[Federal Register Volume 87, Number 131 (Monday, July 11, 2022)]
[Notices]
[Pages 41141-41144]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-14673]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. FEMA-2022-0005]


Privacy Act of 1974; System of Records

AGENCY: Federal Emergency Management 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 (DHS) proposes to modify and reissue a current DHS 
system of records titled ``Department of Homeland Security/Federal 
Emergency Management Agency (FEMA)-004 Non-Disaster Grant Management 
Information Files System Records.'' This system of records allows DHS/
FEMA to collect and maintain records from points of contact for state, 
local, tribal, territorial, and other entities applying for FEMA grant 
programs that are not disaster related. FEMA collects grant management 
information to determine eligibility for DHS grant awards for non-
disaster grants and for the issuance of awarded funds. DHS/FEMA is 
updating this system of records to revise and add routine uses, as well 
as update the retention schedule. This updated system will be included 
in DHS's inventory of record systems.

DATES: Submit comments on or before August 10, 2022. This modified 
system will be effective upon publication. New or modified routine uses 
will be effective August 10, 2022.

ADDRESSES: You may submit comments, identified by docket number FEMA-
2022-0005 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: Lynn Parker Dupree, 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 FEMA-2022-0005. 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 please contact: 
Tammi Hines, (202) 212-5100, [email protected], Senior Director 
for Information Management Directorate, Federal Emergency Management 
Agency, Washington, DC 20472. For privacy issues please contact: Lynn 
Parker Dupree, (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, DHS/FEMA proposes to 
modify an existing DHS system of records titled, ``DHS/FEMA-004 Non-
Disaster Grant Management Information Files System of Records''. The 
goal of FEMA's non-disaster related grant programs is to provide 
funding to enhance the capacity of state, local, tribal, and 
territorial emergency responders to prevent, respond to, and recover 
from a weapon of mass destruction terrorism incident involving 
chemical, biological, radiological, nuclear, explosive devices, and 
cyber-attacks. FEMA's non-disaster grant programs currently provide 
funds to all 50 states, the District of Columbia, the Commonwealth of 
Puerto Rico, American Samoa, the Commonwealth of Northern Mariana 
Islands, Guam, the U.S. Virgin Islands, certain types of non-profit 
organizations, and some private entities. FEMA non-disaster related 
grant programs are directed at a broad spectrum of state and local 
emergency responders, including firefighters, emergency medical 
services, emergency management agencies, law enforcement, and public 
officials. The source of the

[[Page 41142]]

information collected by FEMA generally comes from state, local, 
tribal, and territorial governments; port authorities; transit 
authorities; non-profit organizations; and private companies seeking 
grant funding. The nature of data collected by FEMA includes basic 
public information about the agency or organization, the organization's 
financial information, and the organization's demonstrated need for the 
non-disaster grant funds.
    Many of FEMA's non-disaster related grant programs implement 
objectives addressed in the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act; a series of post-9/11 laws as outlined in the 
Authorities Section; the post-Katrina Emergency Management Reform Act 
(PKEMPRA) of 2006; and Homeland Security Presidential Directives 
(HSPD).
    FEMA is updating this System of Records Notice to reflect the 
following changes: Routine Use E is being modified, and Routine Use F 
is being added to conform to Office of Management and Budget Memorandum 
M-17-12 regarding breach notification and investigation. FEMA is also 
updating this System of Records Notice to clarify the updated retention 
schedule. The National Archives and Records Administration (NARA) 
General Records Schedule (GRS) has been updated since this notice was 
last published. These records now follow General Records Schedule 1.2, 
Item 10 and Item 21. Furthermore, this notice includes non-substantive 
changes to simplify the formatting and text of the previously published 
notice.
    Consistent with DHS's information-sharing mission, information 
stored in the DHS/FEMA-004 Non-Disaster Grant Management Information 
Files 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, information may be shared 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.
    This updated system will be included in DHS's inventory of record 
systems.

II. Privacy Act

    The Privacy Act codifies 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 Judicial 
Redress Act, along with judicial review for denials of such requests. 
In addition, the Judicial Redress Act prohibits disclosures of covered 
records, except as otherwise permitted by the Privacy Act.
    Below is the description of the DHS/FEMA-004 Non-Disaster Grant 
Management Information Files 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)/Federal Emergency Management 
Agency (FEMA)-004 Non-Disaster Grant Management Information Files.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    DHS/FEMA maintains records at DHS/FEMA Headquarters in Washington, 
DC, and DHS/FEMA regional field offices. Additionally, DHS/FEMA 
maintains records in FEMA information technology systems such as the 
FEMA Non-Disaster (ND) Grants and Assistance to Firefighters Grants 
(AFG) systems.

