[Federal Register Volume 77, Number 141 (Monday, July 23, 2012)]
[Notices]
[Pages 43100-43103]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-17783]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0097]


Privacy Act of 1974; Department of Homeland Security, Federal 
Emergency Management Agency--009 Hazard Mitigation Assistance Grant 
Programs 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, Federal Emergency Management Agency proposes to 
update and reissue a current system of records titled, ``Department of 
Homeland Security/Federal Emergency Management Agency--2006--0002 
National Emergency Management Information System (NEMIS)--Mitigation 
(MT) Electronic Grants Management System of Records,'' and retitle it 
``Department of Homeland Security/Federal Emergency Management Agency--
009 Hazard Mitigation Assistance Grant Programs System of Records.'' As 
a result of the biennial review of this system, the Department of 
Homeland Security, Federal Emergency Management Agency is proposing 
changes to the following: (1) System name: (2) categories of 
individuals; (3) categories of records; (4) purposes; (5) routine uses; 
and (6) sources of records. This revised system will be included in the 
Department of Homeland Security, Federal Emergency Management Agency's 
inventory of record systems.

DATES: Submit comments on or before August 22, 2012. This revised 
system will be effective August 22, 2012.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0097, by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions on the Web site.
     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, please visit http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Eric M. Leckey (202) 212-5100, Privacy Officer, Federal Emergency 
Management Agency, Department of Homeland Security, Washington, DC 
20478. For privacy issues, please contact: Mary Ellen Callahan (703) 
235-0780, Chief Privacy Officer, Privacy Office, Department of Homeland 
Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS), Federal Emergency Management 
Agency (FEMA) proposes to update and reissue a current system of 
records titled, ``DHS/FEMA--2006--0002 National Emergency Management 
Information System (NEMIS)--Mitigation (MT) Electronic Grants 
Management System of Records (69 FR 75079, December 15, 2004),'' and 
retitle it, ``DHS/FEMA--009 Hazard Mitigation Assistance Grant Programs 
System of Records.'' As part of the process for reviewing information 
technology under the National Emergency Management Information System 
(NEMIS)--Mitigation (MT) Electronic Grants Management System (NEMIS--MT 
eGrants), DHS is updating both the Privacy Impact Assessment (PIA) 
published at www.dhs.gov/privacy and this system of records notice to 
reflect changes in the program and technology.
    FEMA collects personally identifiable information (PII) through 
paper and electronic applications for Hazard Mitigation Assistance 
(HMA) grant programs. This SORN includes renaming the system of records 
to eliminate the specific reference to ``electronic grants management'' 
and therefore broaden the coverage of the system of records to include 
paper-based applications for Hazardous Mitigation Assistance (HMA) 
grant programs.
    The categories of individuals has been broadened to cover grant 
applicants from additional HMA grants programs not previously included 
in the MT Electronic Grants Management System of Records. The HMA grant 
programs include, but may not be limited to, the Pre-Disaster 
Mitigation (PDM) grant program (42 U.S.C. 5133), the Hazard Mitigation 
Grant Program (HMGP) (42 U.S.C. 5170c), the Flood Mitigation Assistance 
(FMA) grant program (42 U.S.C. 4104c), the Severe Repetitive Loss (SRL) 
grant program (42 U.S.C. 4102a), and the Repetitive Flood Claims (RFC) 
grant program (42 U.S.C. 4030). HMA grant programs provide funds to 
eligible applicants to implement mitigation activities to reduce or 
eliminate the risk of future damage to life and property from hazards.
    Eligible applicants for FEMA HMA grants include all fifty states, 
the District of Columbia, the U.S. Virgin Islands, the Commonwealth of 
Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern 
Mariana Islands, and federally recognized tribal governments. Eligible 
sub-applicants of HMA grants include state agencies, local governments, 
tribal governments, and, for HMGP only, certain private, non-profit 
entities, to which a sub-grant is awarded by an applicant.
    Some applications for HMA grant programs propose mitigation 
activities that impact property privately owned by individuals, such 
as: retrofitting structures, elevating structures, acquiring and 
demolishing or relocating structures, minor structural flood control 
projects, or constructing safe rooms. These applications include the 
minimum amount of the property owner's PII necessary to ascertain the 
eligibility of the property and/or structure under mitigation grant 
program regulations.
    This SORN has been revised to update categories of records to 
provide additional transparency. Categories of records now include: 
information about points of contact (POC) who submit grant 
applications, including the name of the organizations submitting the 
grant; the name of the organization's POC for the grant and the grant 
POC's office phone number, office mailing address, and email address; 
and information about the Governor's representatives who may sign grant 
applications, such as the representative's name and signature. 
Categories of records also now include

