[Federal Register Volume 83, Number 84 (Tuesday, May 1, 2018)]
[Notices]
[Pages 19078-19081]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-09196]



[[Page 19078]]

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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2017-0068]


Privacy Act of 1974; System of Records

AGENCY: Department of Homeland Security.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to modify and reissue a current Department 
of Homeland Security system of records titled, ``Department of Homeland 
Security/ALL-039 Foreign Access Management System of Records.'' The 
Department of Homeland is updating this system of records notice to 
correctly reflect the categories of individuals impacted and modify the 
routine uses. This system of records allows the Department of Homeland 
Security to collect and maintain records on foreign nationals who 
request physical or information technology system access to the 
Department of Homeland Security and other U.S. Government partner 
agencies for which the Department of Homeland Security provides 
screening support. These individuals may include U.S. citizens and 
lawful permanent residents representing foreign interests; lawful 
permanent residents providing construction and contractual services for 
the Department of Homeland Security and other U.S. Government partner 
agencies; foreign visitors to fusion centers or tribal, territorial, 
state, and local government homeland security programs; and reported 
foreign contacts of Department of Homeland Security and other U.S. 
Government employees outside the scope of the employee's official 
activities required for personnel security purposes.
    Additionally, the Department of Homeland Security is issuing a 
modified Notice of Proposed Rulemaking to exempt this system of records 
from certain provisions of the Privacy Act, elsewhere in the Federal 
Register. This modified system will be included in the Department of 
Homeland Security's inventory of record systems.

DATES: Submit comments on or before May 31, 2018. This modified system 
will be effective upon publication. New or modified routine uses will 
be effective May 31, 2018.

ADDRESSES: You may submit comments, identified by docket number DHS-
2017-0068 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: Philip S. Kaplan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528-0655.
    Instructions: All submissions received must include the agency name 
and docket number DHS-2018-0009. 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 and privacy-related 
questions, please contact: Philip S. Kaplan, (202) 343-1717, 
[email protected], Chief Privacy Officer, Privacy Office, Department 
of Homeland Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) proposes to modify and reissue a 
current DHS system of records titled, ``DHS/ALL-039 Foreign Access 
Management System of Records.''
    DHS is publishing this system of records notice (SORN) to update 
the categories of individuals and modify the routine uses. In the 
original SORN, the categories of individuals indicated that dual U.S. 
citizens and lawful permanent residents (LPR) representing foreign 
interests were included. This SORN is being updated to indicate that 
all U.S. citizens representing foreign interests are included in the 
categories of individuals, not just dual U.S. citizens. Routine use E, 
which deals with a suspected or confirmed breach of the system or 
information, has been modified and is now covered in routine uses E and 
F. This is to meet the requirements of OMB M-17-12. All subsequent 
routines uses have been re-lettered.
    This SORN provides transparency on how DHS collects, uses, 
maintains, and disseminates information relating to foreign nationals 
who seek access to DHS and partner U.S. Government (USG) agency 
personnel, information, facilities, programs, research, studies, and 
information technology (IT) systems. The DHS Office of the Chief 
Security Officer (OCSO)/Center for International Safety & Security 
(CISS) Foreign Access Management (FAM) program uses the Foreign Access 
Management System (FAMS) to manage the risk assessment process for 
foreign nationals requesting access to DHS and partner agencies. DHS is 
responsible for conducting screening of all foreign nationals and 
foreign entities seeking access to DHS personnel, information, 
facilities, programs, and IT systems, including: U.S. citizens and 
lawful permanent residents (LPR) representing foreign interests; and 
foreign contacts and foreign visitors reported by DHS. This SORN also 
covers the screening of LPRs who provide construction or contractual 
services (e.g., food services, janitorial services) to the U.S. 
Government, and DHS or USG federal employees that sponsor foreign 
national access to USG facilities or report foreign contacts who have 
met and/or befriended such contacts and visitors outside the scope of 
the employee's official duties.
    As part of a government-wide pilot, DHS will also conduct foreign 
access management screening activities for federal agencies other than 
DHS participating in the pilot. DHS may also screen foreign visitors to 
fusion centers or tribal, territorial, state, and local government 
homeland security programs.
    Lastly, DHS uses FAMS records to screen foreign contacts of DHS 
employees outside the scope of the employee's official activities. DHS 
and other USG employees and contractors with access to Sensitive 
Compartmented Information or other special program access have a 
responsibility to report all foreign contacts that are of a close, 
continuing personal association and any contacts with known or 
suspected intelligence officers from any country. Reporting of contact 
with foreign nationals is not intended to inhibit or discourage contact 
with foreign nationals. Rather, it permits the Government to manage and 
assess the risk posed by certain foreign individuals who seek to 
exploit personal relationships for purposes of collecting classified or 
sensitive information.
    Foreign nationals accessing DHS or a partner USG agency in any of 
the capacities listed above undergo DHS screening. In addition, foreign 
nationals may be screened as a result of foreign contact reporting for 
personnel security purposes. The foreign national screening process 
consists of both internal and external identity checks. The OCSO/CISS 
validates the foreign national identifying information provided.
    DHS shares vetting, as well as any security anomalies or derogatory 
information identified through the

