Classified and unclassified.

Records are maintained at DHS and component Freedom of Information Act (FOIA) offices in Washington, DC, and at field locations. Electronic records are maintained within electronic request tracking systems. These records reside within DHS and component FOIA office systems and databases. These systems and databases include commercial off-the-shelf applications as well as government developed applications and systems.

The system encompasses all individuals who submit FOIA requests, Privacy Act requests, and administrative appeals to DHS; individuals whose requests and/or records have been referred to DHS by other agencies; attorneys or other persons representing individuals submitting such requests and appeals; individuals who are the subjects of such requests and appeals; individuals who file litigation based on their requests; Department of Justice (DOJ) and other government litigators; and/or DHS personnel assigned to handle such requests or appeals.

• Records received, created, or compiled in processing FOIA and Privacy Act requests or appeals, including:

• Original requests and administrative appeals and responses to either or both;

• Intra or interagency memoranda, referrals, correspondence, notes, fee schedules, assessments, cost calculations, and other documentation related to the referral and/or processing of the FOIA and/or Privacy Act request or appeal;

• Correspondence with the individuals or entities that submitted the requested records and copies of the requested records, including records that might contain confidential business information or personal information;

• Correspondence related to fee determinations and collection of fees owed under the FOIA; and

• Copies of requested records and records under administrative appeals.

• Types of information in the records may include:

• Requesters' and their attorneys' or representatives' information including name, address, email address, telephone numbers, fax numbers, office telephone numbers, and FOIA and Privacy Act case numbers;

• Name, address, email address, telephone numbers, and fax number of DHS employees and contractors;

• Name of the person who is the subject of the request or administrative appeal;

• Fee determinations and amounts of fees owed;

• Unique case identifier;

• Alien Registration Number (A-Number) of the requester/appellant or the attorney or other individual representing the requester, or other identifier assigned to the request or appeal;

• Other identifiers provided by a requester/appellant about him or herself, or about the individual whose records are requested, such as social security number, driver's license number, FBI Number, or A-Number.

• The system also contains copies of documents relevant to appeals and lawsuits brought under the FOIA and Privacy Act including those from DOJ and other government litigators.

5 U.S.C. 552 (Freedom of Information Act), 5 U.S.C. 552a (Privacy Act); 44 U.S.C. 3101 (Records Management by Federal Agencies); E.O. 12958 (Classified National Security Information, as amended).

The purpose of this system is to support the processing of record access requests and administrative appeals under the FOIA, as well as access, notification, and amendment requests and administrative appeals under the Privacy Act, whether DHS receives such requests directly from the requester or via referral from another agency. In addition this system is used to support agency participation in litigation arising from such requests and appeals, and to assist DHS in carrying out any other responsibilities under the FOIA or the access or amendment provisions of the Privacy Act.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, which includes the release of the name of individuals making FOIA requests and a description of the records requested as required by FOIA, 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 United States Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee 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 National Archives and Records Administration (NARA) or the General Services Adminstration (GSA) 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 programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 agency, including law enforcement, 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.

H. To a federal, state, local, or foreign agency or entity for the purpose of consulting with that agency or entity to enable DHS to make a determination as to the propriety of access to or correction of information, or for the purpose of verifying the identity of an individual or the accuracy of information submitted by an individual who has requested access to or amendment of information.

I. To a federal agency or other federal entity that furnished the record or information for the purpose of permitting that agency or entity to make a decision regarding access to or correction of the record or information, or to a federal agency or entity for purposes of providing guidance or advice regarding the handling of particular requests.

J. To the DOJ, to the Department of Treasury (DOT), or to a consumer reporting agency for collection action on any delinquent debt when circumstances warrant.

K. To the Office of Management and Budget (OMB) or the DOJ to obtain advice regarding statutory and other requirements under the FOIA or Privacy Act.

L. To National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the FOIA, and to facilitate OGIS's offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.

M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena, or in connection with criminal law proceedings.

N. In an appropriate proceeding before a court, grand jury, or administrative or adjudicative body, when DHS determines that the records are relevant to the proceeding; or in an appropriate proceeding before an administrative or adjudicative body when the adjudicator determines the records to be relevant to the proceeding.

O. To appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral government organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, when DHS believes the information would assist enforcement of applicable civil or criminal laws.

P. 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, or that disclosure would violate any federal statuate or regulation.

Disclosure to consumer reporting agencies:

Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).

Storage:

Records in this system are stored on paper and/or in electronic form. Records that contain national security information and are classified are stored in accordance with applicable executive orders, statutes, and agency implementing regulations.

Records are retrieved by the name of the requester or appellant; the number assigned to the request or appeal; and in some instances the name of the attorney representing the requester or appellant, the name of an individual who is the subject of such a request or appeal, and/or the name or other identifier of DHS personnel assigned to handle such requests or appeals.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is stored. Records and technical equipment are maintained in buildings with restricted access. The required use of password protection identification features and other system protection methods also restrict access. 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.

Records are retained and disposed of in accordance with the NARA's General Records Schedule 14, which can be found at:http://www.archives.gov/records-mgmt/grs/grs14.html.

FOIA and Privacy Act records in litigation are retained for ten years after the end of the fiscal year in which judgment was made or when all appeals have been exhausted, whichever is later. This disposition is temporary and is under review and approval was approved by the NARA through pending schedule N1-563-08-33, Item 11.

If the FOIA or Privacy Act record deals with significant policy-making issues, it is a permanent record.

A FOIA or Privacy Act record may qualify as a permanent federal record if the FOIA or Privacy Act record deals with significant policy-making issues. The National Archives, a facility operated by the National Archives and Records Administration (NARA), is responsible for safeguarding Government records. It requires that permanent records go to the National Archives when they are at least 30 years old or when the Agency determines that they are no longer needed for business purposes. Permanent records include all records accessioned by NARA into the National Archives of the United States and later increments of the same records, and those for which the disposition is permanent on SF 115s, Request for Records Disposition Authority, approved by NARA on or after May 14, 1973.

For DHS Headquarters records, Deputy Chief FOIA Officer, Privacy Office, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found athttp://www.dhs.gov/foiaunder "contacts."

If you are seeking notification of and access to any record contained in this system of records, or seeking to contest its content, you may submit a request in writing to the DHS Headquarters' or component's FOIA Officer, whose contact information can be found athttp://www.dhs.gov/foiaunder "contacts." If you believe more than one component maintains records in this system of records concerning you, you may submit the request to the Chief Privacy Officer and Chief FOIA 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.govor 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.

• If your request is seeking records on behalf of 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from those individuals who submit requests and administrative appeals pursuant to the FOIA and the Privacy Act or who file litigation regarding such requests and appeals; the agency record keeping systems searched in the process of responding to such requests and appeals; Departmental personnel assigned to handle such requests, appeals, and/or litigation; other agencies or entities that have referred to DHS requests concerning DHS records, or that have consulted with DHS regarding handling of particular requests; and submitters or subjects of records or information that have provided assistance to DHS in making access or amendment determinations.

Pursuant to 5 U.S.C. 552a(j)(2), potions of this system are exempt from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and (4): (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (e)(12); (f); (g)(1); and (h). Additionally, pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), (k)(5), and (k)(6), portions of this system are exempt 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 DHS is processing Privacy Act and/or FOIA requests, responding to appeals, or participating in FOIA or Privacy Act litigation, exempt materials from other systems of records may become part of the records in this system.

To the extent that copies of exempt records from other systems of records are entered into this system, DHS claims the same exemptions for those records that are claimed for the original primary systems of records from which they originated.

Unclassified.

This system of records is located in the Department of Homeland Security, Washington, DC 20528, as well as in the component DHS offices.

All persons appearing on mailing lists maintained throughout DHS to facilitate mailings to multiple addressees and other activities in furtherance of DHS duties. These lists include persons who have requested DHS material; members of the news media who have provided contact information; persons who serve on DHS boards and committees other than those covered by the Federal Advisory Committee Act which are covered under DHS/ALL 009 Advisory Committees (73 FR 57639), and other individuals having business with DHS who have provided contact information; individuals who enter contests sponsored by DHS; contractors or other individuals who work or attend meetings at DHS; and other persons who attend or have an interest in DHS programs, contests, exhibits, conferences, training courses, and similar events.

Categories of records in this system include:

• Individual’s name;

• Age;

• School grade; (where appropriate)

• School name; (where appropriate)

• Telephone numbers;

• E-mail address;

• Mailing address;

• Position/title;

• Business affiliation (where appropriate);

• Other contact information provided to DHS by individuals covered by this system of records; and

• Computer-generated identifier or case number where created in order to retrieve information.

5 U.S.C. 301; 44 U.S.C. 3101.

The system is maintained for the purpose of mailing informational literature or responses to those who request it; maintaining lists of individuals who attend meetings; maintaining information regarding individuals who enter contests sponsored by DHS; and for other purposes for which mailing or contact lists may be created.

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 of information contained in this system may be disclosed outside Department of Homeland Security (DHS) as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Information typically will be retrieved by an identification number assigned by computer or case number where created for tracking purposes, by e-mail address, or by name of an individual.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Some records are retained and disposed of in accordance with the National Archives and Records Administration’s General Records Schedule 12 (Communications Records). Other records are retained and disposed of in accordance with General Records Schedule 1. Files may be retained for up to three years or less depending on the record. For records that may be used in litigation, the files related to that litigation will be retained for three years after final court adjudication.

For Headquarters components of the Department of Homeland Security, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of the Department of Homeland Security, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted information the component(s) will 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.

See "Notification procedure" above.

See "Notification procedure" above.

Information contained in this system is obtained from affected individuals/organizations, public source data, other government agencies and/or information already in other DHS records systems.

None.

Unclassified.

Records are maintained at several Headquarters locations and in component offices of the Department of Homeland Security, in both Washington, DC and field locations.

The Homeland Security Act of 2002, Pub. L. 107-296, 6 U.S.C. 121; Federal Records Act, 44 U.S.C. 3101; 6 CFR Part 5; 5 U.S.C. app. 3; 5 U.S.C. 301 and Ch. 41; Executive Order 11348, as amended by Executive Order 12107; and Executive Order 9397 (SSN).

Current and former employees of DHS, volunteers and contractors; any individual who is or has been an employee of DHS and who has applied for, participated in or assisted with a training program; any other Federal employee or private individual, including contractors and others, who has participated in or assisted with training programs recommended, sponsored or operated by the Department of Homeland Security; and other participants in training programs, including instructors, course developers, observers, and interpreters.

The system includes all records pertaining to training, including:

• Individual’s name;

• Date of birth;

• Social security number;

• Address;

• Phone numbers;

• Email addresses;

• Occupation;

• Nomination forms;

• Registration forms;

• Course rosters and sign-in sheets;

• Instructor lists;

• Schedules;

• Payment records, including financial, travel and related expenditures;

• Examination and testing materials;

• Grades and student evaluations;

• Course and instructor critiques;

• Equipment issued to trainees and other training participants; and other reports pertaining to training; and

• Individuals who apply for but are not accepted for training.

Purpose:

This record system will collect and document training given to DHS employees, contractors, and others who are provided DHS training. This system will provide DHS with a means to track the particular training that is provided, identify training trends and needs, monitor and track the expenditure of training and related travel funds, schedule training classes and programs, schedule instructors, track training items issued to students, assess the effectiveness of training, identify patterns, respond to requests for information related to the training of DHS personnel and other individuals, and facilitate the compilation of statistical information about training.

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 of information contained in this system may be disclosed outside Department of Homeland Security (DHS) as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To a Federal, State, tribal, local or foreign government agency or professional licensing authority in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance or status of a license, grant, or other benefit by the requesting entity, to the extent that the information is relevant and necessary to the requesting entity’s decision on the matter.

I. To educational institutions or training facilities for purposes of enrollment and verification of employee attendance and performance.

J. To the Equal Employment Opportunity Commission, Merit Systems Protection Board, Office of the Special Counsel, Federal Labor Relations Authority, or Office of Personnel Management or to arbitrators and other parties responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of authorized duties.

K. To the Department of Justice or a consumer reporting agency for further action on a delinquent debt when circumstances warrant.

L. To employers to the extent necessary to obtain information pertinent to the individual’s fitness and qualifications for training and to provide training status.

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 or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

Yes.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Data may be retrieved by the individual’s name, social security number, or other personal identifier.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records are maintained and disposed in accordance with National Archives and Records Administration General Records Schedule, No. 1.

For Headquarters components of the Department of Homeland Security, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of the Department of Homeland Security, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted information the component(s) will 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.

See "Notification Procedure" above.

See "Notification Procedure" above.

Information originates within DHS and from the individual to whom the record pertains.

The Secretary of Homeland Security has exempted certain records in this system on the basis of 5 U.S.C. 552a(k) (6) in order to preserve the objectivity and fairness of testing and examination material.

Sensitive but unclassified.

Records are maintained at several Headquarters locations and in component offices of the Department of Homeland Security, in both Washington, DC and field locations.

• All persons who are authorized to access DHS information technology resources, including employees, contractors, grantees, private enterprises, and any lawfully designated representative of the above and including representatives of federal, state, territorial, tribal, local, international, or foreign government agencies or entities, in furtherance of the DHS mission.

• Individuals who serve on DHS boards and committees;

• Individuals who have business with DHS and who have provided personal information in order to facilitate access to DHS information technology resources;

• Individuals who are points of contact provided for government business, operations, or programs, and the individual(s) they list as emergency contacts;

• Individuals who voluntarily join a DHS-owned and operated web portal for collaboration purposes; and

• Individuals who request access but are denied, or who have had access revoked.

• Name;

• Social Security Number;

• Business and affiliations;

• Facility positions held;

• Business telephone numbers;

• Cellular phone numbers;

• Pager numbers;

• Numbers where individuals can be reached while on travel or otherwise away from the office;

• Citizenship;

• Level of access;

• Home addresses;

• Business addresses;

• Electronic mail addresses of senders and recipients;

• Justification for access to DHS computers, networks, or systems;

• Verification of training requirements or other prerequisite requirements for access to DHS computers, networks, or systems;

• Records on access to DHS computers and networks including user ID and passwords;

• Registration numbers or IDs associated with DHS Information Technology resources;

• Date and time of access;

• Logs of activity of DHS IT resources;

• IP address of access;

• Logs of Internet activity; and

• Records on the authentication of the access request, names, phone numbers of other contacts, and positions or business/organizational affiliations and titles of individuals who can verify that the individual seeking access has a need to access as well as other contact information provided to the Department that is derived from other sources to facilitate authorized access to DHS Information Technology resources.

44 U.S.C. 3101; EO 9397 (SSN), as amended by EO 13487; and 44 U.S.C. 3534.

This system will collect a discreet set of personally identifiable information in order to provide authorized individuals access to, or interact with DHS information technology resources, and allow DHS to track use of DHS IT resources. Directly resulting from the use of DHS information technology resources is the collection, review, and maintenance of any logs, audits, or other such security data regarding the use of such information technology resources.

The system enables DHS to maintain: Account information required for approved access to information technology; lists of individuals who are appropriate organizational points of contact; and lists of individuals who are emergency points of contact. The system will also enable DHS to provide individuals access to certain programs and meeting attendance and where appropriate, allow for sharing of information between individuals in the same operational program to facilitate collaboration.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3), as follows:

A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof.

B. To a congressional office from the record of an individual in response to 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 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To sponsors, employers, contractors, facility operators, grantees, experts, and consultants in connection with establishing an access account for an individual or maintaining appropriate points of contact and when necessary to accomplish a DHS mission function or objective related to this system of records.

I. To other individuals in the same operational program supported by an information technology system, where appropriate notice to the individual has been made that his or her contact information will be shared with other members of the same operational program in order to facilitate collaboration.

J. To federal agencies such as Office of Personnel Management, the Merit Systems Protection Board, the Office of Management and Budget, Federal Labor Relations Authority, Government Accountability Office, and the Equal Employment Opportunity Commission in the fulfillment of these agencies’ official duties.

K. To international, federal, state and local, tribal, private and/or corporate entities for the purpose of the regular exchange of business contact information in order to facilitate collaboration for official business.

L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are on paper and/or in digital or other electronic form. Digital and other electronic images are stored on a storage area network in a secured environment. Records, whether paper or electronic, may be stored at the DHS Headquarters or at the component level.

Information may be retrieved, sorted, and/or searched by an identification number assigned by computer, social security number, by facility, by business affiliation, email address, or by the name of the individual, or other employee data fields previously identified in this SORN.

Information in this system is safeguarded in accordance with applicable laws, rules and policies, including the DHS Information Technology Security Program Handbook and DHS Information Security Program Policy and Handbook. Further, DHS/ALL-004 General Information Technology Access Account Records system of records security protocols will meet multiple National Institute of Standards and Technology (NIST) Security Standards from Authentication to Certification and Accreditation. Records in the DHS/ALL-004 General Information Technology Access Account Records system of records will be maintained in a secure, password-protected electronic system that will utilize security hardware and software to include: Multiple firewalls, active intruder detection, and role-based access controls. Additional safeguards will vary by component and program. All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include: Restricting access to authorized personnel who have a "need to know;" using locks; and password protection identification features. Classified information is appropriately stored in accordance with applicable requirements. DHS file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel.

Records are securely retained and disposed of in accordance with the National Archives and Records Administration’s General Records Schedule 24, section 6, "User Identification, Profiles, Authorizations, and Password Files." Inactive records will be destroyed or deleted 6 years after the user account is terminated or password is altered, or when no longer needed for investigative or security purposes, whichever is later.

The System Manager is the Chief Information Officer (CIO), Department of Homeland Security, Washington, DC 20528.

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 Headquarters’ or component’s 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, Privacy Office, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1 -866-431-0486. In addition you 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.

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.

See "Notification procedure" above.

See "Notification procedure" above.

Information contained in this system is obtained from affected individuals/organizations/facilities, public source data, other government agencies and/or information already in other DHS records systems.

None.

Unclassified.

Records are maintained by the Department of Homeland Security at the DHS Data Center in Washington, DC and at a limited number of remote locations where DHS components or programs maintain secure facilities and conduct DHS’s mission.

Categories of individuals covered by this notice consist of:

A. All individuals who submit information through the DHS Traveler Redress Inquiry Program (TRIP).

B. All individuals whose records have been referred to a DHS component or program redress process by other components, programs, or agencies in connection with DHS TRIP.

C. Attorneys or other persons representing individuals submitting such requests and appeals and individuals who are the subjects of such requests.

D. DHS personnel or contractors assigned to handle such requests or appeals.

DHS Redress and Response Records System may contain:

A. Individual’s name; date of birth; contact information; phone number; e-mail address; address; flight or travel information; application information, including the date of request and a description of the circumstances that led to the request of the redress form; passport number; appropriate immigration documents; documents used to support application for entry; correspondence from individuals regarding their redress requests; records of contacts made by or on behalf of individuals; documents submitted to verify identity or otherwise support the request for redress; and any other document relevant and appropriate to the particular redress program.

B. For those requesting redress as representatives of affected individuals, representative name, contact information, phone number, e-mail address, relationship to the affected individuals, and power of attorney.

C. The name of the DHS component, DHS program, or other Federal agency, which will be responsible for addressing the incoming redress request as well as supporting components or agencies.

D. Administrative and contact information concerning DHS employees, contractors, or other agency representatives associated with the processing and/or adjudication of requests submitted to the redress process.

E. Appropriate information to reflect the resolution of a particular redress request, information determined during adjudication of the case, and sensitive information relevant to the redress process for the individual.

Privacy Act of 1974, 5 U.S.C. 552a, as amended; Intelligence Reform and Terrorism Prevention Act of 2004, section 4012, 49 U.S.C. 114(f); 19 U.S.C. 482, 1461, 1496, and 1581-1582; 8 U.S.C. 1357; Title VII of Public Law 104- 208; 49 U.S.C. 44909; and others.

This system maintains records in support of DHS TRIP that: (1) Coordinates DHS traveler redress programs to create a more efficient, effective, and easier process for individuals who believe they have been denied entry, refused boarding for transportation, or identified for additional screening at DHS component or program operational locations, including airports, seaports, train stations and land borders that may result in the individual being delayed or inconvenienced; and (2) stores information submitted by and collected from the individual or an individual’s representative and information recompiled from or created from information from other DHS components and program and other government agencies, in order to address the individual’s redress request.

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):

A. To a Federal, State, territorial, tribal, local, international, or foreign government agency or entity for the purpose of consulting with that agency or entity: (1) To assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.

B. To a Federal agency or entity that furnished a record or information for the purpose of permitting that agency or entity to make a decision regarding access to or correction of the record or information or to a Federal agency or entity that has information relevant to the redress request for purposes of obtaining guidance, additional information, or advice from such Federal agency or entity regarding the handling of this particular redress request.