[[Page 43101]]

information related to payments or financial assistance property owners 
may receive from non-FEMA sources.
    The purpose of this system of records has been expanded to include 
the Hazard Mitigation Grant Program, the Severe Repetitive Loss 
Program, the Repetitive Flood Claims Program, and any other authorized 
Hazard Mitigation Assistance grant programs where the same type of 
information is collected and used for the same purpose of review and 
approving hazard mitigation grants.
    The routine uses have been updated to be consistent with the 
existing order and content of all DHS SORNs. In addition, two new 
routine uses have been added. Routine use I has been added to clarify 
that information will be shared for routine management and oversight 
between FEMA and other federal agencies, state and local governments, 
or other public or private entities (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 another source for similar purposes. Routine 
use J has been added in order to allow the Department to disclose 
information to the public when the public's need to know the 
information outweighs the risk to privacy.
    DHS/FEMA is clarifying the language under the sources of records. 
FEMA collects information in its HMA grant applications from state, 
local, tribal, and territorial partners seeking grant funding. However, 
private and non-profit organizations may be additional sources of 
information.
    This updated system will be included in DHS/FEMA'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 personally identifiable 
information. 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 from 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 U.S. 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 of the 
records contained in each system in order to make agency record keeping 
practices transparent; to notify individuals regarding the uses to 
which personally identifiable information is put; and to assist 
individuals to more easily find such files within the agency. Below is 
the description of the DHS/FEMA--009 Hazard Mitigation Assistance Grant 
Programs System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system change to the Office of Management and Budget and to 
Congress.

System of Records:
    Department of Homeland Security (DHS)/Federal Emergency Management 
Agency (FEMA)--009.

System name:
    DHS/FEMA--009 Hazard Mitigation Assistance Grant Programs System of 
Records.

Security classification:
    Unclassified.

System location:
    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.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include:
     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
     Individual private property owners whose properties are 
identified in applications for Hazard Mitigation Assistance (HMA) grant 
funds.

Categories of records in the system:
    The following information may be collected:
     Individual property owner's name;
     Individual property owner's damaged property address;
     Individual property owner's home phone number;
     Individual property owner's office phone number;
     Individual property owner's cell phone number;
     Individual property owner's mailing address;
     Individual property owner's status regarding flood 
insurance;
     Individual property owner's National Flood Insurance 
Program (NFIP) policy number;
     Individual property owner's insurance policy provider for 
the property proposed to be mitigated with FEMA funds;
     Individual property owner's signature;
     Grant applicant organization name;
     Grant applicant organization POC;
     Grant applicant organization POC office phone number;
     Grant applicant organization POC office mailing address;
     Grant applicant organization POC email address;
     Grant applicant's Dun and Bradstreet Data Universal 
Numbering System (DUNS);
     Governor's authorized representative name;
     Governor's authorized representative signature;
     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
     Mitigation activity type, hazard type, award date, and/or 
Congressional district.

Authority for maintenance of the system:
    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.

Purpose(s):
    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

[[Page 43102]]

repetitive loss properties, and implement measures to reduce future 
property damage from hazards.

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 relevant or 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.
    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.
    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.
    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.
    E. To 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 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
    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, 
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.
    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 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.
    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.
    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:
    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.

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:
    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

[[Page 43103]]

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.

System Manager and address:
    Director, Risk Reduction Division, FEMA, 1800 South Bell Street, 
Arlington, VA 20598-3030.

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 FEMA 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-0655, 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 must:
     Explain 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 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.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    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.

Exemptions claimed for the system:
    None.

    Dated: July 12, 2012.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2012-17783 Filed 7-20-12; 8:45 am]
BILLING CODE 9110-17-P