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vetting process, with DHS components and partner USG agencies. DHS will 
maintain information on any security incidents or suspicious activities 
recorded during the foreign national's access to DHS or partner USG 
agencies. The information is shared by secure means commensurate with 
the classification of the information to be shared.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/ALL-039 Foreign Access Management 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 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. However, to limit the scope of sharing with foreign 
partners, DHS will consider a foreign entity's ability to safeguard 
personally identifiable information (PII), and its commitment to and 
history of safeguarding such information, when determining whether to 
share records containing PII.
    Additionally, DHS is issuing an updated Notice of Proposed 
Rulemaking to exempt this system of records from certain provisions of 
the Privacy Act elsewhere in the Federal Register. This modified system 
will be included in DHS's inventory of record systems.

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. Additionally, and similarly, the Judicial Redress 
Act (JRA) provides covered persons with a statutory right to make 
requests for access and amendment to covered records, as defined by the 
JRA, along with judicial review for denials of such requests. In 
addition, the JRA prohibits disclosures of covered records, except as 
otherwise permitted by the Privacy Act.
    Below is the description of the DHS/ALL-039 Foreign Access 
Management 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 NAME AND NUMBER:
    Department of Homeland Security (DHS)/ALL-039 Foreign Access 
Management System of Records.

SECURITY CLASSIFICATION:
    Unclassified and Classified.

SYSTEM LOCATION:
    Records are maintained at the Department of Homeland Security 
Headquarters in Washington, DC and field offices. Electronic records 
are stored in the Integrated Security Management System (ISMS) as well 
as in a classified network database.

SYSTEM MANAGER(S):
    Director, Center for International Safety & Security, Office of the 
Chief Security Officer, Department of Homeland Security, 301 7th Street 
SW, DC 20024.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; 40 U.S.C. 1315; 40 U.S.C. 11331; the Economy Act of 
1932, as amended; the Counterintelligence Enhancement Act of 2002; the 
Intelligence Reform and Terrorism Prevention Act; E.O. 12977; E.O. 
13286; E.O. 13549; Presidential Policy Directive/PPD-21, ``Critical 
Infrastructure Security and Resilience'' (February 12, 2013); DCI 
Directive 6/4, ``Personnel Security Standards and Procedures Governing 
Eligibility for Access to Sensitive Compartmented Information (SCI)'' 
(July 2, 1998); and Presidential Decision Directive (PDD)/NSC-12, 
``Security Awareness and Reporting of Foreign Contacts'' (August 5, 
1993).

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to perform screening for foreign 
nationals seeking access to DHS and partner USG agency personnel, 
information, facilities, programs, research, studies, and IT systems. 
This system is also used to screen foreign contacts and foreign 
visitors reported by DHS and partner USG agency employees who have met 
and/or befriended such contacts and visitors outside the scope of the 
employee's official duties.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Foreign nationals and foreign entities seeking access to USG 
personnel, information, facilities, programs, research, studies, and IT 
systems, including: U.S. citizens and lawful permanent residents (LPR) 
representing foreign interests; and foreign contacts and foreign 
visitors reported by DHS. These include, when requested, foreign 
visitors to fusion centers or tribal, territorial, state, and local 
government homeland security programs, and foreign contacts of USG 
employees who have met or befriended such contacts and visitors outside 
the scope of the employee's official duties. Further, DHS or USG 
federal employees that sponsor foreign national access to USG or report 
foreign contacts outside the scope of their normal employment duties. 
Finally, LPRs providing construction or contractual services (e.g., 
food services, janitorial services).

CATEGORIES OF RECORDS IN THE SYSTEM:
    For foreign nationals:
     Full name;
     Alias(es);
     Gender;
     Date of birth;
     Place of birth;
     City/country of residence;
     Country of citizenship;
     Passport information (country of issue, number, expiration 
date);
     Passport copy;
     Photograph;
     Address;
     Telephone number(s);
     Email Address(es);
     Country sponsoring the visit;
     Stated reason for the visit;
     DHS component sponsoring the visit;
     Diplomatic identification information;
     Organization represented, title, or position held;
     Actual employment information (including job title and 
employer contact information);
     Visa information (type, number, expiration date, and 
issuance location);
     Foreign Access Management System number;
     Alien registration number; and
     Potential anomalous or derogatory information identified 
as part of screening and vetting results.
    For USG federal employees:
     Full name;
     Title;
     Organization and component;
     Phone number; and
     Email address.

