[Federal Register Volume 79, Number 119 (Friday, June 20, 2014)]
[Notices]
[Pages 35366-35369]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-14079]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2014-0031]


Privacy Act of 1974; Department of Homeland Security Federal 
Emergency Management Agency--002 Quality Assurance Recording System of 
Records

AGENCY: Privacy Office, Department of Homeland Security.

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 current Department 
of Homeland Security system of records titled, ``Department of Homeland 
Security/Federal Emergency Management Agency--002 Quality Assurance 
Recording System of Records.'' This system of records allows the 
Department of Homeland Security/Federal Emergency Management Agency to 
collect and maintain records on the customer service performance of its 
employees, contractors, and vendors who interact with individuals who 
apply for the Agency's individual assistance and public assistance 
programs.
    As a result of a biennial review of this system, the Department of 
Homeland Security/Federal Emergency Management Agency is updating this 
system of records notice to include updates to the (1) system location, 
(2) category of individuals, (3) category of records, (4) routine uses, 
(5) legal authorities, (6) purpose, (7) retrievability, (8) retention 
and disposal, and (9) record source categories. Additionally, this 
notice includes non-substantive changes to simplify the formatting and 
text of the previously published notice. This updated system will be 
included in the Department of Homeland Security's inventory of record 
systems.

DATES: Submit comments on or before July 21, 2014. This updated system 
will be effective July 21, 2014.

ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0031 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Karen L. Neuman, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, 245 Murray Drive SW., Building 
410, STOP-0655, 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 questions, please contact: Karen L. Neuman, (202) 
343-1717, Chief Privacy Officer, Privacy Office, Department of Homeland 
Security, 245 Murray Drive SW., Building 410, STOP-0655, 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 DHS system of 
records titled, ``DHS/FEMA-002 Quality Assurance Recording System of 
Records.''
    DHS/FEMA published this system of records notice because FEMA 
collects, uses, maintains, and retrieves personally identifiable 
information (PII) from its employees and contractors for internal 
employee performance evaluations, training, process improvement, and 
quality assurance purposes to improve customer service to individual 
assistance and public assistance applicants. FEMA collects information 
from individuals (including PII) as necessary, or uses information 
previously collected from them to provide customer service to these 
applicants.
    FEMA collects, uses, and maintains the records within this system 
under the authority of 5 U.S.C. 301; 5 CFR 430.102; the Federal Sector 
Labor Management Relations Act, 5 U.S.C. 4302, and 5 U.S.C. 7106(a); 
Fraud, Abuse, and Waste Controls, 6 U.S.C. 795; 29 U.S.C. 204(b); Exec. 
Order No. 1357; FEMA Directive 3100.1; and FEMA Directive 3700.
    FEMA is updating this system of records notice because it provides 
greater transparency by encompassing the additional FEMA National 
Processing Service Center (NPSC) customer service performance records, 
including those employees/contractors who assess the customer service 
satisfaction of public assistance applicants.
    (1) FEMA is updating the system location to include the Virginia 
NPSC in Winchester, Virginia, and the Maryland NPSC in Hyattsville, 
Maryland as possible locations for records within this system of 
records. FEMA is also updating the system location to include the 
Quality Assurance Recording System (QARS) IT system, which maintains 
these records; (2) FEMA is updating category of individuals to include 
FEMA employees and contractors that perform customer satisfaction 
assessments involving applicants of FEMA's individual assistance and 
public assistance programs; (3) FEMA is revising the category of 
records to include voice recordings within this system of records. 
Those records may also include a third-party vendor that is providing 
language translation services between the individual assistance 
applicant and

[[Page 35367]]