C. To third parties lawfully authorized in connection with a Federal Government program, which is authorized by law, regulation, or rule, but only the information necessary and relevant to effectuate or to carry out a particular redress result for an individual and disclosure is appropriate to enable these third parties to carry out their responsibilities related to the Federal Government program, such as when the name and appropriate associated information about an individual who has been cleared and distinguished from a known or suspected threat to aviation security, is shared with the airlines to prevent future delays and disruptions for that individual while traveling.

D. To contractors, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or otherwise have an agency relationship with DHS, when the disclosure is necessary and relevant to the operation of the DHS TRIP program or the redress process of a DHS component or program in compliance with the Privacy Act, 5 U.S.C. 552a, as amended, including 5 U.S.C. 552a(m), in the case of the operation of all or a portion of this system of records on behalf of DHS.

E. To an appropriate Federal, State, territorial, 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, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and disclosure is appropriate to the proper performance of the official duties of the person receiving the disclosure.

F. To an appropriate Federal, State, territorial, tribal, local, international, or foreign government intelligence entity, counterterrorism agency, or other appropriate authority charged with investigating threats or potential threats to national or international security or assisting in counterterrorism efforts, where a record, either on its face or in conjunction with other information, identifies a threat or potential threat to national or international security, which includes terrorist activities, and disclosure is appropriate to the proper performance of the official duties of the person receiving the disclosure.

G. To a Congressional office, for 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.

H. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

I. To the United States Department of Justice (DOJ) (including United States Attorney offices) or another Federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation: (1) The United States, or any department or agency thereof; (2) any employee of DHS in his or her official capacity; or (3) any employee of DHS in his or her individual capacity where DOJ has agreed to represent said employee.

J. To appropriate agencies, entities, and persons when: (1) It is suspected or 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 harm to economic or property interests, identity theft or fraud, 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 is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Storage:

Records are stored electronically at the DHS Data Center in a secure facility. In addition, the records may be stored on a local system, magnetic disc, tape, CD-ROM, and other digital media, and may also be retained in hard copy format in secure file folders at the location of the DHS component or program for which the redress process exists.

Data are retrievable by the individual’s name or other identifier, such as case number, as well as non- identifying information.

Information in this system is safeguarded in accordance with applicable laws, rules, and policies, including the DHS Information Technology Security Program Handbook. The Redress and Response Records System security protocols will meet applicable NIST Security Standards, from Authentication to Certification and Accreditation. Records in the system will be maintained in a secure, password-protected electronic system that will utilize security hardware and software to include multiple firewalls, active intruder detection, and role-based access controls. Additional safeguards will vary by component and program. All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized personnel who have a need-to-know, using locks, and password protection identification features. DHS file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel.

DHS TRIP handles both information collected directly from the individual and information collected from DHS components and other agencies. DHS is working on a retention schedule with its Senior Records Officer for information collected directly from the individual. It is anticipated that the retention period for these records will be up to seven years. To the extent information is collected from other systems, data is retained in accordance with the record retention requirements of those systems.

The System Manager is the Program Manager, DHS TRIP, U.S. Department of Homeland Security, Washington, DC 20528.

Any individual who wants to know whether this system of records contains a record about him or her may contact the System Manager, noted above. An e-mail address and fax number will be provided to the individual after the submission of the redress request that may also be used.

Requests for access should be submitted to the System Manager when an individual seeks to access his or her information. Requesters will be required to provide adequate identification, such as a driver’s license, employee identification card, or other identifying document. Additional identification procedures may be required in some instances in accordance with various adjudication procedures related to the redress processing by DHS components or other agencies.

Requests for correction or amendment must identify the information to be changed and the corrective action sought. Requests must be submitted to the System Manager as provided above.

Any person, including citizens and representatives of Federal, State or local governments; businesses; and industries. Any Federal system with records appropriate and relevant to the redress process.

No exemption shall be asserted with respect to information submitted by and collected from the individual or the individual’s representative in the course of any redress process associated with this System of Records.

This system, however, may contain records or information recompiled from or created from information contained in other systems of records, which are exempt from certain provisions of the Privacy Act. For these records or information only, in accordance with 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), and (k)(5), DHS will also claim the original exemption for these records or information from subsections (c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and (8); (f); and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such information. Such exempt records or information may be law enforcement or national security investigation records, law enforcement activity and encounter records, or terrorist screening records.

These records could come from various DHS systems, such as the Treasury Enforcement Communications System (TECS) and the Transportation Security Information System (TSIS), or from third agency systems. DHS, after conferring with the appropriate component or agency, may waive applicable exemptions in appropriate circumstances and where it would not appear to interfere with or adversely affect the law enforcement or national security purposes of the systems from which the information is recompiled or in which it is contained. As required under the Privacy Act, DHS will issue a rule to describe more fully the needs and requirements for taking such exemptions on such information.

Unclassified.

Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC, and field locations.

Categories of individuals covered by this system include DHS employees or contractors and non-employees who have been injured on DHS property, or while performing their official duties. DHS employees or other individuals who file claims seeking benefits under the Federal Employee Compensation Act File (FECA) are covered by DOL/GOVT-1 Workers’ Compensation Programs, Federal Employee Compensation Act File, and are not included in this DHS system.

Categories of records in this system include:

• Injured person’s name;

• Individual’s age;

• Job title;

• Length of employment and current position;

• Employee classification;

• Home address;

• Telephone number;

• Accident and investigation reports;

• Accident and/or report number;

• Date of accident;

• Place of accident;

• Nature of accident;

• Operator license;

• Insurance information;

• Description of injury;

• Description of vehicles involved (title, make, year, license number, driver), if applicable;

• Type of treatment given;

• Description of the damaged property;

• Root cause analysis;

• Safety and health programs involved;

• Records of injuries and illnesses;

• Physicians’ reports;

• Incident analysis;

• Short-term and long-term preventive actions taken;

• Correspondence involving insurance claims; and

• Witness, suspect, subject information.

5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; Section 19 of Occupational Health & Safety Act of 1970; 5 U.S.C. 8101-8150, 8191-8193; Executive Order 11807.

The purpose of this system is to document accidents that occur on DHS property or while an employee or contractor is on official duty.

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 of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. §§ 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To the employee’s beneficiary in the event of death following the accident or injury or to the employee’s agent in case of disability.

I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

J. To third parties during the course of law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

K. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk.

L. To Department of Labor for processing and adjudicating claims under the Federal Employee’s Compensation Act or other workmen’s compensation claims.

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 or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by name, accident and/or report number, and/or date of accident.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records are destroyed six years after a case is closed, in accordance with National Archives and Records Administration General Records Schedule 10, Item 5.

For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification Procedure" above.

See "Notification Procedure" above.

Information originates with individuals, including employees and contractors, who have been injured on DHS property or while excising their official duties. Police reports, witness reports, statements from employees’ supervisors, doctors’ reports, reports of investigations conducted DHS, and/or insurance claims may also be included.

The Secretary of Homeland Security has exempted this system from subsections (d) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(3).

Unclassified.

Records are maintained at several Headquarters locations and in Component offices of DHS, in both Washington, D.C. and field offices.

The Chief Financial Officer, Financial Management Division, ocfo-fmd@hq.dhs.gov, Department of Homeland Security, Washington, D.C. 20528.

5 U.S.C. 5701 et seq., Travel, Transportation, and Subsistence; 44 U.S.C. 3101; 19 U.S.C. 1451; 31 U.S.C. 7701(c); the Chief Financial Officers Act of 1990, Pub. L. 101-576; Digital Accountability and Transparency Act (DATA Act) of 2014, Pub. L. 113-101, sec. 5; Debt Collection Improvement Act of 1996, Pub. L. 104-134; and 6 CFR part 11, Subpart A – Debt Collection.

The purpose of this system is to collect and maintain information from individuals in connection with reimbursable services provided to DHS to ensure the Department properly pays these individuals. This system will allow DHS to maintain payment records and record monies owed.

Categories of individuals include any individual or organization that serves as a creditor to DHS, including parties in interest for which reimbursable services are performed and employees for travel related reimbursements.

Categories of records in this system includes:

•Individual’s name;

•Date of birth;

•Employee identification number;

•Tax identification number, which may be a Social Security number in certain instances;

•Addresses and other general contact information, such as phone numbers, facsimile numbers, or email addresses;

•Importer of record number;

•Records of expenses (bills, refund checks, receipts, out-of-pocket travel expenses);

•Records of payments;

•Disbursement schedules;

•Bank account information;

•Invoices

•Monies owed; and

•Electronic financial institution data.

Records are obtained from DHS, its Components and offices, and individuals submitting supporting documentation for reimbursement.

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 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 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 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 unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. §§ 7111 and 7114.

J. To the Merit Systems Protection Board, arbitrators, the Federal Labors Relations Authority, Equal Employment Opportunity Commission, and other parties responsible for the administration of the Federal Labor-Management Program for the purpose of processing any corrective actions, grievances, or conducting administrative hearings or appeals, or if needed in the performance of other similar authorized duties.

K. To federal agencies that provide financial management services for DHS Components under a cross-servicing agreement for purposes such as budgeting, purchasing, procurement, reimbursement, reporting, and collection functions.

L.To the Department of the Treasury to verify eligibility for payment and to effect disbursement of authorized payments.

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 an unwarranted invasion of personal privacy.

To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

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.

Records may be retrieved by an individual’s name, tax identification number/Social Security number, employee identification number, or other personal identifier referenced in the categories of records in the system.

DHS destroys records six years after final payment or cancellation, or longer if required for a business use, in accordance with National Archives and Records Administration (NARA) General Records Schedule 1.1, Financial Management and Reporting Records, item 010, and DAA-GRS-2013-0003-0001.

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.

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 Headquarters or Component’s Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 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 or her identity, meaning that the individual must provide his or 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. sec. 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 believes the Department would have information on him or her;

•Identify which Component(s) of the Department the individual believes may have the information about him or 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 person seeking the records must include a statement from the subject individual certifying his or 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 individual’s request may be denied due to lack of specificity or lack of compliance with applicable regulations.

For records covered by the Privacy Act or covered JRA 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.

See "Record Access Procedures."

None.

80 FR 58289 (September 28, 2015); 73 FR 61885 (October 17, 2008).

Unclassified.

Records are maintained at several Headquarters locations and in Component offices of DHS, in both Washington, D.C. and field offices.

The Chief Financial Officer, Financial Management Division, ocfo-fmd@hq.dhs.gov, Department of Homeland Security, Washington, D.C. 20528.

5 U.S.C. sec. 5701 et seq., Travel, Transportation, and Subsistence; 19 U.S.C. sec. 1451; 26 U.S.C. sec. 6401(d); 31 U.S.C. sec. 7701(c); Chief Financial Officers Act of 1990, Pub. L. 101-576; Federal Debt Collection Procedures Act of 1990, Pub. L. 101-647; Debt Collection Improvement Act of 1996, Pub. L. 104-134; Digital Accountability and Transparency Act (DATA Act) of 2014, Pub. L. 113-101, sec. 5; and 6 C.F.R. Part 11, Subpart A – Debt Collection.

The purpose of this system is to collect and maintain records of debts owed to DHS.

Any individual or organization that is indebted to DHS. This may include: (1) individuals; (2) household members; (3) spouses; and (4) employers.

•Individual’s name;

•Date of birth;

•Tax identification number, which may be a Social Security number in certain instances;

•Addresses;

•Phone numbers;

•Email addresses;

•Name of employer;

•Waiver of Debt Letter of Appeal;

•Receipts;

•Notices of debts;

•Invoices;

•Record of payments, including refunds and overpayments;

•Records of previous improper payments by DHS;

•Records relevant to determinations of an individual’s or organization’s eligibility to receive payments from the Federal Government, including death records, Federal debt records, and status of individuals on Federal sanctions lists;

•Number and amount of unpaid or overdue bills;

•Record of satisfaction of debt or referral for further action;

•Correspondence and documentation with debtors and creditors;

•Electronic financial institution data;

•Household Information:

• Spouse information:

•Date of birth;

•Basic contact information;

•Tax identification number, which may be a Social Security number in certain instances; and

•Name of employer.

• Dependent information:

•Name;

•Age;

•Relationship.

Records are obtained from DHS, its Components and offices, and individuals submitting supporting documentation for reimbursement. Records covered by other systems of records include the Department of the Treasury/Bureau of the Fiscal Service .023-Do Not Pay Payment Verification Records, 78 FR 73923 (Dec. 9, 2013).

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 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. sec. 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 a Federal, state, or local agency so that the agency may adjudicate an individual’s eligibility for a benefit.

J. To the DOJ or other Federal agency for further collection action on any delinquent debt when circumstances warrant.

K. To a debt collection agency for the purposes of debt collection.

L. To approved Federal, state, and local government agencies for any legally mandated purpose in accordance with their authorizing statute or law and where an approved Memorandum of Agreement or Computer Matching Agreement is in place between DHS and the entity.

M. To provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. sec. 7111 and 7114.

N. To the Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, Equal Employment Opportunity Commission, and other parties responsible for the administration of the Federal Labor-Management Relations Program for the purpose of processing any corrective actions, grievances, or conducting administrative hearings or appeals, or if needed in the performance of other similar authorized duties.

O. To Federal agencies that provide financial management services for DHS Components under a cross-servicing agreement for purposes such as budgeting, purchasing, procurement, reimbursement, reporting, and collection functions.

P. To the Government Accountability Office, DOJ, or Offices of the United States Attorney, copies of the Debt Collection Officer’s file regarding the debt and actions taken to attempt to collect monies owed.

Q. 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.

To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

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.

Records may be retrieved by an individual’s name, tax identification number/Social Security number, employee identification number, or other personal identifier.

DHS destroys records six years after final payment or cancellation, or longer if required for a business use, in accordance with National Archives and Records Administration (NARA) General Records Schedule 1.1, Financial Management and Reporting Records, item 010, and DAA-GRS-2013-0003-0001.

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.

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 Headquarters or Component’s Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 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 or her identity, meaning that the individual must provide his or 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. sec. 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 believes the Department would have information on him or her;

•Identify which Component(s) of the Department the individual believes may have the information about him or 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 person seeking the records must include a statement from the subject individual certifying his or 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 individual’s request may be denied due to lack of specificity or lack of compliance with applicable regulations.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above.

See "Record Access Procedures."

None.

80 FR 58289 (September 28, 2015); 73 FR 61885 (October 17, 2008).

Unclassified.

Records are maintained at several Headquarters locations and in component offices of DHS in both Washington, DC, and field locations.

Categories of individuals covered by this system include any individual who applied to be on a committee, is currently serving on a committee, and/or has served on a committee and is no longer serving. Committee alternates are also included in this system. Individuals may be Federal employees.

Categories of records in this system may include:

• Individual’s name;

• Social security number;

• Place and date of birth;

• Gender;

• Ethnicity;

• Home address;

• E-mail address;

• Telephone number(s);

• Political affiliation, when appropriate;

• Work address;

• Employer;

• Title;

• Marital status;

• Military service;

• Education;

• Registration in professional societies;

• Work experience;

• Record of performance;

• Publications authored;

• Membership on boards and committees;

• Professional awards; and

• Other information which can be used to determine if the individual is fit to serve on the committee, such as description of private associations.

5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Pub. L. 92-463, Federal Advisory Committee Act, as amended; 5 U.S.C., App. 2 § 8; E.O. 9397; 14 U.S.C. 632; The Omnibus Budget Reconciliation Act of 1987, Pub. L. 101-103, sec 9503(c), 101 Stat. 1330, 1330-381 (1987) (codified at 19 U.S.C. sec 2071 note).

The purpose of this system is to collect and maintain information on advisory committee members. This system also collects and maintains information on applicants to identify the most qualified applicant and ensure a balanced advisory committee.

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 of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or it the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

I. To the General Services Administration to facilitate committee management within the Federal Government.

J. To an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee.

K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

By individual name and/or personal identifier.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records documenting the committee’s establishment, membership, policy, organization, deliberations, findings, and recommendations are permanent. These files are transferred to the National Archives and Records Administration on termination of the committee, in accordance with National Archives and Records Administration General Records Schedule 26. Earlier transfer is authorized for committees operating for three years or longer. Files relating to day-to-day committee activities and/or do not contain unique information of historical value are destroyed/deleted when the records are three years old.

For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters or the component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification Procedure" above.

See "Notification Procedure" above.

From the individual of record.

None.

Unclassified.

DHS maintains records at several Headquarters locations and in Component offices of DHS, in both Washington, D.C. and field locations. DHS also maintains records in the Department of Interior’s (DOI) Oracle Federal Financials (OFF) Virtual Environment in Reston, VA and Denver, CO.

Categories of individuals covered by this system include all current and former DHS employees and contractors assigned government-owned assets (e.g., laptop computers, communication equipment, firearms, and other assets).

Categories of records maintained in this system include:

Individual’s name;

Employee ID number; enter Email address;

Office name;

Office location;

Office telephone number;

Property management records, which include information on government-owned property (e.g., laptop computers, communication equipment, firearms, and other assets) in the personal custody of the individuals covered by this system and used in the performance of their official duties.

5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; 40 U.S.C. 121; and 41 CFR Chapter 101.

The purpose of this system is to track all DHS-owned or controlled property that has been issued to current and former DHS employees and contractors.

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 of 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 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 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) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. §§ 7111 and 7114.

I. To the Merit Systems Protection Board, arbitrators, the Federal Labors Relations Authority, Equal Employment Opportunity Commission and other parties responsible for the administration of the Federal Labor-Management Program for the purpose of processing any corrective actions, or grievances, or conducting administrative hearings or appeals, or if needed in the performance of other authorized duties.

J. To federal agencies that provide financial management services for DHS Components under a cross-servicing agreement for purposes such as budgeting, purchasing, procurement, reimbursement, asset management, reporting, and collection functions

K. 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, 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.

Storage:

DHS stores records in this system electronically in multiple databases or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

DHS retrieves data by name or employee ID number.

DHS safeguards records in this system in accordance with 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. DHS limits access to the computer system containing the records 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.

DHS destroys records in accordance with the NARA General Record Schedule 3, Inventory Files (NC1-64-77-5 item 10b), and are destroyed two years after equipment is removed from agency control.

The Chief Readiness Support Officer, Department of Homeland Security, Washington, D.C. 20528.

Individuals seeking notification of and access to any record contained in this system of records, including DHS records hosted by another federal agency under a cross-servicing agreement for financial management services, or seeking to contest its content, may submit a request in writing to the Headquarters or Component’s Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://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, Department of Homeland Security, 245 Murray Drive, S.W., Building 410, STOP-0655, Washington, D.C. 20528-0655.

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 and FOIA 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;

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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are generated from property purchase orders and receipts; acquisition, transfer and disposal of data; or otherwise from the record subject.

None.

Unclassified.

Records are maintained at several Headquarters locations and in Component offices of the Department of Homeland Security, in both Washington, D.C. and field locations.

For DHS Headquarters Components, the System Manager is the Deputy Chief Freedom of Information Act (FOIA) Officer, Department of Homeland Security, Washington, D.C. 20528. For Components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "Contacts."

5 U.S.C. 4502 et seq., 5 U.S.C. 301, 5 U.S.C. 4103, 44 U.S.C. 3101, Public Law 107-296, Executive Order (E.O.) 9830, and E.O. 12107.

The purpose of this system is to (1) collect and use biographic information on professional background, education, qualifications, and academic achievements of DHS employees, DHS contractors, and non-DHS individuals as background information to consider and publicly recognize DHS awardees and nominees; (2) aid DHS in setting up and conducting meetings with DHS and contractor employees; and (3) create information materials for publication outside of the Department as part of public events, conferences, and meetings.

Categories of individuals within this system include:

1. Current and former DHS employees, contractors, and other non-DHS individuals who are award nominators, recipients, or nominees. This category of individuals does not include DHS employees who receive Departmental employment performance-based awards as that information is covered for the purposes pursuant to "OPM/GOVT-2 Employee Performance File System Records."

2. Non-DHS individuals who attend meetings with DHS personnel who provide biographic information to aid DHS in setting up and conducting such meetings.

• Full name;

• Date of birth;

• Place of birth;

• Photo;

• Work history and experience;

• Education;

• Military experience, if applicable;

• Civic duties and previous awards;

• Immigration history, to include date of naturalization;

• Hometown;

• Hobbies and personal interests;

• Job title;

• Name and job title of Supervisor;

• Personal and/or Professional phone numbers;

• Personal and/or Professional email addresses;

• Personal and/or Professional addresses;

• Employee/Contractor identification or badge number;

• Identity documentation;

• Professional qualifications, beyond what is described in OPM-approved position description;

• Type of award for which received/nominated for (e.g., President, Secretary, or Component Leadership);

• Name of the nominating official;

• Nomination materials including a summary of outstanding accomplishments, distinguished service, or extraordinary valor to make him or her eligible for an award;

• Published factual account of the nominee’s accomplishments; and

• Other information directly relevant to the award that may be collected and distributed to the public.

