[Federal Register Volume 74, Number 207 (Wednesday, October 28, 2009)]
[Notices]
[Pages 55572-55575]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-25938]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2009-0039]


Privacy Act of 1974; Department of Homeland Security/ALL--001 
Freedom of Information Act and Privacy Act 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 the Department of 
Homeland Security proposes to update and reissue a Department of 
Homeland Security system of records notice titled, Department of 
Homeland Security/ALL--001 Freedom of Information Act and Privacy Act 
Records System of Records. The updated system of records consists of 
information that is created and used by the Department's Freedom of 
Information Act and Privacy Act staff to process requests as well as to 
manage the Freedom of Information Act and Privacy Act programs. As a 
result of the biennial review of this system, the Privacy Office has: 
Updated the system classification to include unclassified information; 
updated the categories of individuals and records to include 
individuals who are the subjects of requests, Department of Justice and 
other government litigators and/or DHS personnel assigned to handle 
such requests or appeals; revised the routine uses to conform with the 
needs of the Freedom of Information Act and Privacy Act program; and 
updated the Privacy Act exemptions for this system of records to 
include the addition of 5 U.S.C. 552a(k)(3) and (k)(6) of the Privacy 
Act. A Notice of Proposed Rulemaking is published elsewhere in the 
Federal Register further exempting these records from 5 U.S.C. 
552a(k)(3) and (k)(6) of the Privacy Act. The initial Privacy Act 
exemptions published with this system of records (December 6, 2004), 
will remain in place until this rule is finalized with the addition of 
5 U.S.C. 552a(k)(3) and (k)(6). This updated system will be included in 
the Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before November 27, 2009. This system will 
be effective November 27, 2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2009-0039 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.

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     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://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 and Chief Freedom of Information Act Officer, Privacy 
Office, U.S. Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION: 

I. Background

    The Department of Homeland Security (DHS) and its components and 
offices rely on the system of records, DHS/ALL--001 Freedom of 
Information Act and Privacy Act Records System of Records (69 FR 70460, 
December 6, 2004) for the collection and maintenance of records that 
concern the Department's Freedom of Information Act (FOIA) and Privacy 
Act (PA) records.
    As part of its efforts to maintain its Privacy Act records systems, 
DHS is updating and reissuing a Department-wide system of records under 
the Privacy Act (5 U.S.C. Sec.  552a) for DHS FOIA and PA records. This 
will ensure that all components of DHS follow the same privacy rules 
for collecting and handling FOIA and PA records. The collection and 
maintenance of this information will assist DHS in managing the 
Department's FOIA and PA records.
    Consistent with DHS' information sharing mission, information 
stored in the DHS/ALL--001 Freedom of Information Act and Privacy Act 
Records System of Records may be shared within DHS, as well as with 
appropriate other Federal, State, local, tribal, foreign, or 
international government agencies. Disclosure of the information in any 
record of this system to officers and employees of DHS is permitted 
when requested by, or with the prior consent of, the individual to whom 
the record pertains, or when those officers and employees otherwise 
have a need for the record in the performance of their duties. 
Disclosure of most personally identifiable information contained in 
this system outside of DHS will only take place when requested by or 
with the prior consent of the individual to whom the record pertains, 
unless DHS determines, consistent with the routine uses set forth in 
this system of records notice, that the receiving component, agency or 
entity has a need to know the information to carry out valid national 
security, law enforcement, immigration, intelligence, or other 
functions. Certain information about FOIA requestors, including the 
name of the requestor and a description of the requested records is not 
exempt under the Freedom of Information Act and is released to outside 
entities who request such information in accordance with 5 U.S.C. 
552a(b)(2).

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 DHS system of records 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, and to assist individuals to more easily find such files 
within the agency. Below is the description of the DHS/ALL--001 Freedom 
of Information Act and Privacy Act Records 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--001

System name:
    Department of Homeland Security Freedom of Information Act and 
Privacy Act Records System of Records.

Security classification:
    Classified, sensitive, and unclassified.

System location:
    Records are maintained at Department and Component Headquarters in 
Washington, DC and field locations.

Categories of individuals covered by the system:
    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.

Categories of records in the system:
    Categories of records in this system include:
     Records received, created, or compiled in processing FOIA 
and PA requests or appeals, including:
    [cir] Original requests and administrative appeals;
    [cir] Intra or interagency memoranda, correspondence, notes and 
other documentation related to the processing of the FOIA and PA 
request;
    [cir] 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.
     Types of information in the records may include:
    [cir] 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;
    [cir] Names, telephone numbers, and addresses of the submitter of 
the information requested;
    [cir] Unique case identifier;
    [cir] Social security number;

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    [cir] 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.
     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.

Authority for maintenance of the system:
    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).

Purpose(s):
    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.

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 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 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.
    H. To a Federal, State, territorial, tribal, local, international, 
or foreign agency or entity for the purpose of consulting with that 
agency or entity:
    1.To assist in making a determination regarding access to or 
amendment of information, or
    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.
    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.
    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.
    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.

Disclosure to consumer reporting agencies:
    Privacy Act information may be reported to consumer reporting 
agencies pursuant to 5 U.S.C. 552a(b)(12).

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:
    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.

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 stored. 
Access to the computer system containing the records in this system is 
limited to those individuals who have a need to know

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the information for the performance of their official duties and who 
have appropriate clearances or permissions.

Retention and disposal:
    FOIA and PA records are retained in accordance with National 
Archives and Records Administration's General Records Schedule 14.
    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.
    If the FOIA or PA record deals with significant policy-making 
issues, it is a permanent record.
    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.

System Manager and address:
    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.
    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 and 
Chief Freedom of Information Act 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 Chief Privacy 
Officer and Chief Freedom of Information Act Officer, 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; 
and
     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:
    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.

Exemptions claimed for the system:
    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.

    Dated: October 20, 2009.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E9-25938 Filed 10-27-09; 8:45 am]
BILLING CODE 9110-9L-P