FEMA. The revisions may also expand the ``quality result'' to include 
FEMA employees/contractors providing customer service to public 
assistance applicants; to include email addresses for both Individual 
Assistance and Public Assistance; to include the system-generated 
Contact ID and Survey ID unique to applicants; and to include specific 
public assistance applicant information; (4) FEMA is adding one routine 
use to allow information to be shared with the news media and public 
with approval of the Chief Privacy Officer in consultation with 
counsel; (5) FEMA is updating legal authority to include Executive 
Order No. 13571, ``Streamlining Service Delivery and Improving Customer 
Service,'' which builds upon the requirements of Executive Order No. 
12862 ``Setting Customer Service Standards''; (6) FEMA is updating the 
purpose to include a reference to public assistance programs; (7) FEMA 
is amending retrievability to remove the reference to the DHS/FEMA-008 
Disaster Recovery Assistance Files System of Records (April 30, 2013, 
78 FR 25282), and to add the notation that information in this system 
of records cannot be retrieved by the PII of individual assistance 
applicants or public assistance applicants; (8) FEMA is updating 
retention and disposal to include the FEMA Records Schedule title and 
NARA authority for the maintenance of these records; (9) FEMA is 
updating record source categories to explicitly state that the DHS/
FEMA-008 Disaster Recovery Assistance Files System of Records (April 
30, 2013, 78 FR 25282) and DHS/FEMA-009 Hazard Mitigation, Disaster 
Public Assistance, and Disaster Loan Programs system of records are 
``sources'' for information captured within the QARS system of records. 
Additionally, FEMA is making non-substantive grammatical changes 
throughout this notice for the purpose of clarification.
    The purpose of this system of records is to enable FEMA's Quality 
Control Department, Customer Satisfaction Analysis Section, Contract 
Oversight Management Section, and NPSC Supervisory staff to better 
monitor, evaluate, and assess its employees and/or contractors so that 
FEMA can improve customer service to those seeking disaster assistance. 
The purpose is consistent with FEMA's mission to improve its capability 
to respond to all hazards and support the citizens of our Nation.
    This updated system will be included in the Department of Homeland 
Security's inventory of record systems.
    Consistent with DHS's information-sharing mission, information 
stored in the DHS/FEMA-002 Quality Assurance Recording System of 
Records may be shared with other DHS components that have a need to 
know the information to carry out their national security, law 
enforcement, immigration, intelligence, or other homeland security 
functions. In addition, DHS/FEMA may share information with appropriate 
federal, state, local, tribal, territorial, foreign, or international 
government agencies consistent with the routine uses set forth in this 
system of records notice.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which federal government 
agencies collect, maintain, use, and disseminate 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 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 when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors.
    Below is the description of the DHS/FEMA-002 Quality Assurance 
Recording 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
    Department of Homeland Security (DHS)/Federal Emergency Management 
Agency (FEMA)-002.

System name:
    DHS/FEMA-002 Quality Assurance Recording System (QARS).

Security classification:
    Unclassified.

System location:
    Records are maintained primarily at the FEMA Texas National 
Processing Service Center (NPSC), Denton, TX 76208; however, records 
may also be maintained at the Virginia NPSC, Winchester, VA, and the 
Maryland NPSC, Hyattsville, MD, within the QARS IT system.

Categories of individuals covered by the system:
    This system collects information from FEMA employees and 
contractors at FEMA's National Processing Service Centers (NPSCs) who 
are making or receiving telephone calls to or from disaster assistance 
applicants; FEMA employees and contractors engaged in the case review 
of disaster assistance applications not related to a telephone call to 
or from a disaster assistance applicant; and FEMA employees and 
contractors performing customer service satisfaction assessments 
involving applicants of FEMA individual assistance or public assistance 
programs.

Categories of records in the system:
     Voice recordings of telephone calls between FEMA employees 
and/or contractors and applicants for FEMA's individual assistance and 
public assistance programs. Telephone calls may include a third-party 
vendor that is providing language translation services on behalf of 
FEMA;
     A ``quality result'' generated in QARS for each call or 
case processing activity that is evaluated by a FEMA supervisor or 
quality control specialist assessing the level of customer service 
provided by the FEMA employee/contractor to the FEMA individual 
assistance or public assistance applicant;
     System-generated Contact ID;
     Name of FEMA employee who conducted the assessment;
     Identification number of FEMA employee who conducted the 
assessment;
     FEMA employee/contractor name; and
     FEMA employee/contractor user identification number.
    Tracking of FEMA employee/contractor activity in the National 
Emergency Management Information System--Individual Assistance 
(formerly National Emergency Management Information System (NEMIS)-IA) 
and Customer Satisfaction Analysis System (CSAS) related to call 
recordings, case review processing not related to a phone call, and/or 
customer satisfaction assessments may include the following individual 
assistance applicant information:
     Survey ID;
     Applicant's name;
     Applicant email address;
     Home address;
     Social Security number;
     Applicant phone number(s);