Records are obtained directly from DHS employees, contractors, and non-DHS individuals who have submitted biographies to DHS or have been selected or nominated for a DHS award; the nominating individual or organization; or other sources available to the general public.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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. sec. 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. 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.

H. To unions recognized as exclusive bargaining representatives of the individual under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, and other parties responsible for the administration of the Federal labor-management program for the purpose of processing any corrective actions, grievances, conducting administrative hearings or appeals, or if needed in the performance of other authorized duties.

I. To audiences attending a particular event, conference, or meeting when the biographies of speakers are used as background in introductions or other informational material, and to the public when used to recognize individuals for awards not covered pursuant to an OPM SORN or used to recognize non-DHS individuals.

J. To an appropriate Federal, state, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, delegation or designation of authority, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, delegation or designation of authority, or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

K. 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.

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.

DHS retrieves records by name, job title, date of naturalization, award title, and location where the individual resides or works.

DHS retains and disposes of records in accordance with NARA General Records Schedule (GRS) 2.2, item 30. Employee awards files (excluding records relating to Department-level awards and awards for non-DHS individuals) will be destroyed when two years old or two years after award is approved or disapproved, whichever is later, but longer retention is authorized if required for a business use. Individual Components may develop separate retention schedules in consultation with NARA. Records pertaining to Department-level awards and all awards for non-DHS individuals must be scheduled by submitting an SF 115, Request for Records Disposition Authority, to NARA. Records pertaining to biographies for meetings and speaking engagements are retained and disposed of in accordance with NARA GRS 6.4, item 10. Records will be destroyed when three years old, or no longer needed, whichever is later.

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 stored information. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information in furtherance of the performance of their official duties, and who have appropriate clearances or permissions.

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 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, D.C. 20528-0655. Even if neither the Privacy Act nor the JRA provide a right of access, certain records about a person may be available under FOIA.

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. sec. 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 FOIA Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, the individual should:

• Explain why the individual believes 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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above.

See "Record Access Procedures."

None.

DHS/ALL-011 Department of Homeland Security Biographies and Awards, 73 FR 66654 (Nov. 10, 2008).

Unclassified.

Records are maintained at the DHS offices and childcare facilities.

DHS employees, other Federal Employees, and other individuals at Family Childcare (FCC) Homes enrolled in DHS- sponsored childcare programs and eligible children.

Categories of records in this system include:

• Employee’s/guardian’s name;

• Employee’s/guardian’s home address;

• Employee’s/guardian’s home phone;

• Employee’s/guardian’s financial information to include:

• Salary information;

• Family income;

• Credit card information;

• Bank information;

• Employee’s/guardian’s work address;

• Employee’s/guardian’s work phone;

• Employee’s/guardian’s email address;

• Emergency contact’s name;

• Emergency contact’s address;

• Emergency contact’s phone;

• Child’s name;

• Child’s address;

• Child’s phone;

• Medical, dental, and insurance provider data;

• Medical history of the child including records of immunizations, allergies, and current medications;

• Records of physical, emotional, or other special care requirements;

• A picture of the child;

• Correspondence between the childcare facility and the guardian, such as authorization to release the child to another person besides the guardian and field trip permission slips; and

• Records provided by parents/guardians to enhance cultural and social enrichment activities. These records may include family background, cultural, and ethnic data such as religion, native language, and family composition.

5 U.S.C. 301; 14 U.S.C. 515; 40 U.S.C. 590, Childcare Services for Federal Employees; The Federal Records Act, 44 U.S.C. 3101; Executive Order 9373.

The purpose of this system is to administer DHS-sponsored childcare programs.

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 of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To provide to Federal, State, or local governments and agencies to report medical conditions and other data required by law; in order to aid in preventive health and communicable disease control problems.

I. To the Department of Agriculture for use in determining eligibility to participate in the Childcare Food Program.

J. To appropriate State and local governmental agencies as well as non-profit organizations to determine eligibility for State and local or non-profit childcare subsidies.

K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by the employee/guardian’s name and by the child’s name.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Child’s record file is destroyed three years after date of last action. Registration/medical forms may be sent to another facility if a child transfers. Child Care Food Program eligibility records are transferred to an audit file at the end of each year where they are not retrieved by child’s name. Records subject to an audit are destroyed after three years or after being audited, whichever is sooner.

For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters’ or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are generated from guardians and child’s medical care providers.

None.

Unclassified.

Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC and field locations.

Any individual or entity who submits a claim to DHS and/or its components or against whom DHS files a claim.

Categories of records in this system include:

• Individual’s or entity’s name;

• Social security number;

• Entity’s corporate tax identification number;

• Addresses;

• Telephone numbers;

• Description of the claim;

• Status of the claim;

• Banking account and routing number;

• Correspondence between the claimant or claimant’s representative and DHS;

• Witness statements;

• Photos;

• Documents submitted by the claimant or claimant’s representative in support of the claim; and

• Documents relating to the administrative handling of the claim.

5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107- 296; 6 U.S.C. 121; 28 U.S.C. 2671-2680; Federal Tort Claims Act; and Executive Order 9397.

The purpose of this system is to respond to and process claims submitted to, or by, DHS, including requests for waivers of claims.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

I. To appropriate Federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk.

J. To another Federal agency or third party, including insurance companies or worker’s compensation carriers, when the claimant(s) may be covered for the damage, loss or injury by insurance and/or a third party is alleged to have or may have, caused or contributed to the damage, loss or injury of the claimant(s).

K. To foreign governments when the claimant is a citizen of that foreign nation or when the United States has an agreement with that foreign country which affects payment of the claim

L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Data may be retrieved by an individual’s or entity’s name, Social Security number, corporate tax identification number, address, description and status of claim, and/or other personal identifier.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records are destroyed after six years and three months of claim settlement, in accordance with National Archives and Records Administration General Records Schedule 6, Item 10. For claims which the Government’s right to collect was not extended, records are destroyed ten years, three months after the year in which the Government’s right to collect first accrued, in accordance with National Archives and Records Administration General Records Schedule 6, Item 10.

For Headquarters components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters’ or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Information originates from individuals and entities who submit claims, responses to claims, or requests for waiver of claims to DHS.

The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2), (3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C.(j)(2). In additional, the Secretary of Homeland Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (2), and (3).

Unclassified.

Records are maintained at DHS and Federal Emergency Management Agency (FEMA) Headquarters in Washington, D.C. and field offices. Personnel emergency contact information is typically maintained locally by individual DHS offices.

The System Manager is the Director, Office of Operations Coordination (OPS), Department of Homeland Security, Washington, D.C. 20528.

The Homeland Security Act of 2002, 6 U.S.C. sec. 313, 314, 317, 320, 321a, and 711; Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. sec. 5144, 5149, 5170b, 5192, and 5197.

The purpose of this system is for DHS workforce accountability, to support DHS all-hazards emergency response deployments and exercises, and to contact designated persons in the event of an emergency.

Categories of individuals in this system include:

•Current and former DHS personnel, including Federal employees and contractors;

•Current and former Federal employees, contractors, or other individuals (e.g., SLTT personnel) who participate in or conduct emergency response training exercises;

•Current and former Federal employees, contractors, or other individuals (e.g., state, local, tribal, and territorial (SLTT) personnel) who respond to all-hazards emergencies including technical, manmade, or natural disasters; and

•Individuals identified by current or former DHS personnel as emergency points of contact, including family members and next of kin.

Categories of records related to current and former DHS personnel, including Federal employees and contractors, include:

• Name;

• Work contact information (address, email address, phone, fax);

• Personal contact information (address, email address, phone numbers, pager number, and personal identification number [PIN]);

• Company/organization name;

• Supervisor name and contact information.

Categories of records related to DHS and non-DHS individuals identified as emergency points of contact may include:

• Name;

• Work contact information (address, email address, phone, fax);

• Personal contact information (address, email address, phone numbers, pager number, and pin number); and

• Relationship to current or former DHS personnel.

Categories of records related to DHS and non-DHS Federal employees, contractors or other individuals who participate in or who respond to all-hazards emergencies including technical, manmade or natural disasters, or who participate in emergency response training exercises may include:

• Name;

• Social Security number;

• Date of birth;

• Identifiers related to deployment;

• Height, weight, and other personal characteristics, if applicable;

• Work contact information (address, email address, phone, fax);

• Personal contact information (address, email address, phone numbers, pager number, and pin number);

• Deployment contact information (lodging address and phone number) while deployed;

• Company/organization name and organization code;

• Job information (position title, start date, duty status, pay status, and employment type);

• Supervisor name and contact information;

• Deployment point of contact name and contact information;

• Approvals, authorizations, certifications, and proficiency levels for training and deployment;

• Information on deployment position (program area, position type);

• Geospatial location information;

• Status of credentials for access to regulated facilities;

• Status of Government credit card (yes or no);

• Clearance and access level;

• Deployment information (duty station, dates, and lodging);

• Skills inventory, qualifications, specialties, and proficiency levels;

• Volunteered medical information;

• Emergency response group/non-emergency response group status; and

• Emergency recall rosters.

Records are obtained from DHS personnel (including Federal employees and contractors); individuals who participate in or conduct exercises or who respond to all-hazards emergencies including technical, manmade, or natural disasters; and other government agencies.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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. sec. 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 determines that information from this system of records is reasonably necessary and otherwise compatible with the purpose of collection to assist another Federal 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; or

2. DHS suspects or has confirmed that there has been a breach of this system of records; and (a) 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 (b) 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 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 a Federal, state, tribal, or local agency, if the information is relevant and necessary, for the requesting agency’s approval on the issuance of a security clearance or for the purpose of providing support in an all-hazards emergencies including technical, manmade, or natural disasters.

I. To Federal, state, tribal, local, international, or foreign governmental agencies or executive offices, relief agencies, and non-governmental organizations, when disclosure is appropriate for performance of the official duties required in response to all-hazards including technical, manmade, or natural disasters.

J. To identified emergency contacts of:

1. Current and former DHS personnel, including Federal employees and contractors;

2. Current and former Federal employees, contractors, or other individuals who participate in or conduct exercises; or

3. Current and former Federal employees, contractors, or other individuals who respond to all-hazards emergencies including technical, manmade, or natural disasters.

K. 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 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.

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.

DHS retrieves records by an individual’s name, location, or other personal identifier.

Records relating to current and former DHS employees, and individuals designated as emergency points of contact, will be reviewed annually and will be updated as necessary, and will be destroyed when obsolete, or upon separation or transfer of the employee, in accordance with National Archives and Records Administration (NARA) General Records Schedule (GRS) GRS 5.3, Item No. 020 (DAA-GRS-2016-0004-0002). Records on non-DHS individuals will be deleted when obsolete and of no longer use to the Department. The Department also intends to rely on GRS 2.7, Employee Health and Safety, which is currently pending with NARA. Federal Emergency Management Agency Records Schedule EOM-16, which will cover records related to deployment activities, will be submitted by FEMA to NARA for review and approval. FEMA proposes that records related to deployment activities be considered temporary records with a cutoff at the end of each calendar year and are destroyed 50 years after the cutoff date.

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.

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 Headquarters or component’s 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 Freedom of Information Act Officer, Department of Homeland Security, Washington, D.C. 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 to 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. sec. 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 the individual believes the Department would have information on him/her;

• Identify which component(s) of the Department the individual believes may have the information about him or 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 or 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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above.

See "Record Access procedure."

None.

81 FR 48832 (July 26, 2016); 73 FR 61888 (October 17, 2008).

Unclassified.

Records are maintained at the United States Coast Guard Headquarters in Washington, D.C. and field offices.

All USCG active duty, reserve, and retired active duty and reserve military personnel and their eligible dependents/individuals who have been referred for assistance or counseling, are being assisted or counseled, or have been assisted or counseled by the USCG Employee Assistance Program. Eligibility will vary based on status.

Categories of records in this system include:

Military personnel's name;

Eligible dependent/individual's name, if applicable;

Social Security number;

Employee identification number;

Date of birth;

Addresses;

E-mail address;

Telephone numbers;

Job-related information including: job title; rank; duty station; supervisor's name and telephone number; documents received from supervisors or personnel regarding work place problems or performance; leave and attendance records; and workplace-related recommendations made to supervisors as a result of a team meeting;

Counseling and intervention-related information including: notes and documentation of Employee Assistance Program counselors; records of treatment, including non-clinical educational interventions; counseling referrals; team reports; records of employee attendance at treatment and counseling programs; prognosis of individuals in treatment or counseling programs; insurance data; addresses and contact information of treatment facilities; name and address of individuals providing treatment or counseling or intervention; and Privacy Act notification forms and written consent forms;

USCG Workplace Violence and related Critical Incident Team records of the Workplace Violence Prevention Program, maintained by USCG Work-Life personnel. These records may include written reports and recommendations to leadership personnel regarding alleged work place violence incidents;

USCG Critical Incident Stress Management-related records, which may include descriptions of incidents, consultations, interventions, and may contain personally-identifying information (for the purpose of follow-on contacts with those thought to be impacted by the critical incident);

USCG Sexual Assault Prevention and Response Program case records maintained by USCG Work-Life personnel. These records are used to facilitate services for victims and their family members as appropriate. In addition to information cited above, these records may contain Victim Reporting Preference Statement, case notes, and safety plan. Record may also contain descriptions of alleged assaults;

USCG Victim Support Person or Victim Advocate maintained by USCG Work-Life personnel. These are maintained in conjunction with efforts to provide assistance to victims of crime. Records will contain signed Victim Support Person or Victim Advocate Statement of Understanding and Victim Support Person or Victim Advocate Supervisor;

Statement of Understanding, assignment information, and notes regarding results of screening interview, relevant training received, and any other information relevant to the Victim Support Person's or Victim Advocate's provision of support services to victims;

USCG Critical Incident Stress Management Peer Volunteers maintained by USCG Work-Life personnel. These records contain statement of understanding, notes regarding screening interview, record of related training received, and any other information relevant to the peer's provision of services when deployed after a critical incident;

Case records maintained by USCG Work-Life personnel on USCG Active Duty members who have demonstrated suicidal behavior. The purpose of these records is to facilitate continuity of care for personnel who have exhibited suicidal behavior. These records will contain reports regarding each incident and follow-up case notes;

Reports of USCG active duty suicidal behavior incidents, work place violence incidents, critical incidents, and sexual assaults are maintained by USCG Headquarters (CG-1112). These reports are received from Work-Life Offices, which are responsible for providing services for the related programs described above. Their purpose is to ensure continuity of care and to identify any systemic issues found in aggregate data.

5 U.S.C. 7361, 7362, 7901, and 7904; 5 U.S.C. 301; Federal Records Act, 44 U.S.C. 3101.

The Employee Assistance Program will maintain information gathered by and in the possession of the USCG Employee Assistance Program, an internal agency program designed to assist employees of USCG and, in certain instances, their eligible dependents/individuals, in regard to a variety of personal and/or work related problems. The program involves counseling, educational, and consultative services provided through the internal and external Employee Assistance Program for alcohol, drug, emotional, or behavioral problems, and addresses mandatory and voluntary counseling following exposure to a traumatic incident, responses to critical incidents that impact employees, and workplace incidents involving actual violence or the threat of violence and necessary follow up.

Disclosure of substance abuse records is limited to the parameters set forth in 42 U.S.C. 290dd, 290ee, and Public Law 100-71, Section 503(e). Accordingly, a Federal employee's substance abuse records may not be disclosed without the prior written consent of the employee, unless the disclosure would be one of the following:

A. To the Department of Justice (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 necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity when DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

B. 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) or harm to the individual who relies upon the compromised information;

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

C. 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.

D. To appropriate State and local authorities to report, under State law, incidents of suspected child abuse or neglect to the extent described under 42 CFR 2.12.

E. To any person or entity to the extent necessary to prevent an imminent and potential crime that directly threatens loss of life or serious bodily injury.

F. To report to appropriate authorities when an individual is potentially at risk to harm himself or herself or others.

G. To medical personnel to the extent necessary to meet a bona fide medical emergency.

H. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation provided that employees are individually identified.

I. To the employee's medical review official.

J. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment or is otherwise participating.

K. To any supervisory or management official within the employee's agency having authority to take adverse personnel action against such employee.

L. Pursuant to the order of a court of competent jurisdiction when required by the United States Government to defend against any challenge against any adverse personnel action. See 42 U.S.C. 290dd, 290ee, and Public Law 100-71, Section 503(e).

Disclosure to consumer reporting agencies:

None.

Storage:

USCG 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, or digital media.

USCG may retrieve records/data by a Military personnel's or eligible dependent's name. USCG Critical Incident Stress Management-related records are filed by unit name and are not retrievable by individual name, but instead, by unit name.

USCG safeguards records in this system in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. USCG imposes strict controls to minimize the risk of compromising the information in this system. 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.

USCG maintains and disposes of records in accordance with National Archives and Records Administration-approved agency Records Schedule, SSIC 1754, item 1 (AUTH: N1-026-07-1, Item1) Employee Assistance Program (EAP) Coordinator Case Records; if not disclosed under the Privacy Act, records are retained for three years after the client has ceased contact and then destroyed.

Employee Assistance Program client records may contain Department of Transportation-required Substance Abuse evaluations and USCG Sexual Abuse Prevention and Response Program client records; if not disclosed under the Privacy Act, these are destroyed with the EAP Coordinator case records three years after the last contact with the client.

Employee Assistance Program Coordinator Case Records that USCG discloses are retained until five years after the client has ceased contact or, if later, for five years after last disclosure of information from the record, as authorized by General Records Schedule 14, item 23.

All records will be retained beyond their normal maintenance period until any pending litigation is completed. This will be true whether or not the client has terminated employment with DHS/USCG. Individual states may require longer retention. The rules in this system notice should not be construed to authorize any violation of such state laws that have greater restrictions.

USCG will destroy files only after the required period of maintenance, with a witness present, by either (1) a DHS or USCG Employee Assistance Program Administrator or an Employee Assistance Program Administrator from another organization that contracts with DHS or USCG for Employee Assistance Program services, or (2) by designated staff of a private or governmental organization under contract with DHS or USCG to provide document destruction services. The witness must be trained in the proper handling of records covered by the Privacy Act and 42 CFR part 2.

USCG destroys written records by shredding or burning. USCG destroys records stored on hard drives using software tools that ensure the protection of the confidential information by making reconstruction or compromise by reuse impracticable. USCG disposes of records contained on back-up tapes/diskettes by either physically destroying the tapes/diskettes or by deleting them using software tools which ensure the protection of the confidential information by making reconstruction or compromise by reuse impracticable.

USCG transfers records located away from the destruction site in a confidential manner. No other information about Employee Assistance Program clients may be maintained once these files have been destroyed.

Commandant (CG-111), United States Coast Guard, Mail Stop 7907, Washington, D.C. 20593-0001.

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 Commandant (CG-611), United States Coast Guard, Mail Stop 7710, Washington, D.C. 20593.

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, S.W., Building 410, STOP-0655, Washington, D.C. 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are retained from the following sources:

USCG Employee Assistance Program: the client, the licensed mental health provider, and collateral sources and resources intended to help the client;

USCG Workplace Violence and related Critical Incident Team: investigation records, personnel records, critical incident team assembled to make recommendations to command, subject's supervisors, and the subject;

USCG Critical Incident Stress Management-related records: Work-Life staff, Peers, Incident commander, command(s) affected, individuals impacted by incident, and other support persons who may be mobilized to assist those impacted by the event;

USCG Sexual Assault Prevention and Response Program: victim, victim support person, medical personnel assisting victim, criminal investigations and investigators, and other support personnel intended to assist victim;

USCG Victim Support Persons (VSP): the victim support person, Work-Life staff, VSP's or Victim Advocate's work supervisor, and other support persons who may assist in training;

USCG Critical Incident Stress Management Peer Volunteers: Peer, Peer's supervisor, Work-Life staff, and other support persons who may assist in training;

Case records maintained by USCG Work-Life personnel on USCG Duty members who have demonstrated suicidal behavior: the patient, medical personnel, patient's command, and Work-Life staff and other support persons who may assist in helping the patient; and

Reports of USCG active duty suicidal behavior incidents, work place violence incidents, critical incidents, and sexual assaults maintained by USCG Headquarters (CG-1112): Work-Life staff and others as described above under their related programs.

None.

Records are maintained at several Headquarters locations and in component offices of the Department of Homeland Security, in both Washington, D.C. and field locations.

For DHS Headquarters, the System Manager is the Chief Information Officer, cio@hq.dhs.gov, 202-447-3735, Department of Homeland Security, Washington, D.C. 20528. For components of DHS, the System Managers are their respective Chief Information Officers. Links to component contact information can be found at https://www.dhs.gov/direct-contact-information under "Contact information for DHS Components."

