systems, DHS is establishing a new agency-wide system of
records under the Privacy Act (5 U.S.C. 552a) for DHS claims records.
This will ensure that all components of DHS follow the same privacy
rules for collecting and maintaining records on claims. DHS will use
this system to collect and maintain claims 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 nine legacy record systems: DOT/CG 508
Claims and Litigation (65 FR 19475 April 11, 2000), Treasury/CS.045
Claims Act File (66 FR 52984 October 18, 2001), Treasury/CS.046 Claims
Case File (66 FR 52984 October 18, 2001), Treasury/CS.144 Mail Protest
File (66 FR 52984 October 18, 2001), Treasury/CS.148 Military Personnel
and Civilian Employees' Claims Act File (66 FR 52984 October 18, 2001),
Treasury/CS.232 Tort Claims Act File (66 FR 52984 October 18, 2001),
Treasury/CS.234 Tort Claims Act File (66 FR 52984 October 18, 2001),
Treasury/CS.268 Military Personnel and Civilian Employees' Claim Act
File (66 FR 52984 October 18, 2001), and FEMA/GC-1, Claims (litigation)
(66 FR 47228 September 11, 2001) into one DHS-wide system of records.
DHS also proposes to partially consolidate one legacy record system:
Treasury/USSS.001 Administrative Information System (66 FR 45362 August
28, 2001) into this Department-wide system of records. This system will
allow DHS to respond to, and process, claims submitted to, or by, DHS,
including requests for waivers of claims. 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
DHS's claims record systems. Additionally, 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 of records, titled
Claims Records, will be included in DHS's inventory of record systems.
II. Privacy Act
The Privacy Act embodies fair information principles in a statutory
[[Page 63988]]
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,
visitors, and foreign nationals who are employed by the United States
Government. 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 Claims Records 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-013
System name:
Department of Homeland Security Claims 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:
Any individual or entity who submits a claim to DHS and/or its
components or against whom DHS files a claim.
Categories of records in the system:
Categories of records in this system include:
Individual's or entity's name;
Social security number;
Entity's corporate tax identification number;
Addresses;
Telephone numbers;
Description of the claim;
Status of the claim;
Banking account and routing number;
Correspondence between the claimant or claimant's
representative and DHS;
Witness statements;
Photos;
Documents submitted by the claimant or claimant's
representative in support of the claim; and
Documents relating to the administrative handling of the
claim.
Authority for maintenance of the system:
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.
Purpose(s):
The purpose of this system is to respond to and process claims
submitted to, or by, DHS, including requests for waivers of claims.
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 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.
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.
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.
E. 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.
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.
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.
[[Page 63989]]
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.
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.
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).
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
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.
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 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.
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 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.
System Manager and address:
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 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 from individuals and entities who submit
claims, responses to claims, or requests for waiver of claims to DHS.
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.(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).
Dated: October 15, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-25612 Filed 10-27-08; 8:45 am]
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