[Federal Register Volume 74, Number 138 (Tuesday, July 21, 2009)]
[Notices]
[Pages 35877-35880]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-17320]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2009-0089]


Privacy Act of 1974; Department of Homeland Security--028 
Complaint Tracking 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, the Department of 
Homeland Security proposes to establish a new Department of Homeland 
Security system of records notice titled, DHS/ALL-028 Complaint 
Tracking System. Complaint Tracking System is a correspondence workflow 
management system that assists the DHS Privacy Office in responding to 
complaints, comments and requests for redress from the public, other 
government agencies, and the private sector. Complaint Tracking System 
provides the capacity to handle correspondence that requires analysis, 
storage, categorization, and response from DHS Privacy Office 
personnel. It allows users to manage correspondence tracking with pre-
defined routing inside workflow templates. This newly established 
system will be included in the Department of Homeland Security's 
inventory of record systems.

DATES: Written comments must be submitted on or before August 20, 2009. 
The established system of records will be effective August 20, 2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2009-0089 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 703-483-2999.
     Mail: Mary Ellen Callahan, 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://

[[Page 35878]]

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: Mary Ellen Callahan, (703-235-0780), Chief 
Privacy Officer, Privacy Office, U.S. Department of Homeland Security, 
Washington, DC 20528.

SUPPLEMENTARY INFORMATION: 

I. Background

    The Department of Homeland Security (DHS) is establishing a new 
system of records pursuant to the Privacy Act of 1974 (5 U.S.C. 552a), 
entitled the Complaint Tracking System (CTS). The Privacy Office 
conducted this SORN because CTS is a group of records under the control 
of DHS that is retrieved by the name of an individual or other 
identifier particular to the individual.
    In accordance with its statutory responsibilities, the DHS Privacy 
Office receives numerous complaints, comments, and requests for redress 
of privacy issues throughout the year. This correspondence requires 
analysis, storage, categorization, and coordinated responses. The CTS 
is a workflow system that Privacy Office personnel utilize to respond 
efficiently to inquiries from the public and other government and 
private-sector agencies. CTS allows users to manage correspondence 
tracking with pre-defined routing inside workflow templates.
    Consistent with DHS's information sharing mission, information 
stored in the CTS may be shared with other DHS components, as well as 
appropriate Federal, State, local, tribal, foreign, or international 
government agencies. This sharing will take place only 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.
    In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to establish a new Department of Homeland 
Security system of records notice titled, DHS/ALL-028 Complaint 
Tracking System. Complaint Tracking System is a correspondence workflow 
management system that assists the DHS Privacy Office in responding to 
complaints, comments and requests for redress from the public, other 
government agencies, and the private sector. Complaint Tracking System 
provides the capacity to handle correspondence that requires analysis, 
storage, categorization, and response from DHS Privacy Office 
personnel. It allows users to manage correspondence tracking with pre-
defined routing inside workflow templates. This newly established 
system will be included in the Department of Homeland Security'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 lawful 
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 each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, and the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses to 
their records are put, and to assist individuals to more easily find 
such files within the agency. Below is the description of the Complaint 
Tracking System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
System of Records:

DHS/ALL-028

System name:
    Department of Homeland Security Complaint Tracking System.

Security classification:
    Unclassified.

System location:
    Records are maintained 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 the mission of DHS.

Categories of individuals covered by the system:
    A. All individuals who submit information through the DHS CTS.
    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 CTS.
    C. Attorneys or other persons representing individuals submitting 
such requests and appeals and individuals who are the subjects of such 
requests.
    D. DHS personnel or contractors assigned to handle such requests or 
appeals.

Categories of records in the system:
    A. Individual's name; prefix, suffix, or title; date of birth; 
gender; social security number; country of origin; organization; 
contact information; phone number; fax number; e-mail address; address; 
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 complaint.
    B. For those issuing complaints as representatives of affected 
individuals, representative name, contact information, phone number, e-
mail address, relationship to the affected individuals, and power of 
attorney.
    C. The name of the DHS component, DHS program, or other Federal 
agency, which will be responsible for addressing the incoming complaint 
as well as supporting components or agencies.
    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 complaint 
process.
    E. Appropriate information to reflect the resolution of a 
particular complaint,

[[Page 35879]]

information determined during adjudication of the case, and sensitive 
information relevant to the complaint for the individual.

Authority for maintenance of the system:
    The collection of documents within CTS is governed by 5 U.S.C. 301 
(general agency powers for recordkeeping), the Privacy Act of 1974, as 
amended (5 U.S.C. 552a), and 6 U.S.C. 142 (providing for appointment of 
a Privacy Officer to assure, in part, that personal information 
contained in Privacy Act system of records is handled in full 
compliance with fair information practices).

Purpose(s):
    The purpose of this system is to assist the Privacy Office in 
responding to complaints, comments and requests for redress from the 
public, other government agencies, and the private sector.

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:
    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.
    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 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 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.
    H. 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.
    I. 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.
    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.
    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.

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. Electronic records are stored on magnetic disc, 
tape, and digital media.

Retrievability:
    Data are retrievable by the individual's name or other identifier, 
such as case number, as well as non-identifying information.

[[Page 35880]]

Safeguards:
    Information in this system is safeguarded in accordance with 
applicable laws, rules, and policies, including the DHS Information 
Technology Security Program Handbook. The CTS 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. 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.

Retention and disposal:
    CTS 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.

System Manager and address:
    The System Manager is the Program Manager, DHS CTS, U.S. Department 
of Homeland Security, Washington, DC 20528.

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 Chief Privacy Officer, Department 
of Homeland Security, 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/foia 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:
    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, 
including the Intranet Quorum system.

Exemptions claimed for the system:
    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.
    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.
    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.

    Dated: July 14, 2009.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E9-17320 Filed 7-20-09; 8:45 am]
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