5 U.S.C. 301, 31 U.S.C. 1115(b)(6), 44 U.S.C. 3101, 44 U.S.C. 3506, 40 U.S.C. 11313, E.O. 13571.

The purpose of this system is to manage all correspondence including incoming information and responses to inquiries, comments, or complaints made to DHS.

Individuals who submit inquiries, complaints, comments, or other correspondence to DHS, excluding Privacy Act or FOIA requests, or standard immigration applications; individuals who are the subject of the correspondence; and any responding individual on behalf of DHS are covered by this SORN.

•Full name;

•Physical and mailing addresses;

•Email address;

•Phone number;

•Web form information (e.g., IP addresses);

•Who the complaint, compliment, comment, or issue is about;

•Incoming correspondence excluding Privacy Act or FOIA requests, or standard immigration applications;

•DHS’s reply;

•Responder’s name on behalf of DHS;

•Call and Customer Service Center records (to include recordings of calls and online real time interactions with customer service representatives);

•Associated case or file numbers (e.g., Alien Number);

•Receipt number;

•Account ID;

•Additional unsolicited personal information provided by the individual (including Social Security number); and

•Other related materials.

Records are obtained from all sources of incoming correspondence and responses by DHS. A non-exclusive list of correspondence sources includes members of the general public, call and customer service centers, unions, trade organizations, non-profits, business or governmental entities, including the news media and congressional offices.

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 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 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 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.

H. To an appropriate Federal, state, tribal, territorial, 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 another Federal agency to refer correspondence or respond to correspondence given the nature of the complaint, compliment, comment, or issue.

J. To unions recognized as exclusive bargaining representatives of the individual under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, and other parties responsible for the administration of the Federal labor-management program for the purpose of processing any corrective action, or grievances, or conducting administrative hearings or appeals, or if needed in the performance of other authorized duties.

K. 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.

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.

Records may be retrieved by individual name and date of correspondence.

Executive level records are permanent and files are cut off annually and transferred to the National Archives and Records Administration 15 years after cut-off date, in accordance with National Archives and Records Administration (NARA) General Schedule DAA-0563-2013-0005-0003. Public correspondence and communication that require no formal response or action are temporary and are destroyed when 90 days old, unless longer retention is authorized when required for business use, in accordance with NARA General Records Schedule (GRS) 6.4, item 20. Correspondence relating to a specific case or action is not considered public correspondence and will be filed and maintained with the appropriate case or action file under its specific retention schedule. DHS Components may create their own retention schedules for correspondence received. NARA GRS 4.1, item 010, covers when a Department, Component, office, or individual is tasked to review the correspondence or inquiry. Actual assignments and any reminder emails that an action is required are destroyed immediately, or when no longer needed for reference.

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 any paper files or computer systems 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.

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 FOIA Officer, or a component FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 20528-0655. Even if neither the Privacy Act nor the JRA provide a right of access, certain records about a person may be available under FOIA.

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. sec. 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 the individual believes 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, in accordance with 6 CFR Part 5.21, 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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above, and 6 CFR Part 5.

See "Record Access Procedures."

None.

73 FR 66657.

Classified and Unclassified.

Records are maintained at DHS and component locations in Washington, DC and field offices.

Categories of individuals covered by this system include DHS employees and former employees, other federal agency employees and former employees, members of the public, individuals involved in litigation with DHS or involving DHS, individuals who either file administrative complaints with DHS or are the subjects of administrative complaints initiated by DHS, individuals who are named parties in cases in which DHS believes it will or may become involved, matters within the jurisdiction of the Department either as plaintiffs or as defendants in both civil and criminal matters, witnesses, and to the extent not covered by any other system, tort and property claimants who have filed claims against the Government and individuals who are subject of an action requiring approval or action by a DHS official, such as appeals, actions, training, awards, foreign travel, promotions, selections, grievances and delegations, OGC attorneys to whom cases are assigned, and attorneys and authorized representatives for whom DHS has received complaints regarding their practices before DHS and/or the Executive Office for Immigration Review (EOIR).

Categories of records in this system include:

• Names of individuals involved in each legal case;

• Names of witnesses;

• Records relating to litigation by or against the U.S. Government (or litigation in which the U.S. Government is not a party, but has an interest) resulting from questions concerning DHS cases and legal actions that the Department either is involved in or in which it believes it will or may become involved;

• Claims by or against the Government, other than litigation cases, arising from a transaction with DHS, and documents related thereto, including demographic information, vouchers, witness statements, legal decisions, and related material pertaining to such claims;

• Investigation reports;

• Legal authority;

• Legal opinions and memoranda;

• Criminal actions;

• Criminal conviction records;

• Claims and records regarding discrimination, including employment and sex discrimination;

• Claims and records regarding the Rehabilitation Act;

• Claims against non-DHS attorneys and/or representatives who engage in unethical activities or exhibit unprofessional behavior;

• Copies of petitions filed with DHS;

• Personnel matters;

• Contracts;

• Foreclosures;

• Actions against DHS officials;

• Titles to real property;

• Records relating to requests for DHS records other than requests under the Freedom of Information Act and the Privacy Act of 1974;

• Testimonies of DHS employees in federal, state, local, or administrative criminal or civil litigation;

• Documentary evidence;

• Supporting documents including the legal and programmatic issues of the case, correspondence, legal opinions and memoranda and related records;

• State Bar grievance/discipline proceedings records;

• Security Clearance Information

• Records concerning requests for information regarding the use of reproductions of obligations of the United States, including bonds, checks, coins, coupons, currencies (U.S. and foreign), fractional notes, postage stamps (U.S. and foreign), postal money orders, and postmarks;

• Any type of legal document, including but not limited to complaints, summaries, affidavits, litigation reports, motions, subpoenas, and any other court filing or administrative filing or evidence;

• Employee and former employee ethics question forms and responses; and

• Court transcripts.

5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; The Homeland Security Act of 2002, Public Law 107- 296; The Aviation and Transportation Security Act, Public Law 107-71.

The purpose of this system is to assist DHS attorneys in providing legal advice to DHS personnel on a wide variety of legal issues; to collect the information of any individual who is, or will be, in litigation with the Department, as well as the attorneys representing the plaintiff(s) and defendant(s) response to claims by employees, former employees, and other individuals; to assist in the settlement of claims against the government; to represent DHS during litigation, and to maintain internal statistics.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other federal agency or federal executive office conducting litigation or in anticipation of litigation before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. any employee of DHS in his/her official capacity;

3. any employee or former employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

I. To third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

J. To a federal, state, local, tribal, foreign, or international agency, where such agency has requested information relevant or necessary for the hiring or retention of an individual, or the issuance of a security clearance, license, contract, grant, or other benefit, or if necessary to obtain information relevant to a DHS decision concerning the hiring or retention of an individual, the issuance of a security clearance, license, contract, grant, or other benefit.

K. To international and foreign governmental entities in accordance with law and formal or informal international agreement.

L. To State Bar Grievance Committees and local Attorney General offices for disbarment or disciplinary proceedings.

M. To unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, and other parties responsible for the administration of the Federal labor-management program for the purpose of processing any corrective actions, or grievances, or conducting administrative hearings or appeals, or if needed in the performance of other authorized duties.

N. To the appropriate federal, state, local, tribal, territorial, foreign, or international agency, regarding individuals who pose or are suspected of posing a risk to transportation or national security.

O. To a former employee of DHS, in accordance with applicable regulations, for purposes of responding to an official inquiry by a federal, state, or local government entity or professional licensing authority; or facilitating communications with a former employee that may be necessary for personnel--related or other official purposes where the Department requires information or consultation assistances from the former employee regarding a matter within that person’s former area of responsibility.

P. To the DOJ, United States Attorney’s Office, or other federal agencies for further collection action on any delinquent debt when circumstances warrant, as well as to a debt collection agency for the purpose of debt collection.

Q. 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.

R. To the Department of Transportation and its operating administrations when necessary or relevant to (1) Ensure safety and security in any mode of transportation, (2) enforce DHS regulations or requirements, or (3) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.

S. To third parties about individuals who are their employees, job applicants, contractors, or any other individual who is issued credentials or granted clearances by the third party to secured areas when relevant to such employment, application, contract, or issuance of the credential or clearance.

Disclosure to consumer reporting agencies:

Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12) collecting on behalf of the United States Government.

Storage:

Records in this system are stored electronically or on paper in secure facilities behind a locked door. The electronic records are stored on magnetic disc, tape, digital media, CD-ROM, and computer.

Data may be retrieved by individual’s name.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

For DHS Headquarters, records are kept for 10 years, in accordance with National Archives and Records Administration General Records Schedule [schedule in process.] For components of DHS, retention may vary. Please contact the component system manager.

The System Managers are the respective General Counsel/Chief Counsel for DHS and each of its components. Their addresses will vary according to each component.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to determine whether or not information may be released. Thus, 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 Headquarters’ or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0665, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-(866) 431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Information originates with DHS and its components, court subpoenas, law enforcement agencies, other federal, state, and local courts, state bar licensing agencies, state bar grievance agencies, and inquiries and/or complaints from witnesses or members of the general public.

The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (c)(4); (d); (e)(1), (e) (2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8); (e)(12); (f); (g)(1); and (h) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, the Secretary of Homeland Security has exempted this system from subsections (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5).

Unclassified.

Records are maintained at the DHS Headquarters in Washington, D.C., and/or component offices of DHS, in both Washington, D.C., and their field offices.

For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, D.C. 20528.

5 U.S.C. 1302, 3301, 3302, and 7121; 3 CFR part 335; 5 CFR part 771; and Executive Orders (E.O.) 10988, 11491, 13837, as amended or revoked, if applicable.

The purpose of this system of records is to collect, maintain, and store information related to administrative grievances filed by current and former DHS personnel. The records are used by the Department to resolve employee concerns about working conditions, the administration of collective bargaining agreements, employee/supervisor relations, work processes, or other similar issues.

Current or former DHS employees, except OIG employees, who have filed grievances in accordance with the Agency’s Administrative Grievance System or pursuant to a negotiated grievance procedure.

The system contains records relating to grievances filed by current and former agency employees within all components of the Department. These records contain all documents related to the grievance, including:

•Individual’s name;

•Date of birth;

•Social Security number (SSN);

•Phone numbers;

•Email addresses;

•Addresses;

•Statements of witnesses;

•Reports of interviews and hearings;

•Examiner’s findings and recommendations;

•A copy of the original and final decision;

•Related correspondence and exhibits;

•Additional records of contact information for witnesses, interviewers, examiners and employee representatives of the grievant;

•Other identifying information dependent upon the specific nature of the topic being grieved and may involve the collection of personal data from the grievant or other individuals involved.

Records are obtained from individuals who file a grievance; the individual on whom the record is maintained; testimony of witnesses, agency officials, grievance examiners, or arbitrator; and by related correspondence from organizations or persons.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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. sec. 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 any source from which additional information is requested in the course of processing a grievance, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested.

J. To a Federal agency, in response to its request, in connection with the hiring or retention of an individual, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to requesting the agency’s decision on the matter.

K. To the Merit Systems Protection Board, the Office of the Special Counsel, the Federal Labor Relations Authority and its General Counsel, the Equal Employment Opportunity Commission, or the Office of Personnel Management when requested in performance of their authorized duties.

L. To appropriate labor organizations acting in their official capacity as a representative of the grievant or affected employees under 5 U.S.C. Chapter 71, when relevant and necessary to their duties of representation concerning personnel policies, practices, and matters affecting work conditions.

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.

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.

Records may be retrieved by the names of the individuals on whom they are maintained or by other personal identifier.

Records relating to grievances filed by individuals, whether through formal or informal administrative grievance processes, are temporary and destroyed no sooner than four years but less than seven years after the case is closed. OPM has determined that agencies may decide how long (within the range of four to seven years) administrative grievance records need to be retained, but must select one fixed retention period and publish that retention period in the agency’s records disposition manual. This retention period follows National Archives and Records Administration (NARA) General Records Schedule (GRS) 2.3, Item 60 (DAA-GRS-2015-0007-0017).

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.

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 Headquarters or component’s FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 20528-0655. Even if neither the Privacy Act nor the Judicial Redress Act provide a right of access, certain records about the individual 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 to 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. sec. 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 believes the Department would have information being requested;

•Identify which component(s) of the Department the individual 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 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.

For records covered by the Privacy Act or covered Judicial Redress Act records, see "Record Access Procedures" above.

See "Record Access Procedures" above.

None.

DHS/ALL-018 Grievances, Appeals, and Disciplinary Action Records, 73 FR 61882 (October 17, 2008).

Unclassified.

Records are maintained at several Headquarters locations; in Component offices of DHS, in both Washington, D.C. and at field locations; and at DHS contractual or other federal agency payroll service provider locations.

Current and former employees of DHS.

Categories of records in this system include:

Payroll Records:

Social Security number;

Employee’s name;

Date of birth;

Gender, Race/National Origin, and Disability Data;

Address data such as home mailing address, email address, work address, etc.;

Duty location;

Position Data such as job title, occupational series, grade, step, pay plan, etc.;

Awards and bonuses;

Employment verification information;

Education and training data;

Military and veteran data;

Taxes;

Other deductions;

Garnishments;

Salary data;

Retirement data;

Pay period;

Fiscal year data;

Benefits; and

Direct deposit information.

Time and Attendance Records:

Employee’s name;

Duty location such as work address or Port of Entry;

Supervisor name;

Timekeeper name;

Position Data such as job title, occupational series, grade, step, pay plan;

Fingerprint hash identification number calculated from a finger scan that cannot be used to recreate a readable fingerprint;

Time-off awards or incentives;

Number and type of hours worked. Type of hours worked may include:

Regular Hours Worked;

Regular law enforcement availability pay (LEAP);

Overtime (including administratively uncontrollable overtime (AUO));

Telework;

Night Differential;

Compensatory time earned and used;

Compensatory travel earned and used;

Training time;

Tour of duty; and

Military leave.

All forms of leave requests, balances, and credits, including Leave Without Pay (LWOP);

All other absence types, including Absent Without Leave (AWOL) and Suspension;

Information necessary to administer any of the agency’s voluntary leave transfer programs including leave donated or used and any supporting documentation from the leave requestor (which may include medical records);

Any other forms of leave available to current and former employees of DHS;

Investigative case title and tracking number (used to track time worked associated with a specific case); and

Fair Labor Standards Act (FLSA) compensation.

Data Reporting and Personnel and Pay Processing Tables

Nature of action codes;

Civil service authority codes;

Standard remarks;

Signature block table;

Position title table;

Financial organization table; and

Salary tables.

31 U.S.C. 66a; 5 U.S.C. 5501 et seq., 5525 et seq., 5701 et seq., and 6301 et seq.; Executive Order 9397, as amended by Executive Order 13478; Pub. L. 100-202, Pub. L. 100-440, and Pub. L. 101-509.

The purpose of this system is to ensure proper payment of salary and benefits to DHS personnel, and to track time worked, leave, or other absences for reporting and compliance purposes.

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 agencies 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 or her official capacity;

3. Any employee or former employee of DHS in his or her individual capacity when DOJ or DHS has agreed to represent the employee; or

4. The U.S. Government 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’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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, territorial, 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 provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. §§ 7111 and 7114.

I. To designated officers and employees of federal, state, tribal, territorial, local, or international agencies in connection with the hiring or continued employment of an individual, the conduct of a suitability or security investigation of an individual, the grant, renewal, suspension, or revocation of a security clearance, or the certification of security clearances, to the extent that DHS determines the information is relevant and necessary to the hiring agency’s decision.

J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.

K. To the other federal agencies who provide payroll personnel processing services under a cross-servicing agreement for purposes relating to the conversion of DHS employee payroll and personnel processing services; the issuance of paychecks to employees and distribution of wages; and the distribution of allotments and deductions to financial and other institutions, some through electronic funds transfer.

L. To federal, state, tribal, territorial, or local agencies for use in locating individuals and verifying their income sources to enforce child support orders, to establish and modify orders of support, and for enforcement of related court orders.

M. To provide wage and separation information to another federal agency as required by law for payroll purposes.

N. To the Office of Personnel Management, the Merit System Protection Board, Federal Labor Relations Authority, or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties.

O. To the Department of Labor in connection with a claim filed by an employee for compensation due to a job-connected injury or illness.

P. To the Department of the Treasury to issue checks.

Q. To State offices of unemployment compensation with survivor annuity or health benefits claims or records reconciliations.

R. To Federal Employee’s Group Life Insurance or Health Benefits carriers in connection with survivor annuity or health benefits claims or records reconciliations.

S. To the Internal Revenue Service and State and local tax authorities for which an employee is or was subject to tax regardless of whether tax is or was withheld in accordance with Treasury Fiscal Requirements, as required.

T. To officials of labor organizations recognized under 5 U.S.C. Chapter 71 for the purpose of providing information as to the identity of DHS employees contributing union dues each pay period and the amount of dues withheld from each contributor. .

U. To any source from which additional information is requested by DHS relevant to a DHS determination concerning an individual’s pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.

V. To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.

W. To the Social Security Administration and the Department of the Treasury to disclose pay data on an annual basis.

X. To a federal agency or in response to a congressional inquiry when additional or statistical information is requested relevant to the DHS Transit Fare Subsidy Program.

Y. To the Department of Health and Human Services for the purpose of providing information on new hires and quarterly wages as required under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996.

Z. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

Pursuant to 5 U.S.C. § 552a(b)(12): Disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. § 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. § 3701(a)(3)).

To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Storage:

DHS stores records in this system electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, and digital media.

DHS may retrieve records by an individual’s name, Social Security number, position, organizational element, pay period, investigative case title or tracking number (for time worked associated with a specific case), and/or fiscal year.

DHS safeguards records in this system in accordance with 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 stored information. DHS 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.

In accordance with NARA General Records Schedule 2, Item 7, time and attendance records are destroyed after a Government Accountability Office audit or when six years-old; whichever is sooner. In accordance with NARA General Records Schedule 2, Item 1(b), individual employee payroll records are destroyed when 56 years-old. In accordance with NARA General Records Schedule 1, Item 18, supervisor personnel files are reviewed annually and destroyed when a file is superseded/obsolete, or within one year after separation or transfer of an employee. Duplicate official personnel records are destroyed when six months-old.

For DHS Headquarters, the System Manager is the Office of the Chief Human Capital Officer, Department of Homeland Security, Washington, D.C. 20528. For Components of DHS, the System Manager is the respective Human Capital Officer of the component.

Individuals seeking notification of and access to any record contained in this system of records, including DHS records hosted by another federal agency under a cross-servicing agreement for financial management services, or seeking to contest its content, may submit a request in writing to the Chief Privacy Officer and the Headquarters or Component’s Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://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, Department of Homeland Security, 245 Murray Drive, S.W., Building 410, STOP-0655, Washington, D.C. 20528-0655.

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 FOIA Officer on the Department’s website at http://www.dhs.gov or by calling toll free 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.

Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records.

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 this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from the individual.

None.

Unclassified.

Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC, and field locations.

Any applicants for Federal employment, past and present employees, contractors, and contractor applicants, or any other individual who is subject to, or involved in, an integrity or disciplinary inquiry or investigation not handled by OIG.

Categories of records in this system include:

• Individual identifying data, which may include some or all of the following: full name, date of birth, social security number, addresses, duty station, grade, job series, and entrance on duty date;

• Allegations received and method received;

• Relevant information from background investigations;

• Integrity investigations;

• Investigation files;

• Incident location;

• Case agent/officer or supervisor;

• Case/prosecution status;

• Photographic images, videotapes, voiceprints, DVDs;

• Letters, e-mails, memoranda and reports;

• Exhibits, evidence, statements and affidavits; and

• Any other information gathered in the course of an integrity or disciplinary inquiry or investigation.

5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive Order 9397.

The purpose of this system is to collect and maintain records on applicants, past and present employees, contractors, and contractor applicants relating to integrity or disciplinary inquiries or investigations conducted by DHS Headquarters or its components, except for those investigations conducted by OIG.

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 of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or other pertinent information, which has requested information relevant to or necessary to the requesting agency’s or the bureau’s hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit.

I. To disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena from a court of competent jurisdiction.

J. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

K. To an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee.

L. To provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, and in circumstances when union officials represent employees in investigations and personnel actions.

M. To a court, prosecutor, and/or defense attorney in satisfaction of the agency’s obligations under the Giglio, Jenks, or Brady decisions;

N. To management officials at Federal, State or local agencies who may be in a position to take disciplinary or other corrective action and to boards and panels who may be charged with making recommendations or proposals regarding remedial action.

O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by the individual’s name, date of birth, or social security number.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

The file records are maintained as long as the subject of the investigation is employed by DHS, and then one year after the subject terminates employment. The files are then transferred to the Federal Records Center for a period of 25 years, after which they are destroyed.