RECORD SOURCE CATEGORIES:
    DHS obtains information directly from the federal employee sponsor, 
and the DHS or USG employee providing the information to DHS for 
screening. DHS

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also obtains information from the other DHS and federal systems for 
vetting purposes, including:
    1. U.S. Customs and Border Protection (CBP) Advance Passenger 
Information System (APIS): DHS/CBP-005 APIS, 80 FR 13407 (March 13, 
2015);
    2. CBP Arrival and Departure Information System (ADIS): DHS/CBP-021 
ADIS, 80 FR 72081 (November 18, 2015);
    3. CBP Automated Targeting System (ATS): DHS/CBP-006 ATS, 77 FR 
30297 (May 22, 2012);
    4. CBP TECS: DHS/CBP-011 TECS, 73 FR 77778 (December 19, 2008).
    5. U.S. Immigration and Customs Enforcement (ICE) Criminal Arrest 
Records and Immigration Enforcement Records (CARIER): DHS/ICE-011 
CARIER, 81 FR 72080 (October 19, 2016); and
    6. ICE Student and Exchange Visitor Information System (SEVIS): 
DHS/ICE-001 SEVIS, 75 FR 412 (January 5, 2010).
    7. National Protection and Programs Directorate (NPPD) Office of 
Biometric Identity Management (OBIM) Automated Biometric Identification 
System (IDENT): DHS/US-VISIT-004 DHS IDENT, 72 FR 31080 (June 5, 2007);
    8. U.S. Citizen and Immigration Services (USCIS) Alien File, Index, 
and National File Tracking System (A-File): DHS/USCIS/ICE/CBP-001 A-
File, 82 FR 43556 (September 18, 2017);
    9. USCIS Benefits Information System (BIS): DHS/USCIS-007 BIS, 81 
FR 72069 (October 19, 2016);
    DHS also obtains information from intelligence community classified 
systems for screening and vetting.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND 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 the U.S. Attorneys 
Offices, or other federal agency conducting litigation or 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, only when 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 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 there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (including 
its information systems, programs, and operations), the Federal 
Government, or national security; 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 
breach or to prevent, minimize, or remedy such harm.
    F. To another Federal agency or Federal entity, when DHS determines 
that information from this system of records is reasonably necessary 
and otherwise compatible with the purpose of collection to assist the 
recipient agency or entity in (1) responding to a suspected or 
confirmed breach or (2) preventing, minimizing, or remedying the risk 
of harm to individuals, the recipient agency or entity (including its 
information systems, programs, and operations), the Federal Government, 
or national security, resulting from a suspected or confirmed breach.
    G. 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.
    H. 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.
    I. To federal and foreign government intelligence or 
counterterrorism agencies or components when DHS becomes aware of an 
indication of a threat or potential threat to national or international 
security, or when such use is to conduct national intelligence and 
security investigations or assist in anti-terrorism efforts and 
disclosure is appropriate to the proper performance of the official 
duties of the person making the disclosure.
    J. To federal government intelligence or counterterrorism agencies 
or components to facilitate CISS screening checks.
    K. To other federal agencies to assist in their determination of 
whether to grant a requesting foreign national with access to that 
federal agency.
    L. To appropriate federal, state, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations, with 
the approval of the Chief Privacy Officer, when DHS is aware of a need 
to use relevant data for purposes of testing new technology.
    M. 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 a clearly unwarranted invasion of personal privacy.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS 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.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by foreign contact or USG employee name, 
or other personal identifiers listed in the categories of records, 
above.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    In accordance with NARA-approved retention schedule N1-563-09-1, 
DHS retains information collected on foreign

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visitors for screening in FAMS and in the Classified Local Area Network 
(C-LAN) access database for twenty years.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS safeguards records in this system according to applicable rules 
and policies, including all applicable DHS automated systems security 
and access policies. DHS 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.

RECORD ACCESS PROCEDURES:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act, 
and consequently those of the Judicial Redress Act if applicable. 
However, DHS will consider individual requests to determine whether or 
not information may be released. Thus, individuals seeking access to 
and notification of 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 Chief Freedom of Information Act (FOIA) 
Officer, whose contact information can be found at http://www.dhs.gov/foia under ``Contacts Information.'' 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 FOIA Officer, Department of Homeland Security, Washington, DC 
20528-0655. Even if neither the Privacy Act nor the Judicial Redress 
Act provide a right of access, certain records about you may be 
available under the Freedom of Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
the request, and the individual's 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, an individual 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, 
the individual should:
     Explain why you believe the Department would have 
information on him/her;
     Identify which component(s) of the Department the 
individual believes may have the information about him/her;
     Specify when the individual believes 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.
    If an individual's request is seeking records pertaining to another 
living individual, the first individual must include a statement from 
the second individual certifying his/her agreement for the first 
individual to access his/her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, see 
``Record Access Procedures'' above.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(k)(1), (k)(2), and (k)(5), has exempted this system from the 
following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); (d); 
(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). When this system 
receives a record from another system exempted in that source system 
under 5 U.S.C. 552a(j)(2), DHS will claim the same exemptions for those 
records that are claimed for the original primary systems of records 
from which they originated and claims any additional exemptions set 
forth here.

HISTORY:
    DHS/ALL-039 Foreign Access Management System of Records, 82 FR 
34971 (July 27, 2017).

Philip S. Kaplan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2018-09196 Filed 4-30-18; 8:45 am]
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