SYSTEM MANAGER(S):
    Deputy Assistant Administrator, Grant Program Directorate, Federal 
Emergency Management Agency, 500 C Street SW, Washington, DC 20472.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 614 of the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act (42 U.S.C. 5196c), as amended by Section 202, Title II 
of the Implementing Recommendations of the 9/11 Commission Act of 2007 
(Pub. L. 110-053); Section 1809 of the Homeland Security Act of 2002 (6 
U.S.C. 571 et seq.), as amended by Section 301(a) Title III of the 
Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. 
L. 110-053); Section 2003(a) of the Homeland Security Act of 2002 (6 
U.S.C. 101 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-053); Section 2004(a) of the Homeland Security Act of 2002 (6 
U.S.C. 101 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-053); Section 2004 of the Homeland Security Act of 2002 (6 
U.S.C. 605 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-53); Section 2005 of the Homeland Security Act of 2002 (6 U.S.C. 
606 et seq.), as amended by Section 101, Title I of the Implementing 
Recommendations of the 9/11 Commission Act of 2007, (Pub. L. 110-53); 
the Post-Katrina Emergency Management Reform Act of 2006 (6 U.S.C. 
723); Title III of Division D of the Consolidated Security, Disaster 
Assistance, and Continuing Appropriations Act, 2009 (Pub. L. 110-329); 
Title III of Division E of the Consolidated Appropriations Act, 2008 
(Pub. L. 110-161); Section 1406, Title XIV of the Implementing 
Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053); 
Section 1513, Title XV of the Implementing Recommendations of the 9/11 
Commission Act of 2007 (Pub. L. 110-053); Section 1532(a), Title XV of 
the Implementing Recommendations of the 9/11 Commission Act of 2007 
(Pub. L. 110-053); 46 U.S.C. 70107; the Federal Financial Assistance 
Management Improvement Act of 1999 (Pub. L. 160-107); and National 
Historic Preservation Act of 1966, as amended, Public Law 89-665, Sec. 
102, 16 U.S.C. 470.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to assist in determining eligibility 
of awards for non-disaster related grants and for the issuance of 
awarded funds. The system also allows DHS to contact individuals to 
ensure completeness and accuracy of grants and applications.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include the 
respective points of contact (POC) for grant applications and awardees 
of grant funds. Awardees of grant funds include state, local, tribal, 
and territorial governments; port authorities; transit authorities; 
non-profit organizations;

[[Page 41143]]

and private companies (in rare instances).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in this system include:
     Name of Organization's Designated Point of Contact;
     Point of Contact Title;
     Grant applicant organization Point of Contact's office 
mailing address;
     Grant applicant organization Point of Contact's office 
phone number;
     Grant applicant organization Point of Contact's office 
cellphone number;
     Grant applicant organization Point of Contact's office fax 
number;
     Grant applicant organization Point of Contact's work email 
address;
     Organization Name;
     Organization's Federal Employer Identification Number 
(EIN);
     Organization's Dun & Bradstreet (B&D) Data Universal 
Numbering System (DUNS) Number (a unique nine-digit numeric identifier 
assigned to each organization's location);
     Organization's Bank Routing Number; and
     Organization's Bank Account Number.

RECORD SOURCE CATEGORIES:
    DHS/FEMA obtains records from grantees, applicants for award, grant 
applicants' points of contact, and grant program monitors.

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 Offices of the 
United States 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 the department of Justice 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 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 
and 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 an individual's employer or affiliated organization to the 
extent necessary to verify employment or membership status.
    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.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    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.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    DHS/FEMA may retrieve records by the Point of Contact of an 
organization or the name of organization itself.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    DHS/FEMA retains grant application information for audit, oversight 
operations, and appeal purposes. In accordance with General Records 
Schedule (GRS) 1.2, Item 10, FEMA destroys grant administrative records 
and hard copies of unsuccessful grant application files after three 
years after final action is taken on the file. In accordance with 
General Records Schedule 1.2, Item 21, FEMA deletes electronically 
received and processed copies of unsuccessful grant application files 
after three years from the date final action is taken on the file.
    In accordance with NARA Authority N1-311-95-001, Item 1, FEMA 
maintains grant project records 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 NARA Authority N1-311-95-001, Item 3, FEMA 
retires grant final reports to the Federal Records Center three years 
after cutoff and transfers them to NARA 20 years after cutoff. In 
accordance with NARA

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Authority N1-311-95-001, Item 2; N1-311-01-008, Item 1; and N1-311-04-
001, Item 1, FEMA stores all other grant records for six years and 
three months from the date of closeout (when closeout is the date FEMA 
closes the grant in its financial system) and final audit and appeals 
are resolved and then deleted.
    The customer service assessment forms that have been filled out and 
returned by disaster assistance applicants are temporary records that 
are destroyed upon transmission of the final report, per NARA Authority 
N1-311-00-001, Item 1.
    The statistical and analytical reports resulting from these 
assessments are temporary records that are retired three years after 
the final report cutoff and destroyed 20 years after the report cutoff 
per NARA Authority N1-311-00-001, Item 2. The assessment results 
database are temporary records that are destroyed when no longer needed 
for analysis purposes, per NARA Authority N1-311-00-001, Item 3.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS/FEMA safeguards records in this system in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. DHS/FEMA imposes strict controls 
to minimize the risk of compromising the information that is being 
stored. DHS/FEMA limits access to the computer system containing the 
records in this system 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:
    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 FEMA's 
Freedom of Information Act (FOIA) Officer whose contact information can 
be found at https://www.dhs.gov/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, or 
electronically at https://www.dhs.gov/dhs-foia-privacy-act-request-submission-form. 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. An 
individual may obtain more information about this process at http://www.dhs.gov/foia. In addition, the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department he or she 
believes may have the information;
     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 the request is seeking records pertaining to another living 
individual, the request must include an authorization from the 
individual whose record is being requested, authorizing the release to 
the requester.
    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 Judicial Redress 
Act records, individuals may make a request for amendment or correction 
of a record of the Department about the individual by writing directly 
to the Department component that maintains the record, unless the 
record is not subject to amendment or correction. The request should 
identify each particular record in question, state the amendment or 
correction desired, and state why the individual believes that the 
record is not accurate, relevant, timely, or complete. The individual 
may submit any documentation that would be helpful. If the individual 
believes that the same record is in more than one system of records, 
the request should state that and be addressed to each component that 
maintains a system of records containing the record.

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    80 FR 13404 (March 13, 2015); and FR 39705 (August 7, 2009).
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Lynn P. Dupree,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2022-14673 Filed 7-8-22; 8:45 am]
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