For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters’ or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Sources of information include: individuals who are the subject of the investigation or inquiry, employers, law enforcement organizations, members of the public, witnesses, education institutions, government agencies, credit bureaus, references, neighborhood checks, confidential sources, medical service providers, personal interviews, photographic images, military, financial institutions, citizenship, birth and tax records, and the applicant’s, employee’s or contractor’s personnel history and application forms.

The Secretary of Homeland Security has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2), (3), (5), and (8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In additional, the Secretary of Homeland Security has exempted this system from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (2), (k)(3), and (5).

Unclassified.

Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, DC, and field locations.

Categories of individuals covered by this system include any individual who serves as a contractor or consultant to DHS.

Categories of records in this system include:

• Individual’s name;

• Social security number;

• Home address;

• Telephone numbers (work, home, mobile);

• E-mail addresses;

• Contract name and number;

• Employer;

• Work address;

• Job title;

• Labor category;

• Relevant work experience;

• DHS-issued property in the possession of the contractor/consultant for the purpose of fulfilling contractual requirements;

• Vendor lists;

• Correspondence between the contractor and DHS;

• Bidders lists;

• Permits;

• Licenses;

• Easement;

• Deliverables;

• Proposals;

• White papers; and

• Key personnel resumes.

5 U.S.C. 301; The Federal Records Act, The Homeland Security Act of 2002, Public Law 107-296; Executive Order 9373; Reorganization Plan No. 2 of 1970 (31 U.S.C. 1111); Executive Order 11541; the Office of Federal Procurement Policy Act (41 U.S.C. 405); and the Federal Activities Inventory Reform (FAIR) Act of 1998 (31 U.S.C. 501 note).

The purpose of this system is to collect and maintain records on DHS contractors and consultants.

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 of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To Federal and state entities when relevant and necessary to disclose information on DHS or its components purchases and contracts.

I. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or as paper records in secure facilities in a locked drawer and/or behind a secured locked door. The electronic records are stored on magnetic disc, tape, digital media, and CD -ROM.

Records may be retrieved by name, and/or contract name and number.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Records are retained for six years and three months after the final payment to a contractor/consultant in accordance with National Archives and Records Administration-approved General Records Schedule 3, Item 3--General Procurement Files.

For Headquarters and components of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters’ or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification Procedure" above.

See "Notification Procedure" above.

Individuals, contractors, consultants, bidders, financial institutions, insurance companies, community associations, and other agencies.

None.

Unclassified.

Records are maintained by the Office of the Chief Human Capital Officer, at several Headquarters locations, in component offices of DHS, in both Washington, DC and field locations, and by contractor locations on behalf of DHS.

Current and former employees of DHS and certain applicants for employment with DHS who are tested for or submit voluntarily or involuntarily to the illegal use, possession, distribution, or trafficking of controlled substances.

Categories of records in this system include:

• Individual’s name;

• Social Security number;

• Date of birth;

• Addresses;

• Telephone numbers;

• E-mail addresses;

• Job title and grade;

• Supervisor’s, senior management’s and leadership’s full name, addresses, phone numbers, and email addresses;

• Supervisor’s, senior management’s and leadership’s notes and records regarding an employee’s suspected and/or confirmed illegal use, possession, distribution, or trafficking of controlled substances;

• Records related to any criminal conviction for illegal drug use or evidence obtained from any arrest or criminal conviction;

• Correspondence related to the suspected and/or confirmed illegal use, possession, distribution, or trafficking of controlled substances of a current or former DHS employee, including electronic mail and other electronic documents;

• Verified positive and negative test results for illegal use of controlled substances;

• Evidence of possession, distribution, or trafficking of controlled substances;

• Lists of controlled substances verified as positive;

• Substance abuse assessment, aftercare, and substance use monitoring results;

• Employee records of attendance at treatment, types of treatment, and counseling programs related to illegal use, possession, distribution, or trafficking of controlled substances;

• Records of treatment and counseling referrals related to testing for illegal use, possession, distribution, or trafficking of controlled substances;

• Prognosis of treatment information related to testing for illegal use, possession, distribution, or trafficking of controlled substances;

• Individual’s name, address, work/cell/home phone numbers, email addresses, and other basic identification data for insurance purposes;

• Name, address, telephone numbers, email addresses of treatment facilities;

• Name, address, telephone numbers, email addresses of individuals providing treatment; and

• Written consent forms.

5 U.S.C. 301; Federal Records Act; 44 U.S.C. 3101; The Homeland Security Act of 2002; Public Law 107-296; 42 U.S.C. 290dd-2; 5 U.S.C. 7301; 7361, 7362, 7901, 7904; Executive Order 9373; and Executive Order 12564.

This record system will maintain information gathered by and in the possession of DHS Drug Free Workplace Program Officials, used in the course of their duties in verifying positive test results for illegal use of controlled substance, as well as collecting and maintaining evidence of possession, distribution, or trafficking of controlled substances.

Disclosure of substance abuse records is limited to the parameters set forth in 42 U.S.C. 290dd, 290ee, and Public Law 100-71, Section 503(e). Accordingly, a federal employee’s substance abuse records may not be disclosed without the prior written consent of the employee, unless the disclosure would be one of the following:

A. To medical personnel to the extent necessary to meet a bona fide medical emergency;

B. To qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation provided that employees are individually identified;

C. To the employee’s medical review official;

D. To the administrator of any Employee Assistance Program in which the employee is receiving counseling or treatment or is otherwise participating;

E. To any supervisory or management official within the employee’s agency having authority to take adverse personnel action against such employee; or

F. Pursuant to the order of a court of competent jurisdiction where required by the United States Government to defend against any challenge against any adverse personnel action. See 42 U.S.C. 290dd, 290ee, and Public Law 100-71, Section 503(e).

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, records, other than substance abuse records described above, or other information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:.

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. any employee of DHS in his/her official capacity;

3. any employee of DHS in his/her individual capacity where the Department of Justice or DHS has agreed to represent the employee; or

4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

B. 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.

C. To appropriate State and local authorities to report, under State law, incidents of suspected child abuse or neglect to the extent described under 42 CFR 2.12.

D. To any person or entity to the extent necessary to prevent an imminent and potential crime which directly threatens loss of life or serious bodily injury.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Data may be retrieved by an individual’s name, date of birth, and social security number.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permission.

Records are destroyed after three years, in accordance with National Archives and Records Administration General Records Schedule 1, Item 36.

For Headquarters of DHS, the System Manager is the Director of Departmental Disclosure, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

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 Headquarters’ or component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Information originates from personnel who submit to drug and alcohol testing, DHS and its components and offices, and testing and treatment facilities.

Unclassified and classified.

Records are maintained at several DHS Headquarters locations and component offices in Washington, D.C. and field locations. For records on background investigations maintained and adjudicated by the Office of Personnel Management (OPM) or the Department of Defense’s (DoD) Defense Counterintelligence and Security Agency, OPM or DoD’s DCSA may retain copies of those records and files pursuant to their records retention schedules.

Enterprise Security Services Division (202-447-5010), Office of the Chief Security Officer, Department of Homeland Security, Washington, D.C. 20528.

8 U.S.C. 1357(g); 19 U.S.C. 1401(i); Prison Rape Elimination Act of 2003, Pub. L. No. 108–79, 117 Stat. 972 (45 U.S.C. 15601 et seq.); Executive Order (EO) 9397, as amended by EO 13478; EO 10450; EO 12968; EO 13467; EO 13764; EO 13869; 5 CFR 731; 5 CFR 732; 5 CFR 736; Homeland Security Presidential Directive 12; SEAD 2; SEAD 4; SEAD 5; SEAD 6; 6 CFR part 115; and Intelligence Community Directive 704.

The purpose of this system is to collect and maintain records of processing of personnel security-related clearance actions, to record suitability determinations, fitness determinations, whether security clearances are issued or denied, and to verify eligibility for access to classified information or assignment to a sensitive position. Also, records may be used by the Department for adverse personnel actions such as removal from sensitive duties, removal from employment, denial to a restricted or sensitive area, and revocation of security clearance. The system also assists in capturing background investigations and adjudications; directing the clearance process for granting, suspending, revoking, and denying access to classified information; directing the clearance process for granting, suspending, revoking, and denying other federal, state, local, or foreign law enforcement officers the authority to enforce federal laws on behalf of DHS; managing state, local, tribal, and private sector clearance programs and contractor fitness programs; determining eligibility for credentials such as the Law Enforcement Officers Safety Act (LEOSA) Photographic identification card; determining eligibility for unescorted access to DHS-owned, DHS-occupied, or DHS-secured facilities or information technology systems; and/or other activities relating to personnel security management responsibilities at DHS.

Also covered are: 1) state, local, and tribal government personnel and private sector individuals who serve on an advisory committee or board sponsored by DHS; 2) federal, state, local, and foreign law enforcement personnel who apply for or are granted authority to enforce federal laws on behalf of DHS; and 3) individuals, including state, local, and tribal government personnel and private sector individuals, who are authorized by DHS to access Departmental facilities, communications security equipment, and/or information technology systems that process sensitive or classified national security information.

Individual’s name;

Individual’s address;

Individual’s phone number;

Date and place of birth;

Social Security number;

Citizenship;

Access Control Pass or Credential number;

Facial photograph;

Fingerprints and fingerprint records;

Polygraph reports, polygraph charts, polygraph tapes, and notes from polygraph interviews or activities related to polygraph interviews;

Records relating to the management and operation of DHS personnel security programs, including but not limited to:

Completed standard form questionnaires such as SF-85, SF-85P, and SF-86;

Originals or copies of background investigative reports;

For individuals covered by the DHS PREA rule, information related to whether the individual has been convicted of engaging or attempting to engage in sexual activity facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or who has been civilly or administratively adjudicated to have engaged in such activity;

Supporting documentation related to the background investigations and adjudications including criminal background, medical, and financial data;

Documentation related to an individual’s character reference(s), including names, addresses, telephone numbers, and statements;

Publicly available electronic information, including information obtained from social media;

Information related to congressional inquiry; and

Other information relating to an individual’s eligibility for access to classified or sensitive information.

Records relating to management and operation of DHS programs to safeguard classified and sensitive but unclassified information, including but not limited to:

Document control registries;

Courier authorization requests;

Non-disclosure agreements;

Records of security violations;

Records of document transmittals; and

Requests for secure storage and communications equipment.

Records relating to the management and operation of DHS special security programs, including but not limited to:

Requests for access to sensitive compartmented information (SCI);

Contact with foreign officials and foreign travel registries; and

Briefing/debriefing statements for special programs, sensitive positions, and other related information and documents required in connection with personnel security clearance determinations.

Records relating to the management and operation of the DHS security program, including but not limited to:

Inquiries relating to suspected security violation(s);

Recommended remedial actions for possible security violation(s);

Reports of investigation regarding security violations;

Statements of individuals;

Affidavits;

Correspondence;

Documentation pertaining to investigative or analytical efforts by DHS Security program personnel to identify threats to DHS personnel, property, facilities, and information (e.g., travel records obtained as part of continuous evaluation); and

Intelligence reports and database results relating to DHS personnel, applicants, or candidates for DHS employment or access to DHS facilities or information.

Records are generated from the individual receiving the background investigation, relevant law enforcement databases, publicly available electronic information, and from sources contacted during personnel and background investigations.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, delegation or designation of authority, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, delegation or designation of authority, or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

J. To a prospective or current employer that has, or is likely to have, access to any government facility, information, equipment, network, or system, to the extent necessary to determine the employment eligibility of an individual, based on actions taken by the Department pursuant to a personnel security matter involving the individual.

K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations; in connection with criminal law proceedings; or pursuant to the order of a court of competent jurisdiction.

L. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

M. To a public or professional licensing organization when such information indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.

N. To the National Counterintelligence and Security Center (NCSC) to assist in the ongoing review of an individual’s eligibility for access to classified information or to hold a sensitive position.

O. 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.

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.

DHS may be retrieve records by individual’s name, date of birth, Social Security number, if applicable, or other unique individual identifier such as access control pass or credential number.

Pursuant to GRS 5.6, Items 170 through 200, records relating to persons who were not granted security clearances are destroyed one year after consideration of the candidate ends, but longer retention is authorized if required for business use. Records related to individuals granted a clearance are destroyed five years after employee or contractor relationship ends, but longer retention is authorized if required for business use. Records related to alleged security violations are destroyed five years after closure of case or final action, whichever is sooner, but longer retention is authorized if required for business use.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act, and the Judicial Redress Act if applicable, because it is a law enforcement system. 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 "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, D.C. 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. sec. 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 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 requester must include an authorization from the second individual certifying his/her agreement for the requester 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.

For records covered by the Privacy Act or covered JRA 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.

See "Record Access Procedures" above.

The Secretary of Homeland Security, pursuant to 5 U.S.C. sec. 552a(k)(1), (k)(2), (k)(3), and (k)(5), has exempted this system from the following provisions of the Privacy Act, 5 U.S.C. sec. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).

DHS/ALL-023 Personnel Security Management System of Records, 74 FR 3084 (January 16, 2009), 75 FR 8088 (February 23, 2010); Implementation of Exemptions, DHS/ALL-023 Personnel Security Management System of Records, 74 FR 50904 (October 1, 2009).

Unclassified, sensitive, for official use only, and classified.

Records are maintained at several DHS Headquarters locations and in component offices in both Washington, DC and field locations.

Categories of individuals covered by this system include: (1) Any employee, contractor, consultant, intern, fellow, or others with regular access and an access control pass which grants unescorted access to a DHS facility or other federal facility which DHS or its components provide access control, including the FPS and its contract guards, and those needing access to information technology systems, and any visitor to a facility for which DHS or its components provide access control; (2) violators and those accused of security violations of access or perimeter control and those related to incidents and offenses in and around these facilities; (3) applicants for employment, contractors, or those needing unescorted access to these facilities or information technology systems; (4) state and local government personnel and private-sector individuals who serve on an advisory committee and board sponsored by DHS; (5) individuals, including state and local government personnel and private-sector individuals, who are authorized by DHS to access DHS facilities, and other federal facilities where DHS controls access through its components, including the FPS and its contract guards, including classified facilities, communications security equipment, and information technology systems that process national or homeland security classified information.

Categories of records in the system include:

• Individual’s full name;

• Date and place of birth;

• Social security number;

Note:

For access to the Nebraska Avenue Complex, DHS employees, including component employees and contractors, are not required to provide date of birth or social security number to enter the Nebraska Avenue Complex if they provide a HSPD-12 badge, component badge, credential, or commission book. Component employees and contractors will also provide name, component, and Nebraska Avenue Complex point of contact name and phone number. Headquarters employees and contractors can also provide a drivers license as identification to be confirmed within the system of records as a DHS Headquarters employee. If a component employee or contractor does not have a DHS or component-issued credential at the point of entry, the individual will be processed into the Nebraska Avenue Complex as a regular visitor requiring a full name, date of birth, and social security number.

• Organization’s name;

• Citizenship;

• Country of origin, if applicable;

• Telephone number;

• Physical descriptions;

• Biometric information;

• Photograph;

• Visitor badge number, if applicable;

• Date and time of entry and departure;

• Drivers license and other form of identification information;

• License plate number and state of issuance;

• Make and model of vehicle;

• Reports, files, records received from other federal agencies;

• Records relating to management and operation of DHS programs to safeguard classified and sensitive but unclassified information, including but not limited to:

• Document control registries;

• Courier authorization requests;

• Non-disclosure agreements;

• Records of security violations;

• Records of document transmittals; and

• Requests for secure storage and communications equipment.

• Records relating to the management and operation of the DHS security program, including but not limited to:

• Inquiries relating to suspected security violation(s);

• Recommended remedial actions for possible security violation(s);

• Reports of investigation regarding security violations;

• Information pertaining to incidents and offenses;

• Statements of individuals;

• Affidavits; and

• Correspondence.

• Records relating to the management and operation of the facility and perimeter access control and visitor management system including but not limited to:

• Facility and perimeter access registries;

• Courier cards;

• Access control card requests; and

• Specific information from standard DHS forms used to conduct criminal history record checks; and

• Closed circuit television (CCTV) systems and recordings.

5 U.S.C. 301; the Homeland Security Act, codified in Title 6 of the U.S. Code; 44 U.S.C. 3101; and Executive Order (EO) 9397; EO 12968; and Federal Property Regulations, issued July 2002.

The purpose of this system is to collect and maintain records associated with DHS facility and perimeter access control, including access to DHS information technology and access to classified facilities, as well as visitor security and management.

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 of information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made at the written request of the individual to whom the record pertains.

C. To the National Archives and Records Administration or other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To an appropriate federal, state, local, tribal, foreign, or international agency or contract provider, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee or contractor, the issuance of a security clearance, the reporting of an investigation of an employee or contractor, the letting of a contract, or the issuance of a license, grant or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

I. To a public or professional licensing organization when such information indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.

J. To an appropriate federal, state, tribal, local, or foreign government agency or organization, or international organization, lawfully engaged in collecting law enforcement intelligence, whether civil or criminal, or charged with investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement intelligence, but only when the disclosure is appropriate to the proper performance of the official duties of the person receiving the disclosure, and;

K. To an appropriate federal, state, local, tribal, or foreign government agency, international organization, or private organization where the President or the Secretary of Department of Homeland Security has declared an event to be a National Special Security Event, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit, but only when disclosure is appropriate to the proper performance of the official duties of the person making the request.

L. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on servers, magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by individual name, date of birth, and social security number, or other personal identifier listed above in "Category of Records in the System," if applicable.

Note:

For access to DHS Headquarters, all employees, including component employees and contractors, are not required to provide date of birth and social security number to enter DHS Headquarters facilities. If they do not have their credential at the point of entry, they are required to log their name and title, component, data and time, ID of employee, and point of contact.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize 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.

Pursuant to GRS 18, Item 22a, personnel security clearance files are destroyed upon notification of death or not later than five years after separation or transfer of employee or no later than five years after contract relationship expires, whichever is applicable.

Pursuant to GRS 18, Item 6, requests and authorizations for individuals to have access to classified files are destroyed two years after authorization expires.

Pursuant to GRS 11, Item 4a, identification credentials including cards, badges, parking permits, photographs, agency permits to operate motor vehicles, and property, dining room and visitors’ passes, and other identification credentials are destroyed three months after return to issuing office.

Pursuant to GRS 18, Item 17, registers or logs used to record names of outside contractors, service personnel, visitors, employees admitted to areas, and reports on automobiles and passengers for areas under maximum security are destroyed five years after final entry or five years after date of document, as appropriate.

Other documents pursuant to GRS 18, Item 17b, are destroyed two years after final entry or two years after date of document, as appropriate.

Where records are used as evidence in an investigation or in an administrative, litigation, or other proceeding, the records will be retained until final disposition of the investigation or proceeding.

For Headquarters components of DHS: Chief, Physical Security Division (202-447-5010), Office of Security, Department of Homeland Security, Washington, DC 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to determine whether or not information may be released. Thus, 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 Headquarters or component’s 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-0550, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1 -866-431-0486. In addition, you should provide the following:

• An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from individuals seeking employment or access to facilities for which DHS and its components provide security and from individuals involved in incidents and offenses that take place in or around those facilities.

The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5) of the Privacy Act.

Unclassified, sensitive, for official use only, and classified.

Records are maintained at several DHS Headquarters locations and Component offices, in both Washington, D.C. and field locations.

For Headquarters components of DHS: Chief, Physical Security Division (202) 447-5010, Office of Security, Department of Homeland Security, Washington, D.C. 20528. For DHS Components, the System Manager can be found at http://www.dhs.gov/foia under "FOIA Contact Information."

40 U.S.C 1315; 44 U.S.C. sec. 3101; and E.O. 9397 as amended by E.O. 13478; E.O. 10450; E.O. 12968, 5 CFR 731; 5 CFR 732; 5 CFR 736; 32 CFR 147; and DCID 6/4.

The purpose of this system is to maintain and record the results of law enforcement activities in support of the protection of property owned, occupied, or secured by DHS and its components, including the Federal Protective Service (FPS), and individuals maintaining a presence or access to such property. It will also be used to pursue criminal prosecution or civil penalty action against individuals or entities suspected of offenses that may have been committed against property owned, occupied, or secured by DHS or persons on the property.

Categories of individuals covered by this system include:

• Individuals or entities involved in, or suspected of being involved in, criminal acts against the buildings, grounds, and property that are owned, occupied, or secured by DHS or against persons who are in or on such buildings, grounds, or property. This category includes property located within or outside of the United States;

• Individuals who provide information that is relevant to the investigation, such as victims and witnesses, and who report such crimes or acts;

• Persons involved in any event, or witnesses an event that affects or impacts the safety, security, or protection of the property, facility, or occupant;

• Current, former, or retired DHS personnel who travel outside the United States while employed by DHS.