[[Page 35368]]

     Current mailing address; and
     Personal financial information including applicant's bank 
name, bank account information, insurance information, and individual 
or household income.
    Tracking of FEMA employee/contractor activity in CSAS related to 
call recordings for customer satisfaction assessments may include the 
following public assistance applicant information:
     Survey ID;
     Applicant/Point of Contact name and title;
     Applicant email address;
     Organization Name;
     Applicant's organization phone number(s); and
     Organization's business and/or mailing address.

Authority for maintenance of the system:
    5 U.S.C. 301; 5 CFR 430.102; 5 U.S.C. 4302 and 5 U.S.C. 7106(a); 6 
U.S.C. 795; 29 U.S.C. 204(b); Executive Order No. 13571; FEMA Directive 
3100.1; FEMA Directive 3700.1; and FEMA Directive 3700.2.

Purpose(s):
    The purpose of this system is to collect, maintain, use, and 
retrieve performance records of the FEMA employees, contractors, and 
vendors who interact with applicants of the Agency's individual 
assistance and public assistance programs for internal employee and/or 
contractor performance evaluations, training, and quality assurance 
purposes to improve FEMA's customer service to and satisfaction of 
those individuals applying for FEMA's individual and public assistance 
programs.

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 (DOJ), including Offices of the 
U.S. Attorneys, 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 or former employee of DHS in his/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or
    4. The U.S. or any agency thereof.
    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 (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 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. 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' 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, when 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 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, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines 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:
    DHS/FEMA stores records in this system electronically or on paper 
in secure facilities in a locked drawer behind a locked door. The 
records may be stored on magnetic disc, tape, and digital media.

Retrievability:
    FEMA retrieves records in QARS by the FEMA employee and/or 
contractor's name and user identification number, or system-generated 
Contact ID number. This system does not retrieve information by 
individual or public assistance applicant information.

Safeguards:
    DHS/FEMA safeguards records in this system according to applicable 
rules and policies, including all applicable DHS automated systems 
security and access policies. FEMA has imposed strict controls 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:
    The retention period for information maintained in QARS depends on 
the use of the data. Records within QARS that are used in an evaluation 
of a FEMA employee or contractor are retained for six years, pursuant 
to FEMA Records Schedule, Series 15-1 ``National Processing Service 
Centers Evaluated Call Recordings,'' NARA

[[Page 35369]]

Authority N1-311-08-1. Records that are not used in an evaluation of a 
FEMA employee or contractor are purged from the secured servers within 
45 days, per FEMA Records Schedule, Series 15-2 ``National Processing 
Service Centers Unevaluated Call Recordings,'' also under NARA 
Authority N1-311-08-1.

System Manager and address:
    Manager (940) 891-8500, Enterprise Performance Information 
Management Section, Federal Emergency Management Agency, Texas National 
Processing Service Center, Denton, TX 76208.

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 Chief Privacy Officer and 
Headquarters or FEMA Freedom of Information Act (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/foia or 1-866-431-0486. In addition, you should:
     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; and
     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:
    FEMA obtains records from FEMA employees and contractors who assist 
disaster survivors in the disaster assistance application and casework 
process, FEMA employees, and/or contractors initiating customer 
satisfaction assessments of FEMA disaster assistance applicants, and 
from supervisors or quality control specialists. This system of records 
contains PII of individual assistance applicants, which is part of the 
DHS/FEMA-008 Disaster Recovery Assistance Files System of Records, 
April 30, 2013, 78 FR 25282, as well as PII of public assistance 
applicants, which is part of the DHS/FEMA-009 Hazard Mitigation, 
Disaster Public Assistance, and Disaster Loan Programs System of 
Records.

Exemptions claimed for the system:
    None.

    Dated: June 3, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-14079 Filed 6-19-14; 8:45 am]
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