[Federal Register Volume 85, Number 51 (Monday, March 16, 2020)]
[Notices]
[Pages 14955-14958]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-04979]


-----------------------------------------------------------------------

DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2019-0047]


Privacy Act of 1974; System of Records

AGENCY: Department of Homeland Security.

ACTION: Notice of new system of records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to establish a new DHS system of 
records titled, ``Department of Homeland Security/ALL-043 Enterprise 
Biometric Administrative Records (EBAR) System of Records (SOR).'' This 
system of records allows the DHS to collect and maintain administrative 
and technical records associated with the enterprise biometric system 
known as the Automated Biometric Identification System (IDENT) and its 
successor information technology system, currently in development, 
called the Homeland Advanced Recognition Technology (HART).
    Additionally, DHS is issuing a Notice of Proposed Rulemaking (NPRM) 
to exempt this system of records from certain provisions of the Privacy 
Act, elsewhere in the Federal Register. This newly established system 
will be included in the Department of Homeland Security's inventory of 
record systems.

DATES: Submit comments on or before April 10, 2020. This new system 
will be effective upon publication, with the exception of the routine 
uses, which will become effective April 10, 2020.

ADDRESSES: You may submit comments, identified by docket number DHS-
2019-0047 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: Jonathan R. Cantor, Acting 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-2019-0047. 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 for privacy 
issues, please contact: Jonathan R. Cantor, [email protected], (202) 
343-1717, Acting Chief Privacy Officer, Privacy Office, Department of 
Homeland Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION: 

I. Background

    In 2007, DHS published the DHS/US-VISIT-001 DHS Automated Biometric 
Identification System (IDENT), 72 FR 31080 (June 5, 2007) system of 
records notice (SORN). The IDENT SORN covered biometric holdings for 
the entire Department. Since then, the Department's Privacy Act 
framework and technology for enterprise biometrics has evolved as the 
Department has matured. DHS Component SORNs now cover the collection, 
maintenance, and use of the biometrics records collected directly by 
each Component. The Department, however, still published a SORN to 
cover biometrics first collected and received from non-DHS entities, 
DHS/ALL-041 External Biometric Records (EBR) SORN, 83 FR 17829 (April 
24, 2018), which governs the maintenance and use of biometrics and 
associated biographic information received from non-DHS entities. DHS 
is establishing DHS/ALL-043 Enterprise Biometric Administrative Records 
(EBAR) to cover the administrative and technical records associated 
with the enterprise biometric system, known as the Automated Biometric 
Identification System (IDENT) and its successor information technology 
system, currently in development, called the Homeland Advanced 
Recognition Technology (HART). Together, the EBAR SORN, EBR SORN, and 
the underlying Component SORNs will replace the IDENT and Technical 
Reconciliation Analysis Classification System (TRACS) SORNs. DHS will 
rescind the IDENT and TRACS SORNs by publishing a notice of rescindment 
in the Federal Register, following publication of this SORN.
    The Office of Biometric Identity Management (OBIM) maintains the 
Department's primary repository of biometric information held by DHS in 
connection with varied missions and functions, including law 
enforcement; national security; immigration screening; border 
enforcement; intelligence; national defense; background investigations 
relating to national security positions; and credentialing consistent 
with applicable DHS authorities.
    The primary repository, currently IDENT and its successor 
information technology (IT) system, HART, is a centralized and dynamic 
DHS-wide biometric database that also contains limited biographic and 
encounter history information needed to place the biometric information 
in proper context. The information is collected by, on behalf of, in 
support of, or in cooperation with DHS and its components and may 
contain personally identifiable information collected by Federal, 
State, local, tribal, foreign, or international agencies, consistent 
with

[[Page 14956]]

any applicable laws, rules, regulations, and information sharing and 
access agreements or arrangements.
    Component system SORNs and the DHS/ALL-041 EBR SORN cover the 
biometric data itself, but OBIM's biometric repository generates 
technical and administrative information necessary to carry out 
functions that are not explicitly outlined in component source-system 
SORNs. For example, to more accurately identify individuals and ensure 
that all encounters are appropriately linked, IDENT and its successor 
IT system, HART, will generate, store, and retrieve data by unique 
numbers or sequence of numbers and characters. These unique numbers or 
sequence of numbers and characters, also known as enumerators, link 
individuals with their encounters, biometrics, records, and other data 
elements. The EBAR SOR will be used for OBIM analysis and reporting 
functions in support of international data sharing efforts, redress 
functions, and the reporting and analysis functions of OBIM.
    Consistent with DHS's mission, information covered by DHS/ALL-043 
EBAR may be shared with 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.
    Additionally, DHS is issuing a NPRM to exempt this system of 
records from certain provisions of the Privacy Act elsewhere in the 
Federal Register. This newly established 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, 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-043 Enterprise Biometrics 
Administrative Records (EBAR) 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-043 Enterprise Biometric 
Administrative Records (EBAR) System of Records.