Categories of records in the system may include:

• Individual’s or entity’s name;

• Alias;

• Digital video recordings and CCTV recordings;

• Audio recordings;

• Date of birth, place of birth, and age;

• Social Security number;

• Alien File Number (A-Number);

• Duty/work address and telephone number;

• Race and ethnicity;

• Citizenship;

• Sex;

• Marital status;

• Identifying marks (e.g., tattoos, scars);

• Height and weight;

• Eye and hair color;

• Biometric data (e.g., photograph, fingerprints);

• Home address, telephone number, and other contact information;

• Driver’s license information and citations issued;

• Vehicle information;

• Date, location, nature and details of the incident/offense;

• Alcohol, drugs, or weapons involvement;

• Bias against any particular group;

• Confinement information to include location of correctional facility;

• Gang/cult affiliation, if applicable;

• Release/parole/clemency eligibility dates;

• Foreign travel notices and reports including briefings and debriefings;

• Notices and reports with foreign contacts;

• Reports of investigation;

• Statements of individuals, affidavits, and correspondence;

• Documentation pertaining to criminal activities;

• Investigative surveys;

• Certifications pertaining to qualifications for employment, including but not limited to education, firearms, first aid, and CPR;

• Technical, forensic, polygraph, and other investigative support to criminal investigations to include source control documentation and regional information;

• Data on individuals to include: victims, witnesses, complainants, offenders, and suspects;

• Records of possible espionage, foreign intelligence service elicitation activities, and terrorist collection efforts directed at the Department or its staff, contractors, or visitors;

• Records of close coordination with the intelligence and law enforcement community.

Records are obtained from sources contacted during investigations; state, tribal, international, and local law enforcement; and federal departments and agencies.

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 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 determines that the use of information from this system of records is reasonably necessary and otherwise compatible with the purpose of collection to assist another federal recipient agency or entity in (a) responding to a suspected or confirmed breach or (b) 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; or

2. DHS suspects or has confirmed that there has been a breach of this system of records; and (a) DHS has determined that as a result of the suspected or confirmed breach, there is a risk of harm to individuals, harm to DHS (including its information systems, programs, and operations), the Federal Government, or national security; and (b) 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 contractors and their agents, grantees, experts, consultants, FPS Contract Guard companies, 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 an appropriate federal, state, local, tribal, foreign, or international agency or contract provider, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee or contractor, the issuance of a security clearance, the reporting of an investigation of an employee or contractor, the letting of a contract, or the issuance of a license, grant, or other benefit, and disclosure is appropriate to the proper performance of the official duties of the person making the request.

I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or pursuant to the order of a court of competent jurisdiction.

J. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

K. To a federal, state, local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by United States law, E.O., or other applicable national security directive.

L. To a public or professional licensing organization when such information indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.

M. To individuals involved in incidents occurring on federal facilities, their insurance companies, and their attorneys for the purpose of adjudicating a claim, such as personal injury, traffic accident, or other damage to property. The release of personal information is limited to that required to adjudicate a claim.

N. 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.

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.

Records may be retrieved by individual name, Social Security number, or other personal identifier listed in "Categories of Records," when applicable.

Records are pending National Archives and Records Administration approval. DHS has proposed the following retention schedule: Records are maintained in accordance with N1-563-08-4, Item 1. Records are maintained for 20 years after the end of the fiscal year in which the case was closed and are then destroyed. No records will be destroyed until the retention schedule is approved.

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.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act, and those of the JRA if applicable, because it is a law enforcement system. 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 Headquarters or component’s 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 Freedom of Information Act Officer, Department of Homeland Security, Washington, D.C. 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 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. 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;

If your request is seeking records pertaining to another living individual, you must, in accordance with 6 CFR 5.21, 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.

For records covered by the Privacy Act or covered JRA records, see "access procedures" above.

See "Record Access procedure."

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), (e)(8); (f); (g)(1). 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: (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); (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.

75 FR 5614; 74 FR 2903.

Sensitive but unclassified.

Records are maintained at Headquarters in Washington, DC, and field offices. The physical and logical access systems at all DHS and component facilities will have system-level access to the PIVMS for real-time verification of user credentials.

Categories of individuals covered by this system include: All DHS employees, contractors and their employees, consultants, volunteers engaged by DHS who require long-term access to Federally controlled facilities and information systems, as defined by Office of Management and Budget Memorandum 05-24; Federal emergency response officials; foreign nationals on assignment; and other Federal employees detailed or temporarily assigned to DHS in direct support of the DHS mission and who work in Federally controlled facilities or require access to Federal information technology systems. Individuals who require regular, ongoing access to agency facilities, information technology systems, or information classified in the interest of national security.

The system does not apply to occasional visitors or short-term guests to whom DHS will issue temporary identification and credentials.

Categories of records in this system include:

• Full name;

• Date of birth;

• Maiden name;

• Social Security Number;

• Citizenship;

• Mother’s maiden name;

• Organization/office of assignment;

• Employee affiliation and status;

• Contact information, such as telephone number(s), work e-mail, and duty location;

• Copies of identity source documents;

• Fingerprints (10 print and 2 print);

• Identifying physical information, such as height, weight, hair color, eye color, and digital photograph;

• Financial history;

• PIV card issue and expiration dates;

• PIV request form;

• PIV registrar approval digital signature;

• PIV card serial number;

• Federal emergency response official designation, affiliation, and related roles;

• Computer system user name;

• User access and permission rights, authentication certificates;

• Clearance level;

• Entry on duty date;

• Digital signature information; and

• Weapons bearer designation.

5 U.S.C. 301; Federal Information Security Act (Pub. L. 104-106, Sec. 5113); E-Government Act (Pub. L. 104-347, sec. 203); the Paperwork Reduction Act of 1995 (44 U.S.C. 3501); and the Government Paperwork Elimination Act (Pub. L. 105-277, 44 U.S.C. 3504); Homeland Security Presidential Directive-12 (HSPD- 12, issued August 27, 2004); Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004; Federal Property and Administrative Act of 1949, as amended (40 U.S.C. 483); the Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. 108-458, Section 3001 (50 U.S.C. 435b) and the Homeland Security Act of 2002, Pub. L. 107-296, as amended.

The purpose of this system is to:

• Ensure the safety and security of DHS facilities, systems, or information, and our occupants and users;

• Verify that all persons entering Federal facilities, using Federal information resources, are authorized to do so; and

• Track and control PIV cards issued to persons entering and exiting the DHS facilities or using DHS systems.

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). Disclosures may be made to:

A. To the Department of Justice (DOJ) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To the Department of Justice (DOJ) when:

1. The agency or any component thereof;

2. Any employee of the agency in his or her official capacity;

3. Any employee of the agency in his or her individual capacity where agency or the Department of Justice has agreed to represent the employee; or

4. The United States Government is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation and the use of such records by DOJ is therefore deemed by the agency to be for a purpose compatible with the purpose for which the agency collected the records.

I. To a court or adjudicative body in a proceeding when: (a) The agency or any component thereof; (b) any employee of the agency in his or her official capacity; (c) any employee of the agency in his or her individual capacity where agency or the Department of Justice has agreed to represent the employee; or (d) the United States Government is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records.

J. Except as noted on Forms SF 85, 85-P, and 86, when a record on its face, or in conjunction with other records, indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate public authority, whether Federal, foreign, State, local, or tribal, or otherwise, responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative or prosecutorial responsibility of the receiving entity.

K. To a Federal, State, local, foreign, or tribal or other public authority the fact that this system of records contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization may then make a request supported by the written consent of the individual for the entire record if it so chooses. No disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to another office within the agency or to another Federal agency for criminal, civil, administrative personnel or regulatory action.

L. To the Office of Management and Budget when necessary to the review of private relief legislation pursuant to OMB Circular No. A-19.

M. To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to enable an intelligence agency to carry out its responsibilities under the National Security Act of 1947, as amended, the CIA Act of 1949, as amended, Executive Order 12333 or any successor order, applicable national security directives, or classified implementing procedures approved by the Attorney General and promulgated pursuant to such statutes, orders or directives.

N. To notify another Federal agency when, or verify whether, a PIV card is no longer valid.

O. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12).

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, paper in secure files, and CD-ROM.

Records may be retrieved by name of the individual, Social Security Number and/or by any other unique individual identifier.

Records in this system are safeguarded in accordance with FISMA and other applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions. The system maintains a real-time auditing function of individuals who access the system. Additional safeguards may vary depending on the component and program.

Pursuant to GRS 18, Item 22a records used to initiate background investigations; register and enroll individuals; manage the PIV card lifecycle; and, verify, authenticate and revoke PIV cardholder access to Federal resources are destroyed upon notification of death or not later than 5 years after separation or transfer of employee or no later than 5 years after contract relationship expires, whichever is applicable.

Pursuant to GRS 11, Item PIV cards are destroyed three months after they are returned to the issuing office.

Pursuant to GRS 11, Item 4a identification credentials are destroyed by cross-cut shredding no later than 90 days after deactivation.

Pursuant to GRS 18, Item 17 registers or logs used to record names of outside contractors, service personnel, visitors, employees admitted to areas, and reports on automobiles and passengers for areas under maximum security are destroyed five years after final entry or five years after date of document, as appropriate.

Other documents pursuant to GRS 18, Item 17b are destroyed two years after final entry or two years after date of document, as appropriate.

DHS HSPD-12 Program Director, Office of Security, U.S. Department of Homeland Security, 245 Murray Lane, SW., Building 410, Washington, DC 20528.

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 component’s 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, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0550, 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 or perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Director, Disclosure and FOIA, http://www.dhs.gov/foia or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information about you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records,

• 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 this bulleted information the component(s) will 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.

See "Notification Procedure" above.

See "Notification Procedure" above.

Records are obtained from the employee, contractor, or applicant; sponsoring agency; former sponsoring agency; other Federal agencies; contract employer; former employer.

None.

Classified, sensitive, and unclassified.

Records are maintained at Department of Homeland Security headquarters (History Office, Office of Policy) as well as component headquarters in Washington, DC, and field locations.

Categories of individuals covered by this system include: Current and former federal employees, including political appointees, civilian, contractor, and military personnel assigned or detailed to the Department. Also, covered by this system are individuals who are formally or informally associated with the Department, including advisory committee members, employees of other agencies and departments in the federal government, and other individuals in the private and public sector who contribute to the history of the Department.

Categories of records in this system include:

• Individuals or interviewees full name;

• Individuals or interviewees provided address;

• Individuals or interviewees provided phone number(s);

• Individuals or interviewees provided e-mail address;

• Occupational background and position(s);

• Public speeches and articles by an individual;

• Public and internal correspondence, interviews, press releases and announcements, and various other tapes and transcripts of Departmental activities;

• Photographs;

• Biographical information;

• Interview records on magnetic tape or other electronic format;

• Transcriptions from written and oral interviews and discussions;

• Access agreements; and

• Interviewee accounts and recollections of experiences at component legacy agencies; the events of September 11, 2001; the establishment of the Department and its predecessor the Office of Homeland Security; the history of the Department including legacy components; major issues facing the Department; and the future of the Department.

5 U.S.C. 301; and 44 U.S.C. 3101.

The purpose of this system is to collect historically relevant information about the Department to support policy, initiatives, announcements, public releases of information, as well as to inform current and future leadership, employees, and the public about the history of the Department.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

E. 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.

F. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

G. To the Government Printing Office or other publishing offices for production of a final document.

H. To the National Archives and other government or public libraries in order to respond to inquiries about DHS.

I. To audiences attending a particular event, location, or meeting where the history of the Department is exhibited or presented.

J. To scholars (historians and other disciplines) or any other interested individuals for research in writing dissertations, articles, books, and other documents for government, commercial, and nonprofit publication or developing material for other media use.

K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by name, subject, employment position, or event.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is 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.

Records relating to background material are temporary, to be destroyed when no longer needed for administrative purposes, or ten years after the completion of the project. Records for the Headquarters History Office Project Files and Oral History Program are permanent in accordance with National Archives and Records Administration through approved schedule N1-563-07-3.

Historian (202-282-8682), History Office, Office of Policy, U.S. Department of Homeland Security, Washington, DC 20528.

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 Headquarters’ or component’s 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-0550, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1 -866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Individuals, interviewees, press releases, newspapers, journals, copies of internal Department records, and individuals submit records on a voluntary basis to the History Offices. Individuals who are interviewed for records must sign and are provided a notice under the Privacy Act pursuant to 5 U.S.C. 552a.

The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in (c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(5), and (e)(8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5).

Unclassified, sensitive, and classified.

Records are maintained at the Department Office for Civil Rights and Civil Liberties (CRCL), component civil rights and civil liberties offices, and within offices of a component that does not have a designated civil rights and civil liberties office, but these functions are dispersed within other offices of the component, in Washington, DC and field locations.

Categories of individuals covered by this system include:

Persons who contact the CRCL or component civil rights and civil liberties staff, to allege abuses of civil rights and civil liberties, or to allege racial, ethnic, or religious profiling by DHS, its employees, contractors, grantees, or others acting under the authority of the Department; persons alleged to be involved in civil rights or civil liberties abuses or racial, ethnic, or religious profiling, victims or witnesses to such abuse; third parties not directly involved in the alleged incident, but identified as relevant persons to an investigation; and DHS employees and contractors.

Categories of records in the system include:

Information relating to allegations of abuses of civil rights, civil liberties, and racial, ethnic, and religious profiling by Department employees and officials will be collected, as well as similar allegations relating to persons or entities under Department control (such as contractors or programs). Basic information about complainants will be collected, including, but not limited to:

• Complainant’s name;

• Complainant’s home and work mailing address;

• Complainant’s home, cell and work telephone and fax numbers;

• Complainant’s home and work e-mail address;

• Complainant’s social security number or alien registration number, if necessary and appropriate;

• Name of representative filing a claim on behalf of a complainant;

• Allegation occurrence date and time;

• Allegation facility name and location;

• DHS component referenced;

• Information on a complainant’s country of origin/race/religion (CRCL does not solicit this information, it is tracked if individuals provide it);

• Allegation details, primary and secondary issues, and primary and secondary basis;

• Other information that may appear in the system or in the file folder on a case-by-case basis might include:

• Photographic facial images;

• Bank account numbers;

• Vehicle license plate information; and

• Civil or criminal history information.

• Paper investigative files and documents depending on the particular investigation, but may include:

• Letters, memoranda, and other documents alleging abuses of civil rights, civil liberties, and profiling from complainants;

• Internal letters, memoranda, and other communications within DHS;

• Results of an investigation of allegations;

• Transcripts, interview notes, investigative notes;

• Documentation concerning requests for additional information needed to complete the investigation;

• Medical records;

• Copy of passport;

• Evidentiary documents and material, comments, and reports relating to the alleged abuses and to the resolution of the complaint; and

• Similar information regarding witnesses, persons involved in the alleged incident, or any other persons with relevant information regarding the alleged abuses may also be collected.

6 U.S.C. 345; 5 U.S.C. 301; 49 U.S.C. 114; 44 U.S.C. 3101; section 803 of Public Law 110-53; E.O. 12958, as amended.

The purpose of this system is to allow CRCL, component civil rights and civil liberties staff, and staff of components who do not have a designated civil rights and civil liberties office, but who do perform related functions, to maintain relevant information necessary to review complaints or comments about alleged civil rights or civil liberties violations, including racial, ethnic, or religious profiling related to the Department’s activities. The system will also track and maintain investigative files and records of complaint resolution and other issues, and facilitate oversight and accountability of the Department’s civil rights and civil liberties complaint resolution mechanisms.

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 United States Attorney Offices, or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 is subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To another Federal agency with responsibility for labor or employment relations or other issues, including Equal Employment Opportunity issues, when that agency has jurisdiction over issues reported to CRCL, or component civil rights and civil liberties staff, and staff of components who do not have a designated civil rights and civil liberties office, but who do perform related functions.

I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property.

J. To a former employee of the Department for purposes of responding to an official inquiry by a Federal, State, or local government entity or professional licensing authority, in accordance with applicable Department regulations; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes where the Department requires information and/or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility.

K. To the Office of Management and Budget (OMB), the DOJ, or the Office of Special Counsel (OSC), to obtain advice regarding statutory and other requirements related to civil rights and civil liberties.

L. To a Federal, State, territorial, Tribal, local, international, or foreign government agency or entity for the purpose of consulting with that agency or entity: 1. To assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or program; 2. for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS component or program; or 3. for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.

M. To a Federal agency or entity that furnished a record or information for the purpose of permitting that agency or entity to make a decision regarding access to or correction of the record or information or to a Federal agency or entity that has information relevant to the redress request for purposes of obtaining guidance, additional information, or advice from such Federal agency or entity regarding the handling of this particular redress request.

N. To third parties lawfully authorized in connection with a Federal government program, which is authorized by law, regulation, or rule, but only the information necessary and relevant to effectuate or to carry out a particular redress result for an individual and disclosure is appropriate to enable these third parties to carry out their responsibilities related to the Federal government program, such as when the name and appropriate associated information about an individual who has been cleared and distinguished from a known or suspected threat to aviation security, is shared with the airlines to prevent future delays and disruptions for that individual while traveling.

O. To the Department of Transportation (DOT) and its operating administrations when relevant or necessary to (1) ensure safety and security in any mode of transportation; (2) enforce safety- and security-related regulations and requirements; (3) assess and distribute intelligence or law enforcement information related to transportation security; (4) assess and respond to threats to transportation; (5) oversee the implementation and ensure the adequacy of security measures at airports and other transportation facilities; (6) plan and coordinate any actions or activities that may affect transportation safety and security or the operations of transportation operators; or (7) the issuance, maintenance, or renewal of a license, certificate, contract, grant, or other benefit.

P. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by name, incident code, social security number or other unique personal identifier.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is 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.

Referred issues are sent to DHS components for resolution. Components will maintain the record copy in accordance with the component’s related record disposition schedule. CRCL will maintain a reference copy containing the original complaint, all related and relevant documents, and the component’s memorandum of resolution in accordance with records schedule N1-563-07-6, b.1 and will destroy or delete seven years after resolution or closure of the case.

Retained issues are either maintained by CRCL because of the significance of the issue, which may result in policy change, or issues retuned from the component for resolution in accordance with N1-563-07-6, b.2 and will destroy or delete seventy-five years after resolution or closure of the case.

Significant case files involve allegations made against senior DHS officials; attract national media or congressional attention; present significant or novel questions of law or policy; and result in substantive changes in DHS policies and procedures. Significant case files will be selected by the Headquarters and component civil rights and civil liberties offices based on these criteria. In accordance with N1-563-07-6, b.3 records are maintained through the end of fiscal year in which the significant case file is closed. Records are transferred to NARA five years after the case is closed according to NARA transfer guidance and regulations.

For DHS: Complaints Manager (202-357-8178), Office for Civil Rights and Civil Liberties, Department of Homeland Security, 1201 New York Avenue, NW., Washington DC 20528.

For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "contacts."

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, CRCL, component civil rights and civil liberties offices, and staff of components who do not have a designated civil rights and civil liberties office but who do perform related functions, will consider individual requests to determine whether or not information may be released. Thus, 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 CRCL FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP- 0655, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1 -866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Information is collected from individuals who file complaints, eyewitnesses, third parties, DHS employees and/or contractors, illegal aliens involved in the circumstances that gave rise to the complaint, open sources such as non-fee Internet sources and newspapers, and other entities with information pertinent to the matter under investigation. The information is received via correspondence, telephone calls, e-mails, and facsimiles.

The Secretary of Homeland Security proposes to exempt certain portions of this system relating to ongoing investigations and national security activities from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), (k)(3), and (k)(5).

Unclassified.

Records are maintained at DHS and Component Headquarters in Washington, D.C. and field offices.

Categories of individuals covered by this system include:

(a) Individuals known or suspected to be or have been engaged in conduct constituting, in preparation for, in aid of, or related to terrorism ("known or suspected terrorists");

(b) Individuals who are foreign nationals or lawful permanent resident aliens and who are excludable from the United States based on their familial relationship, association, or connection with a known or suspected terrorist as described in sec. 212(a)(3)(B) of the Immigration and Nationality Act of 1952 ("INA exceptions");

(c) Individuals who were officially detained during military operations, but not as Enemy Prisoners of War, and who have been identified to pose an actual or possible threat to national security ("military detainees"); and

(d) Individuals known or suspected to be or have been engaged in conduct constituting, in aid of, or related to transnational organized crime, thereby posing a possible threat to national security ("transnational organized crime actors").

Categories of records in this system include:

1. Identifying biographic information, such as name, date of birth, place of birth, passport or driver’s license information, and other available identifying particulars used to compare the identity of an individual being screened with a subject in the TSDB;

2. Biometric information, such as photographs, fingerprints, or iris images, and associated biographic and contextual information;

3. References to or information from other government law enforcement and intelligence databases, or other relevant databases that may contain terrorism or national security information, such as unique identification numbers used in other systems;

4. Information collected and compiled to maintain an audit trail of the activity of authorized users of WLS information systems; and

5. System-generated information, including metadata, archived records and record histories from WLS.

Homeland Security Act of 2002, Pub. L. 107-296, 116 Stat. 2135; The Tariff Act of 1930, Pub. L. 71-361, 46 Stat. 741, as amended; The Immigration and Nationality Act; 49 U.S.C. 114, 5103a, 40113, ch. 49 and 46105; Homeland Security Presidential Directive/HSPD-6, "Integration and Use of Screening Information to Protect Against Terrorism" (Sept. 16, 2003); Homeland Security Presidential Directive/HSPD-11, "Comprehensive Terrorist-Related Screening Procedures" (Aug. 27, 2004); National Security Presidential Directive/NSPD-59/Homeland Security Presidential Directive/HSPD-24, "Biometrics for Identification and Screening to Enhance National Security" (June 5, 2008); E.O. 13388, "Further Strengthening the Sharing of Terrorism Information to Protect Americans," 70 FR 62023 (Oct. 25, 2005); Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. 108–458, 118 Stat 3638; National Security Act of 1947, Pub. L. 235, 61 Stat. 495, as amended; and 28 U.S.C. 533.

DHS and its Components collect, use, maintain, and disseminate information in the DHS Watchlist Service (WLS) to facilitate DHS mission-related functions, such as counterterrorism, law enforcement, border security, and inspection activities. The TSDB data, which includes personally identifiable information (PII), is necessary for DHS to effectively and efficiently assess the risk or threat posed by a person for the conduct of its mission.

The Federal Bureau of Investigation’s (FBI’s) Terrorist Screening Center (TSC) provides a near real time, synchronized version of the TSDB to DHS in order to improve the timeliness and governance of watchlist data exchanged between the FBI’s TSC and DHS and its Component systems that currently use TSDB data.

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)/FBI/TSC in order to receive confirmations that the information has been appropriately transferred and any other information related to the reconciliation process so that DHS is able to maintain a synchronized copy of the TSDB.

DHS will share information contained in this system to Components internal to DHS pursuant to subsec. 552a(b)(1) of the Privacy Act, and subsequently may be shared externally outside DHS at the programmatic level pursuant to routine uses described in the following published system of records notices:

(1) DHS/TSA-002 Transportation Security Threat Assessment System (T-STAS), 79 FR 46862, Aug. 11, 2014;

(2) DHS/TSA-019 Secure Flight Records, 80 FR 223, Jan. 5, 2015;

(3) DHS/CBP-011 TECS, 73 FR 77778, Dec. 19, 2008;

(4) DHS/CBP-006, Customs and Border Protection Automated Targeting System, 77 FR 30297, May 22, 2012;

(5) DHS/US-VISIT-004, DHS Automated Biometric Identification System (IDENT), 72 FR 31080, June 5, 2007;

(6) DHS/IA-001, Office of Intelligence and Analysis (I&A) Enterprise Records System, 73 FR 28128, May 15, 2008;

(7) DHS/ICE-009, ICE External Investigations, 75 FR 404, Jan. 5, 2010; and

(8) DHS/USCIS-006 Fraud Detection and National Security Records, 77 FR 47411, Aug. 8, 2012.

Disclosure to consumer reporting agencies:

None.

Storage:

DHS stores records in this system electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on servers, magnetic disc, tape, digital media, and CD-ROM.

DHS may retrieve records by name or other personal identifier.

DHS safeguards records in this system in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

The WLS maintains a near real-time feed of the TSDB, and does not retain historical copies of the TSDB. The WLS is synchronized with the TSDB. When the FBI/TSC adds, modifies, or deletes data from TSDB, WLS duplicates these functions almost simultaneously, and that information is then passed to DHS and its authorized Component systems. DHS does not manipulate the data within TSDB feed received by WLS. The authorized DHS Component that is screening individuals will maintain, separate from WLS, a record of a match or possible match with TSDB and DHS will retain this information in accordance with the DHS Component specific SORNs identified in this notice.

Executive Director, Passenger Systems Program Directorate, Office of Information and Technology, U.S. Customs and Border Protection, 7400 Fullerton Rd, Springfield, VA 22153.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS and its Components will consider individual requests to determine whether or not information may be released. Thus, 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 Headquarters or component 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 FOIA Officer, Department of Homeland Security, 245 Murray Drive SW, Building 410, STOP-0655, Washington, D.C. 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 FOIA Officer at 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.

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 or 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.

In addition, if individuals are uncertain what agency handles the information, they may seek redress through the DHS Traveler Inquiry Redress Program (DHS TRIP), 72 FR 2294, Jan. 18, 2007. Individuals who believe they have been improperly denied entry, refused boarding for transportation, or identified for additional screening by DHS may submit a redress request through DHS TRIP. The DHS TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs such as airports and train stations or crossing U.S. borders. Redress requests should be sent to: DHS Traveler Redress Inquiry Program, 601 South 12th Street, TSA-901, Arlington, VA 20598 or online at http://www.dhs.gov/trip and at http://www.dhs.gov.

See "Notification procedure" above.

See "Notification procedure" above.

Records are received from the FBI’s Terrorist Screening Center, specifically records covered by DOJ/FBI-019, "Terrorist Screening Records Center System," 72 FR 77846 (Dec. 14, 2011).

The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(5), (e)(8); and (g) pursuant to 5 U.S.C. 552a(j)(2).

Unclassified, sensitive, and law enforcement sensitive.

Records are maintained at the Department of Homeland Security (DHS) Headquarters on the DHS Nationwide Suspicious Activity Report Initiative (NSI) Shared Space Server in Washington, DC.

Categories of individuals covered by this system include:

• DHS employees and contractors who have submitted ISE-SAR data to the NSI Shared.

• DHS employees and contractors who use the NSI Shared Space for conducting research and analysis with a potential terrorism nexus.

• Federal, State, local, Tribal, territorial and private sector officials whose agency or organization is part of the NSI and have submitted a ISE-SAR that meets the ISE-SAR Functional Standard and whose information DHS personnel have a need to know for the performance of their official duties.

• Federal, State, local, Tribal, territorial, and private sector officials whose agency or organization is an NSI participant and who use the NSI Shared Space for conducting research and analysis with a potential terrorism nexus.

• Individuals whose behavior is reasonably indicative of pre-operational planning related to terrorism or other criminal activity associated with terrorism.

• Witnesses who have observed individuals whose behavior reasonably is indicative of pre-operational planning related to terrorism or other criminal activity associated with terrorism.

• Individuals who have a material relationship to the activity or behavior reported in an ISE-SAR (e.g., the owner of a particular vehicle that was observed in a SAR, where it is unclear whether the person was actually driving the vehicle).

As described in the ISE-SAR Functional Standard Version 1.5 published in May 2009, the below information related to individuals may be maintained in this system. The ISE-SAR Functional Standard identifies privacy fields, which are also noted below.

• Aircraft descriptions, including:

• Aircraft engine quality.

• Aircraft fuselage color.

• Aircraft wing color.

• Aircraft ID (privacy field).

• Aircraft make code.

• Aircraft model code.

• Aircraft style code .

• Aircraft tail number (privacy field).

• Attachment:

• Attachment type text.

• Binary image.

• Capture date.

• Description text.

• Format type text.

• Attachment URI.

• Attachment privacy field indicator.

• Contact information for the submitter of the ISE-SAR:

• Person first name.

• Person last name.

• Person middle initial/name.

• E-mail address.

• Organization/Affiliation, such as DHS.

• Full telephone number.

• Driver License:

• Expiration date (privacy field).

• Expiration year.

• Issuing authority text.

• Driver license number (privacy field).

• Driver license endorsements, such as Hazardous Materials, Commercial Driver’s License, Motorcycle.

• Follow-up Action:

• Activity date.

• Activity time.

• Assigned by text.

• Assigned to text.

• Disposition text.

• Status text.

• Location:

• Location description (privacy field).

• Location Address:

• Building description.

• County name.

• Country name.

• Cross street description.

• Floor identifier.

• International Civil Aviation Organization (ICAO) airfield code for departure.

• ICAO airfield code for planned destination.

• ICAO for actual destination.

• ICAO airfield for alternate.

• Mile marker text.

• Municipality name.

• Postal code.

• State name.

• Street name.

• Street number (privacy field).

• Street post directional.

• Street pre directional.

• Street type.

• Unit ID (privacy field).

• Location Coordinates:

• Altitude.

• Coordinate datum.

• Latitude degree.

• Latitude minute.

• Latitude second.

• Longitude degree.

• Longitude minute.

• Longitude second.

• Conveyance track/intent.

• Observer:

• Observer type text.

• Person employer ID (privacy field).

• Owning organization:

• Organization item.

• Organization description.

• Organization ID (privacy field).

• Organization Local ID.

• Other Identifier:

• Person identification number (PID) (privacy field).

• PID effective date (privacy field).

• PID effective year.

• PID expiration date (privacy field).

• PID expiration year.

• PID issuing authority text.

• PID type code.

• Passport:

• Passport ID (privacy field).

• Expiration date (privacy field).

• Expiration year.

• Issuing country code.

• Person:

• AFIS FBI number (privacy field).

• Age.

• Age unit code.

• Date of birth (privacy field).

• Year of birth.

• Ethnicity code.

• Maximum age.

• Minimum age.

• State identifier (privacy field).

• Tax identification number (privacy field).

• Person Name:

• First name (privacy field).

• Last name (privacy field).

• Middle name (privacy field).

• Full name (privacy field).

• Moniker (privacy field).

• Name suffix.

• Name type.

• Physical descriptors:

• Build description.

• Eye color code.

• Eye color text.

• Hair color code.

• Hair color text.

• Person eyewear text.

• Person facial hair text.

• Person height.

• Person height unit code.

• Person maximum height.

• Person minimum height.

• Person maximum weight.

• Person minimum weight.

• Person sex code.

• Person weight.

• Person weight unit code.

• Race code.

• Skin tone code.

• Clothing description text.

• Physical feature:

• Feature description.

• Feature type code.

• Location description.

• Registration:

• Registration authority code.

• Registration number (privacy field).

• Registration type.

• Registration year.

• ISE-SAR Submission:

• Additional details indicator.

• Data entry date.

• Dissemination code.

• Fusion center contact first name.

• Fusion center contact last name.

• Fusion center contact e-mail address.

• Fusion center contact telephone number.

• Message type indicator.

• Privacy purge data.

• Privacy purge review date.

• Submitting ISE-SAR Record ID.

• ISE-SAR submission date.

• ISE-SAR title.

• ISE-SAR version.

• Source agency case ID.

• Source agency record reference name.

• Source agency record status code.

• Privacy information exists indicator.

• Sensitive Information Details:

• Classification label.

• Classification reason text.

• Sensitivity level.

• Tearlined indicator (information that indicates the report does not contain classified information).

• Source Organization:

• Organization name.

• Organization ORI.

• System ID.

• Fusion center submission date.

• Source agency contact first name.

• Source agency contact last name.

• Source agency contact e-mail address.

• Source agency contact phone number.

• Suspicious Activity Report:

• Community description.

• Community URI.

• LEXS version.

• Message date/time.

• Sequence number.

• Source reliability code.

• Content validity code.

• Nature of source-code.

• Nature of source-text.

• Submitting organization:

• Organization name.

• Organization ID.

• Organization ORI.

• System ID.

• Suspicious Activity:

• Activity end date.

• Activity end time.

• Activity start date.

• Activity start time.

• Observation description text.

• Observation end date.

• Observation end time.

• Observation start date.

• Observation start time.

• Threat type code.

• Threat type detail text.

• Suspicious activity code.

• Weather condition details.

• Target:

• Critical infrastructure indicator.

• Infrastructure sector code.

• Infrastructure tier text.

• Structure type code.

• Target type text.

• Structure type text.

• Target description text.

• Vehicle:

• Color code.

• Description.

• Make name.

• Model name.

• Style code.

• Vehicle year.

• Vehicle identification number (privacy field).

• US DOT number (privacy field).

• Vehicle description.

• Related ISE-SAR:

• Fusion center ID.

• Fusion center ISE-SAR Record ID.

• Relations description text.

• Vessel:

• Vessel official Coast Guard number identification (privacy field).

• Vessel ID (privacy field).

• Vessel ID issuing authority.

• Vessel IMO number identification (privacy field).

• Vessel MMSI identification.

• Vessel make.

• Vessel model.

• Vessel model year.

• Vessel name.

• Vessel hailing port.

• Vessel national flag.

• Vessel overall length.

• Vessel overall length measure.

• Vessel serial number (privacy field).

• Vessel type code.

• Vessel propulsion text.

The Homeland Security Act of 2002, as amended; and the Intelligence Reform and Terrorism Prevention Act of 2004, as amended; the National Security Act of 1947, as amended; Executive Order 13388.

The ISE-SAR Functional Standard is designed to support the sharing, specifically through the NSI, of information about suspicious activities that have a potential terrorism nexus throughout the ISE. The NSI participants include DHS; the Department of Justice; other Federal agencies carrying out counterterrorism mission function; State, local, and Tribal entities, including law enforcement agencies, represented at State, regional, major urban area fusion centers; and the private sector to the extent authorized by applicable law. In addition to providing specific indicators of possible terrorism-related crimes, ISE-SARs can be used to look for patterns and trends by analyzing information at a broader level than would typically be recognized within a single jurisdiction, State, or territory. Standardized and consistent sharing of suspicious activity information regarding potential terrorist threats and possible criminal activity associated with terrorism among State and major urban area fusion centers and Federal agencies is vital to assessing, deterring, preventing, or prosecuting those involved in criminal activities associated with terrorism.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 public or private sector organization who is a participant in the Nationwide SAR Initiative and authorized access through the NSI Shared Space for the purpose of supporting an authorized law enforcement, counterterrorism, national security, or homeland security function.

H. To Federal government counterterrorism agencies where DHS becomes aware of an indication of a threat or potential threat to national or international security, and where such use is to assist in anti-terrorism efforts.

I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life, property or other vital interests of a data subject and disclosure is proper and consistent with the official duties of the person making the disclosure.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Much of the data within this system does not pertain to an individual; rather, the information pertains to locations, geographic areas, facilities, and other things or objects not related to individuals. However, personal information may be captured. Personal data may be retrieved by name, Social Security number, any privacy fields noted under Categories of Records, and other identifiers listed under the Categories of Records section.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

DHS is in the process of developing a retention schedule for DHS ISE-SAR data. This retention schedule will be based upon the underlying retention schedules of the information identified in existing components’ retention schedules. DHS components maintain the authority to withdraw and/or edit any and all ISE-SAR data that they have entered into the NSI Shared Space in accordance with their respective policies. The NSI Shared Space does not have any internal retention mandates independent of the retention policies of the DHS components that enter their information into the NSI Shared Space.

Ronald Athmann (202) 447-4332, Office of Intelligence and Analysis, Department of Homeland Security, Washington, DC 20528.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS will consider individual requests to determine whether or not information may be released. Thus, 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 Headquarters or component’s FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1 -866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from ISE-SARs submitted by Federal, State, local, Tribal, and territorial agencies and private sector organizations who are NSI participants. The respective mission sets of DHS components are varied and entail coverage across multiple sectors. DHS components use a standardized technical approach across DHS to incorporate SAR data into the NSI Shared Space. DHS personnel, trained in the ISE-SAR program, will review component SARs and submit only those SAR data that meet the ISE-SAR Functional Standard to the NSI Shared Space.

The Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitations set forth in 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), and (e)(12); (f); (g)(1); and (h) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, subject to the limitation set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2), and (k)(3).

Sensitive but Unclassified and Unclassified.

Records are maintained at DHS and Component Headquarters in Washington, DC and field offices.

DHS employees and former employees, including political appointees, civilian, and military personnel (and dependents and family members that accompany military members assigned outside the continental United States) assigned or detailed to the Department, individuals who are formally or informally associated with the Department, including advisory committee members, employees of other agencies and departments in the federal government, and other individuals in the private and public sector who are on official business with the Department, who in their official capacity, are applying for an official passport or updating their official passport records where a copy is maintained by the Department.

• Official passport books and passport cards, applications for official passport books and official passport cards, maintenance records in support of official passport books and official passport cards, and applications for additional visa pages, amendments, extensions, replacements, and/or renewals of official passport books or cards (including all information and materials submitted as part of or with all such applications) including, but not limited to:

• Name, date of birth, social security number, contact information, and address;

• Applications for registration at American Diplomatic and Consular Posts as U.S. citizens or for issuance of Cards of Identity and Registration as U.S. Citizens;

• Consular Reports of Birth Abroad of United States citizens;

• Certificates of Witness to Marriage;

• Certificates of Loss of United States Nationality;

• Oaths of Repatriation;

• Consular Certificates of Repatriation;

• Reports of Death of an American Citizen Abroad;

• Cards of Identity and Registration as U.S. citizens; and

• Miscellaneous materials, which are documents and/or records maintained separately, if not in the application, including but not limited to the following types of documents:

• Birth and baptismal certificates;

• Medical, personal, and financial reports; and/or

• Records of lost and stolen passports.

5 U.S.C. 301; 44 U.S.C. 3101; and 6 U.S.C. 112.

The purpose of this system is to collect and maintain a copy of an official passport application or maintenance record on DHS employees and former employees, including political appointees, civilian, and military personnel (and dependents and family members that accompany military members assigned outside the continental United States) assigned or detailed to the Department, individuals who are formally or informally associated with the Department, including advisory committee members, employees of other agencies and departments in the federal government, and other individuals in the private and public sector who are on official business with the Department, who in their official capacity, are applying for an official passport or updating their official passport records where a copy is maintained by the Department.

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 U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 other federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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 harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DHS officers and employees.

G. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To appropriate foreign government authorities for administrative purposes relating to foreign travel in order to facilitate official travel for the individual traveling.

I. To the Department of State when employees and former employees, including political appointees, civilian, and military personnel (and dependents and family members that accompany military members assigned outside the continental United States) assigned or detailed to the Department, individuals who are formally or informally associated with the Department, including advisory committee members, employees of other agencies and departments in the federal government, and other individuals in the private and public sector who are on official business with the Department, who in their official capacity, are applying for an official passport or updating their official passport records where a copy is maintained by DHS in order to receive an official passport.

J. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by any of the Category of Records Listed above.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records within this system of records are maintained and disposed of in accordance with NARA approved General Records Schedule (GRS) 9 Item 5, Sections a-c. Application files including documents relating to the issuance of official passports, including requests for passports, transmittal letters, receipts, and copies of travel authorizations should be destroyed when 3 years old or upon separation of the employee, whichever is sooner in accordance with N1- GRS-91-1, item 5a. Annual reports concerning official passports including reports to the DOS concerning the number of official passports issued and related matters should be destroyed when 1 year old in accordance with N1- GRS-91-1, item 5b. Passport registers including registers and lists of agency personnel who have official passports should be destroyed when superseded or obsolete in accordance with N1-GRS-98-2, item 9. Official passports should be returned to the DOS upon expiration or upon the separation of the employee.

Program Manager for Passport Processing (202-282-8020), Service Center, Office of the Chief Administrative Officer, Department of Homeland Security, Washington, DC 20528.

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 headquarters or component FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive, SW., Building 410, STOP-0655, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1 -866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from Department employees and contractors.

None.

Unclassified.

Records are maintained at the DHS Headquarters in Washington, D.C., Component Headquarters offices, and field offices.

DHS Disability Employment Program Manager, (202) 357-1264, Office for Civil Rights and Civil Liberties, U.S. Department of Homeland Security, Washington, D.C. 20528.

Sections 501, 503, 504, and 508 of the Rehabilitation Act of 1973 and Americans with Disabilities Act (ADA) Amendments Act of 2008; Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e; 29 U.S.C. 791, as amended, Employment of Individuals with Disabilities; Section 202(d) of the E-Government Act of 2002, Accessibility to Persons with Disabilities; 29 CFR Part 1605.2, Reasonable accommodation without undue hardship as required by section 701(j) of Title VII of the Civil Rights Act of 1964; 29 CFR Part 1614.203, Rehabilitation Act; 29 CFR Part 1630, Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act; 36 CFR Part 1194, Electronic and Information Technology Accessibility Standards; 6 CFR Part 15, Enforcement of Nondiscrimination on the Basis of Disability in Programs or Activities Conducted by the Department of Homeland Security; Executive Order 13164, Establishing Procedures To Facilitate The Provision Of Reasonable Accommodation; 5 U.S.C. chapters 11 and 79, and in discharging the functions directed under Executive Order 13991, Protecting the Federal Workforce and Requiring Mask-Wearing (Jan. 20, 2021), and 5 U.S.C. chapters 33 and 63; and Executive Order 12196, Occupational Safety and Health Program for Federal Employees (Feb. 26, 1980).