SECURITY CLASSIFICATION:
    Unclassified. The data may be retained on classified networks but 
this does not change the nature and character of the data until it is 
combined with classified information.

SYSTEM LOCATION:
    Records are maintained at Data Center 1 at Stennis, Mississippi, 
Data Center 2 at Clarksville, Virginia, at the Office of Biometric 
Identity Management (OBIM) Headquarters in Washington, DC, and field 
offices. The records are maintained in the Information Technology (IT) 
system, Automated Biometric Identification System (IDENT), and the 
successor Homeland Advanced Recognition Technology (HART). HART records 
will be maintained in the FedRAMP-approved Amazon Web Services U.S. 
cloud environment.
    DHS replicates records from this operational IT system and 
maintains them in other IT systems connected on the DHS unclassified 
and classified networks.

SYSTEM MANAGER(S):
    System Manager, IDENT/HART Program Management Office, OBIM, U.S. 
Department of Homeland Security, Washington DC 20528; email 
[email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    6 U.S.C. secs. 202 and 482; 8 U.S.C. secs., 1365a, 1365b, 1379, 
1722, 1731, and 1732; 13764 (82 FR 8115), Homeland Security 
Presidential Directive 12 (HSPD-12): Policy for a Common Identification 
Standard for Federal Employees and Contractors (Aug. 27, 2004); HSPD-
11: Comprehensive Terrorist-Related Screening Procedures (Aug. 27, 
2004); and National Security Presidential Directive/NSPD-59/HSPD-24: 
Biometrics for Identification and Screening to Enhance National 
Security (June 5, 2008).

PURPOSE(S) OF THE SYSTEM:
    This system will enable execution of administrative functions of 
the biometric repository such as redress operations, testing, training, 
data quality and integrity, utility, management reporting, planning and 
analysis, and other administrative uses.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals covered by EBAR include the individuals whose biometric 
and associated biographic information are collected by both DHS and 
non-DHS entities.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The unique records generated by EBAR include unique machine-
generated identifiers (e.g., Encounter Identification Number (EID), 
fingerprint identification number (FIN), and Transaction Control Number 
(TCN)) that link individuals with their encounters, biometrics, 
records, and other data elements.

RECORD SOURCE CATEGORIES:
    The categories of records covered by the EBAR SOR are derived and 
created from biometric and associated biographic information received 
by DHS from non-DHS entities covered by the DHS/ALL-041 Enterprise 
Biometric Records System of Records, and DHS entities (e.g., U.S. 
Customs and Border Protection, U.S. Citizenship and Immigration 
Services, Federal Emergency Management Agency, Transportation Security 
Administration, U.S. Immigration and Customs Enforcement, U.S. Coast 
Guard) which are the original collectors of the biometrics and covered 
by their own system SORNs:
     DHS/ALL-023 Department of Homeland Security Personnel 
Security Management, 75 FR 8088, (Feb. 23, 2010);
     DHS/ALL-026 Department of Homeland Security Personal 
Identity Verification Management System, 74 FR 30301 (June 25, 2009);
     DHS/CBP-002 Global Enrollment System, 78 FR 3441 (Jan. 16, 
2013);
     DHS/CBP-006 Automated Targeting System, 77 FR 30297 (May 
22, 2012);
     DHS/CBP-007 Border Crossing Information (BCI), 81 FR 89957 
(Dec. 13, 2016);

[[Page 14957]]

     DHS/CBP-010 Persons Engaged in International Trade in 
Customs and Border Protection Licensed/Regulated Activities, 73 FR 
77753 (Dec. 19, 2008);
     DHS/CBP-011 U.S. Customs and Border Protection TECS, 73 FR 
77778 (Dec. 19, 2008);
     DHS/CBP-021 Arrival and Departure Information System 
(ADIS), 80 FR 72081 (Nov. 18, 2015);
     DHS/CBP-023 Border Patrol Enforcement Records System of 
Records (BPER), 81 FR 72601 (Oct. 20, 2016);
     DHS/ICE-006 Intelligence Records System (IIRS), 75 FR 9233 
(March 1, 2010);
     DHS/ICE-007 Criminal History and Immigration Verification 
(CHIVe) System of Records, 83 FR 20844 (May 8, 2018);
     DHS/ICE-009 External Investigations, 75 FR 404 (Jan. 5, 
2010);
     DHS/ICE-010 Confidential and Other Sources of Information, 
78 FR 7798 (Feb. 4, 2013);
     DHS/ICE-011 Criminal Arrest Records and Immigration 
Enforcement Records (CARIER) System of Records, 81 FR 72080 (October 
19, 2016);
     DHS/ICE-014 Homeland Security Investigations Forensic 
Laboratory, 81 FR 45523 (July 14, 2016);
     DHS/TSA-001 Transportation Security Enforcement Record 
System, 83 FR 43888 (Aug. 28, 2018);
     DHS/TSA-021 TSA Pre[check]TM Applications 
Program, 78 FR 55274 (Sept. 10, 2013);
     DHS/USCIS/ICE/CBP-001 Alien File, Index, and National File 
Tracking System of Records, 82 FR 43556 (Sept. 18, 2017);
     DHS/USCIS-007 Benefits Information System, 81 FR 72069 
(Oct. 19, 2016);
     DHS/USCIS-018 Immigration Biometric and Background Check, 
83 FR 36950 (July 31, 2018);
     DHS/USCG-031 USCG Law Enforcement (ULE) System of Records, 
81 FR 88697 (Dec. 8, 2016).
    Records from external Federal partners include information from the 
following non-DHS systems of records, last published at:
     JUSTICE/INTERPOL-001 INTERPOL-United States National 
Central Bureau (USNCB) Records System, 75 FR 27821 (May 18, 2010) 
[Note: records shared with DHS include: law enforcement, intelligence, 
and national security records];
     JUSTICE/DOJ-005 Nationwide Joint Automated Booking System, 
72 FR 3410 (Jan. 25, 2007), 71 FR 52821 (Sept. 7, 2006);
     JUSTICE/FBI-009 Next Generation Identification (NGI) 
System of Records, 82 FR 24151 (May 25, 2017);
     JUSTICE/FBI-019 Terrorist Screening Records System of 
Records, 76 FR 77847 (Dec. 14, 2011);
     A0025-2 SAIS DoD Defense Biometric Services, 74 FR 48237 
(Sept. 22, 2009);
     A0025-2 PMG (DFBA) DoD Defense Biometric Identification 
Records System, 80 FR 8292 (Feb. 17, 2015);
     STATE-26 Passport Records, 76 FR 34966 (July 6, 2011);
     STATE-36 Security Records, 83 FR 28058 (Jun. 15, 2018);
     STATE-39 Visa Records, 83 FR 28062 (Jun 15, 2018).

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 agencies 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. secs. 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 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 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 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.
    I. To appropriate Federal, State, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations, with 
the approval of the Chief Privacy Officer, when DHS identifies a need 
to use relevant data for purposes of testing new technology.
    J. To a Federal, state, tribal, local, international, or foreign 
government agency or entity in order to provide relevant information 
related to intelligence, counterintelligence, or counterterrorism 
activities authorized by U.S. law, Executive Order, or other applicable 
national security directive.
    K. To the news media and the public, with the approval of the Chief 
Privacy

[[Page 14958]]

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 in secure 
facilities protected through multi-layer security mechanisms and 
strategies that are physical, technical, administrative, and 
environmental in nature. The records may be stored on magnetic disc, 
tape, and digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by select personal identifiers; primarily 
the FIN. The system also allows for queries based on other information 
in the system including but not limited to unique identification 
numbers.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The transactional record systems retention schedule is currently in 
development with OBIM and will be submitted thereafter to NARA for 
approval.

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:
    DHS will consider individual requests to determine whether or not 
information may be released. 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 FOIA Officer, whose contact information can 
be found at http://www.dhs.gov/foia under ``FOIA Contact 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 Freedom of Information Act 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 the individual maybe available under the 
Freedom of Information Act.
    When seeking records from this system of records or any other 
Departmental system of records, the request must conform with the 
Privacy Act regulations set forth in 6 CFR part 5. The individual must 
first verify his or her identity, meaning that he or she must provide 
his or her full name, current address, and date and place of birth. The 
individual must sign the request, and the 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 he or she believe the Department would have 
information being requested;
     Identify which Component(s) of the Department he or she 
believes may have the information;
     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;
    If the request is seeking records pertaining to another living 
individual, the person seeking the records must include a statement 
from the subject individual certifying his/her agreement for the 
requestor to access his or her records.
    Without the above information, the Component(s) may not be able to 
conduct an effective search, and the 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 
``Records Access Procedures'' above, and 6 CFR part 5.

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted this system from the following provisions of 
the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), (e)(2), 
(e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), and (e)(8); (f); and 
(g). Additionally, 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); and (f).
    Exemptions from these particular subsections are justified on a 
case-by-case basis determined at the time a request is made. When this 
system receives a record from another system exempted in that source 
system under 5 U.S.C. 552a(j)(2), 5 U.S.C. 552a(k)(1), (k)(2), and 
(k)(5), DHS will claim the same exemptions for those records that are 
claimed for the original primary systems of records from which they 
originated and claim any additional exemptions set forth here.

HISTORY:
    Records in this System of Records were previously covered under 
DHS/US-VISIT-001 DHS Automated Biometric Identification System (IDENT), 
72 FR 31080 (June 5, 2007) and DHS/NPPD/USVISIT-003 Technical 
Reconciliation Analysis Classification System (TRACS), 73 FR 116 (June 
16, 2008).

Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2020-04979 Filed 3-10-20; 8:45 am]
 BILLING CODE 9110-9B-P