The purpose of this system is to allow the Department to collect and maintain records on applicants for employment as well as employees who request or receive a reasonable accommodation by the Department as required by the Rehabilitation Act of 1973, as amended, 29 U.S.C. 791, and/or Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e. This includes reasonable accommodations requested on both medical condition/disability and religious grounds. This system of records also allows DHS to track and report the processing of requests for reasonable accommodation Department-wide to comply with applicable law and regulations, to inform and determine appropriate workplace accommodations for particular employees, and to preserve and maintain the confidentiality of medical and religious information while promoting the safety of federal workplaces and the health of the federal workforce consistent with the above-referenced authorities.

Categories of individuals covered by this system include applicants for employment and employees, and under certain circumstances federal contractors, who request or receive reasonable accommodations under the Rehabilitation Act of 1973, as amended, and/or Title VII of the Civil Rights Act, as amended, 42 U.S.C. 2000e. This also includes authorized individuals or representatives (e.g., family member, attorney) who file requests for reasonable accommodation on behalf of an applicant for employment or employee, as well as former employees who requested or received reasonable accommodation during their employment with the Department.

Records in this system include the name of the individual seeking accommodations; the requester’s reasonable accommodation request and supporting documentation; the requestor’s status (i.e., applicant, contractor, or current employee); the date the accommodation request was initiated; the requestor’s job position (i.e., occupational series, grade level, and agency component), work/duty location, and job duties; the nature/type of accommodation(s) sought; the amount of time taken to process the request; whether the request was granted or denied and, if denied, the reason for the denial; and the sources of technical, physical, or other assistance consulted in trying to identify possible reasonable accommodations.

Also, for accommodations based on religion, the records will include information on how complying with a particular work requirement would substantially burden the requestor’s exercise of a sincerely held religious belief, practice or observance, how long the belief has been held, the reason for seeking a religious accommodation, and other information specific to the requested accommodation to determine whether DHS is legally required to grant the request. For reasonable accommodations requests specifically related to public health mitigation measures such as PPE, physical distancing, immunization requirements, testing, travel, and quarantine requirements, this system will also include information that individuals are requested to submit regarding how complying with such mitigation measures would substantially burden an individual’s religious exercise or conflict with their sincerely held religious beliefs, practices, or observances.

For accommodations based on a medical condition/disability, the records will include information such as the nature of the disability/medical condition, the functional limitations caused by the disability/medical condition, how the requested accommodation would address the functional limitations, medical documentation of the disability/medical condition, and other information specific to the requested accommodation to determine whether DHS is legally required to grant the request. For reasonable accommodations requests specifically related to public health mitigation measures such as PPE, physical distancing, immunization requirements, testing, travel, and quarantine requirements, this system will also include information that individuals are requested to submit regarding how the medical condition/disability prevents the individual from complying with such public health and safety mitigation measures.

Additional information collected to process reasonable accommodation requests includes the name, title, email address, and phone number of the requestor (or their representative); the requestor’s operating administration, pay grade, or band; supervisor information; and other information collected from requestors to make a determination regarding a specific medical and/or religious accommodation request.

Information is obtained from DHS employees and applicants and/or their medical practitioners, and in certain circumstances federal contractors, or authorized individuals acting on behalf of employees, applicants, and federal contractors who are requesting or have received medical/disability and/or religious accommodations.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 or proceeding 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. sec. 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 requirements and limitations on disclosure as are applicable to DHS officers and employees.

I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings, when it is relevant and necessary to the litigation or proceeding.

J. To appropriate third parties contracted by the Department to investigate a complaint or appeal filed by an employee or applicant, or to facilitate and conduct mediation or other alternative dispute resolution (ADR) procedures or programs.

K. To the Department of Defense (DOD) for purposes of procuring assistive technologies and services through the Computer/Electronic Accommodation Program in response to a request for reasonable accommodation.

L. To the Merit Systems Protection Board (MSPB), the Federal Labor Relations Authority (FLRA), Equal Employment Opportunity Commission (EEOC), Office of Special Counsel (OSC), Office of Personnel Management (OPM), or another appropriate federal agency or entity when needed by that agency or entity to evaluate, process, adjudicate, and/or arbitrate a claim or appeal filed by a DHS employee or applicant arising out of or relating to the employee’s or applicant’s request for reasonable accommodation.

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.

DHS may retrieve records by name of requester, employing component or directorate, or any unique identifying number assigned to the request, if applicable.

Records will be held in accordance with National Archives and Records Administration, General Records Schedule 2.3, Employee Relations Records, item 20, Reasonable accommodation case files. These records include individual employee files created, received, and maintained by reasonable accommodation, diversity/disability programs, employee relations coordinators, supervisors, administrators, or Human Resource specialists containing records of requests for reasonable accommodation and/or assistive technology devices and services that have been requested for or by an employee. This includes requests, approvals and denials, notice of procedures for informal dispute resolution or appeal processes, forms, correspondence, records of oral conversations, policy guidance documents, medical records, supporting notes, and documentation. These records are temporary and will be destroyed three (3) years after employee separation from the agency or all appeals are concluded, whichever is later. However, longer retention is authorized if required for business use.

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.

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 Component Privacy Officer and Component Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 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 the individual 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. sec. 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, whenever possible:

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, DHS 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.

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.

See "Record Access Procedures" above.

None.

76 Fed. Reg. 41274 (July 13, 2011).

Sensitive and unclassified.

Records are maintained at the DHS Headquarters in Washington, DC, DHS data centers in Stennis, Mississippi, and in locations where DHS and its components conduct business.

Categories of individuals covered by this system include:

(1) foreign nationals who may seek to enter the United States by air or sea under the Visa Waiver Program;

(2) prospective, current, and former non-immigrants to the United States on an F-1, M-1, or J-1 class of admission and their dependents who have been admitted under an F-2, M-2, or J-2 class of admission (collectively, F/M/J non-immigrants);

(3) a proxy, parent or guardian of an F/M/J nonimmigrant; and

(4) aliens or other individuals designated by DHS/Transportation Security Administration (TSA), including lawful permanent residents (LPR), who apply for flight training or recurrent training.

F nonimmigrants are foreign students pursuing a full course of study in a college, university, seminary, conservatory, academic high school, private elementary school, other academic institution, or language training program in the United States (U.S.) that Student and Exchange Visitor Program (SEVP) has certified to enroll foreign students. M nonimmigrants are foreign students pursuing a full course of study in a vocational or other recognized nonacademic institution (e.g., technical school) in the U.S. that SEVP has certified to enroll foreign students. J nonimmigrants are foreign nationals selected by a sponsor that the Department of State (DOS) has designated to participate in an exchange visitor program in the U.S.

(1) Correlation created by the Common Entity Index Prototype includes

• Identity information;

• Meta Data related to the

• source system name,

• system identification number to tie the biographic information back to the source system record, and

• date the record was ingested into the CEI Prototype.

(2) Source system data elements:

• Full Name;

• Alias(es);

• Gender;

• Date of Birth;

• Country of Birth;

• Country of Citizenship;

• Phone Number;

• Physical Address;

• Email Address;

• Fingerprint Identification Number; and

• Document Type, Number, Date, and Location of Issuance for the following types of government issued documents:

• Passport;

• Driver’s License;

• Electronic System for Travel Authorization (ESTA);

• Student and Exchange Visitor Information System (SEVIS) ;

• Alien Registration; and

• Visa.

Homeland Security Act, 6 U.S.C. 343; Clinger-Cohen Act of 1996, Public Law 104-106, codified at 40 U.S.C. 11101, et. seq.

The purpose of this prototype is to determine the feasibility of establishing a centralized index of select biographic information that will allow DHS to provide a consolidated and correlated identity, thereby facilitating and improving DHS’s ability to carry out its national security, homeland security, law enforcement, and benefits missions.

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, except, to the extent any of the data contained in the CEI Prototype relates to refugees, asylum seekers, and asylees, such information may not be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3), but is subject, as a matter of policy, to the confidentiality provisions of 8 CFR 208.6.

A. To the Department of Justice (DOJ), including U.S. Attorney Offices, or other federal agencies 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 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 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; and

2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

E. 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.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically in secure facilities in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, or digital media.

Records may be retrieved by name or any other unique identifier assigned to the individual.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

The CEI Prototype ingests data from source systems, and correlates the data into a CEI Prototype identity. Ingested data is retained in CEI Prototype for no longer than the record retention requirements of the source systems. The CEI Prototype creates a correlated identity that is dynamic not static. The ingested data elements that make up that identity will be subject to the records retention schedules of the source systems from which they came. By design, the deletion or correction of these elements at the appropriate time will affect the correlated record. For example, if a student updates his/her contact information, the correlation will be updated.

Executive Director, DHS Information Sharing Environment Office, Department of Homeland Security, Washington, DC 20528.

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 Headquarters FOIA Officer, whose contact information can be found on the Department’s official Web site at http://www.dhs.gov/foia under "Contacts." 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, on the Department’s official Web site at http://www.dhs.gov/foia or by calling toll free 1-866-431-0486. In addition, you should:

• Explain why you believe the Department would have information on you; and

• Specify when you believe the records would have been created.

If seeking records pertaining to another living individual, include a statement from that individual certifying his/her agreement for you to access his/her records.

Without the above information, DHS 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.

See "Notification procedure" above.

See "Notification procedure" above.

Initially, DHS will use the following source data sets to populate CEI Prototype: (1) CBP’s ESTA, covered by the DHS/CBP-009--Electronic System for Travel Authorization (ESTA) SORN (July 30, 2012, 77 FR 44642); (2) ICE’s SEVIS, covered by the DHS/ICE-001--Student and Exchange Visitor Information System SORN (January 5, 2010, 75 FR 412); and (3) TSA’s AFS, covered by the DHS/TSA-002--Transportation Security Threat Assessment System SORN (May 19, 2010, 75 FR 28046). If additional data sets are added to CEI Prototype, this SORN will be updated. If deployed for operational use, additional data sources may be used. DHS will update this SORN or issue a new SORN prior to the operational use of the system.

The records maintained in the CEI Prototype are the non-exempt portions of the records in the source systems because the information ingested into the CEI Prototype is the information provided directly by the individual for the requested benefit. When a record received from another system has been exempted in that source system under

5 U.S.C. 552a(j)(2) or (k)(1), (k)(2), or (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.

Unclassified, Sensitive.

Records are maintained at the DHS Headquarters in Washington, DC.

Current and former members of the USCG and USCG Reserve who have filed applications for relief before the Board, or their representatives; civilian employees of DHS serving as the Chair; members of the BCMR; or the staff of the BCMR.

• Name, rank, and service number or social security number (SSN) of the applicant and the name of his/her representative, if any;

• Phone numbers, mailing, and email addresses of the applicant and his/her representative, if any;

• Application for Correction of Military Record (DD Form 149) and all written arguments and evidence submitted by or on behalf of the applicant;

• Docket number and type of application;

• Copies of documents maintained by the Coast Guard in the applicant’s Personnel Data Record, such as performance evaluations, medal citations, written counseling, disciplinary records, discharge papers, and other military records relevant to the requested correction;

• Copies of the applicant’s medical records, if applicable to the requested correction, from the Coast Guard and Department of Veterans Affairs;

• Copies of applicable investigations;

• Advisory opinions of the Coast Guard, including any attached documentary evidence or affidavits;

• Transcripts of any hearing held by the Board;

• Decisional documents of the Board and of the General Counsel acting under delegated authority to approve, disapprove, or remand the decision of the Board;

• Coast Guard requests for amendment or clarification of Board decisions and the Board’s decisions in response to such requests;

• Copies of court decisions related to the application; and

• Correspondence between the Chair or staff and the applicant, the applicant’s representative or congressional representative, or the Coast Guard concerning an application.

10 U.S.C. § 1552.

The purpose of the BCMR system of records is to allow current and former USCG military personnel, or their authorized representatives, to submit applications to the BCMR for correction of their military records; to allow the Chair, members of the Board, and staff to review the records before deciding whether the requested corrections are warranted; to allow the General Counsel and his or her staff to review the records before deciding whether to approve, disapprove, or remand the Board’s decisions; and to allow the Coast Guard to review the records before deciding whether to recommend that the Board grant or deny relief in each case and to implement the Board’s orders. The system stores the complete record of each proceeding, including the decision issued or other final disposition made.

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 U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee 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 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 the security or confidentiality of information in the system of records has been compromised;

2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 Department of Veterans Affairs (DVA) when the BCMR determines it has the need for an applicant’s medical records possessed by the DVA. DHS requests medical records from DVA using an applicant’s name and social security number.

I. To courts, magistrates, administrative tribunals, opposing counsel, parties, and witnesses, in the course of civil, or criminal, or administrative proceedings (including discovery, presentation of evidence, and settlement negotiations) when DHS determines that use of such records is relevant and necessary to the litigation before a court or adjudicative body and any of the following is a party to or has an interest in the litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity when the government has agreed to represent the employee; or

4. The United States, when DHS determines that litigation is likely to affect DHS or any of its components.

J. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, digital media.

Records may be retrieved individually by name in alphabetical sequence or by docket number.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions. Files are kept in the Office of the General Counsel.

Records are retained locally for three years, after which records are then sent to NARA and destroyed after 40 years.

Chair, Board for Correction of Military Records, Office the General Counsel, Mail Stop #0485, 245 Murray Drive SW., Washington, DC 20518.

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 Chief Freedom of Information Act 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 also 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.

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 Department 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from the individual, his or her official military personnel file, other USCG records/reports, or the United States Department of Veterans Affairs.

None.

Sensitive but unclassified.

Records are maintained at several Headquarters locations and in component offices of DHS, in both Washington, D.C., and field locations or by a third-party identity service provider. Records related to identity proofing required for levels of assurance (LOA) 2 and above are also maintained by the third-party identity service provider in accordance with retention requirements identified in the National Institute of Standards and Technology (NIST) Special Publication 800-63 Electronic Authentication Guideline for the applicable LOA.

Categories of individuals in this system of records include members of the public, external stakeholders, and federal employees or contractors seeking electronic access to DHS programs and applications. This includes anyone attempting to authenticate his or her identity for the purpose of obtaining a credential to access a DHS program or application electronically, including when the program or application uses a third-party identity service provider to perform some or all credential management functions (e.g., prove identity, manage authentication tokens, authenticate users).

• Attributes DHS or a third-party identity service provider collects necessary to perform identity proofing at the required level of assurance. Attributes are only retained in this system of records if it is necessary for the program to manage the credential. Examples of attributes collected for identity proofing information include:

• Name (last, first, middle, and maiden);

• Date of birth;

• Place of birth;

• Financial or utility account number;

• Address of residence;

• Social Security number (SSN) – full or partial (may be optional depending on the application);

• Telephone number – (may be optional depending on the application); and

• Country of Citizenship.

• Assertions and assertion references from a third-party identity service provider such as:

• Transaction ID;

• Pass/fail indicator;

• Date/time of the transaction;

• Codes associated with the transaction;

• Information DHS or third-parties collect necessary to register, issue, and maintain the credential (e.g., to administer multi-factor authentication) including verified attributes the identity service provider maintains or passes to DHS after a user successfully passes identity proofing such as:

• Name;

• E-mail addresses;

• User ID;

• Passwords;

• Phone numbers (primary, alternate, mobile, home, work, landline);

• Two-factor authentication preference (SMS text message, e-mail, phone number for interactive voice response);

• Self-generated security questions and answers;

• Level of access;

• Credential registration information DHS collects manually that is necessary to perform manual identity verification in cases in which an individual cannot electronically prove his or her identity. Note that some identity proofing information (e.g., copies of government-issued photo identification) is retained in this system of records only if it is necessary for DHS to manage the credential.

• Other program-specific attribute information DHS or the identity service provider collects directly on behalf of DHS may include:

• Citizenship;

• Accepted Terms of Service (Y/N);

• Employment information such as job title, job role, organization;

• Business and affiliations;

• Faculty positions held;

• Home addresses;

• Business addresses;

• Justification/nomination for access to DHS computers, networks, or systems;

• Supervisor/nominator’s name, job title, organization, phone numbers, email address;

• Verification of training requirements or other prerequisite requirements for access to DHS computers, networks, or systems;

• Government-issued identity document type and expiration date;

• Records on access to DHS computers, networks, online programs, and applications including user ID and passwords;

• Registration numbers or IDs associated with DHS Information Technology (IT) resources;

• Date and time of access;

• Logs of activity interacting with DHS IT resources;

• Internet Protocol (IP) address of access;

• Logs of internet activity; and

• Records on the authentication of the access request, names, phone numbers of other contacts, and positions or business/organizational affiliations and titles of individuals who can verify that the individual seeking access has a need to access the system, as well as other contact information provided to the Department or that is derived from other sources to facilitate authorized access to DHS IT resources.

44 U.S.C. 3101; EO 9397 (SSN), as amended by EO 13487; 44 U.S.C. 3534;

Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA), Public Law (Pub. L.) 104-208, September 30, 1996, Note Section 404. Additional programmatic authorities may apply to maintenance of the credential.

This system collects information in order to authenticate an individual’s identity for the purpose of obtaining a credential to electronically access a DHS program or application. This system includes DHS programs or applications that use a third-party identity service provider to provide any of the following credential services: registration, including identity proofing, issuance, authentication, authorization, and maintenance. This system collects information that allows DHS to track the use of programs and applications for system maintenance and troubleshooting. The system also enables DHS to allow an individual to reuse a credential received when applicable and available.

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’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 sponsors, employers, contractors, facility operators, grantees, experts, and consultants in connection with establishing, maintaining, or managing an access account for an individual or maintaining appropriate points of contact.

I. To relying parties approved by the National Information Exchange Federation (NIEF) Trust Framework Provider for the purpose of providing federated access to systems when the user has been provided with appropriate notice and the opportunity to consent. Attributes provided to the relying party are limited: to 1) making authorization decisions; 2) dynamically provisioning accounts; and 3) performing audit logging.

J. To international, federal, state and local, tribal, private and/or corporate entities for the purpose of the regular exchange of business contact information in order to facilitate collaboration for official business.

K. To a trusted third-party identity service provider under contract with DHS or certified by the Federal Identity Management Credential and Access Management initiative for the purpose of authenticating an individual seeking a credential with DHS. The information may be included in the individual’s credit record as a "soft inquiry" that does not impact the individual’s credit score when the identity service provider is a credit bureau or uses a credit bureau to conduct identity proofing. The "soft inquiry" is not viewable by third parties.

L. 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.

Storage:

Records in this system are on paper or in digital or other electronic form. Digital and other electronic images are stored on a storage area network in a secured environment. Records, whether paper or electronic, are stored at the DHS Headquarters, at the component level, or at the third-party identity service provider’s physical or cloud location.

Information is retrieved, sorted, or searched by an identification number assigned by computer, by SSN (if maintained by the program), by facility, by business affiliation, by e-mail address, or by the name of the individual, or other data fields previously identified in this SORN. Note that when DHS uses a third-party identity service provider for identity proofing, data elements collected by the third party on DHS’s behalf are not retained by DHS unless specifically required by the program or application.

Information in this system is safeguarded in accordance with applicable laws, rules and policies, including the DHS IT Security Program Handbook and DHS Information Security Program Policy and Handbook. DHS uses trusted identity service providers including those certified through the Trust Framework Adoption Process by Federal Identity Credential and Access Management (FICAM). The DHS/ALL-037 E-Authentication Records system of records security protocols also meet multiple NIST Security Standards from Authentication to Certification and Accreditation.

Records in the DHS/ALL-037 E-Authentication Records system of records will be maintained in a secure, password-protected, electronic system that uses security hardware and software including: multiple firewalls, active intruder detection, and role-based access controls. Additional safeguards vary by component and program. All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to authorized personnel who have a "need to know," using locks and password protection identification features. Classified information is appropriately stored in accordance with applicable requirements. DHS file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel.

Records are securely retained and disposed of in accordance with the NARA’s General Records Schedule (GRS) 24, section 6, "User Identification, Profiles, Authorizations, and Password Files." Inactive records are destroyed or deleted six years after the user account is terminated or password is altered, or when no longer needed for investigative or security purposes, whichever is later.

In addition, in accordance with NIST SP-800-63-2, a record of the registration, history, and status of each token and credential (including revocation) is maintained by the credential service provider (CSP) or its representative. The record retention period of data for Level 2 and 3 credentials is seven years and six months beyond the expiration or revocation (whichever is later). The minimum record retention period for Level 4 credential data is ten years and six months beyond the expiration or revocations of the credential.

The System Manager is the Chief Information Officer (CIO), Department of Homeland Security, Washington, D.C. 20528.

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 Headquarters or component’s 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, Privacy Office, Department of Homeland Security, 245 Murray Drive, S.W., Building 410, STOP-0655, Washington, D.C. 20528.

When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 6 CFR Part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you 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.

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.

See "Notification procedure" above.

See "Notification procedure" above.

Information contained in this system is obtained from affected individuals, organizations, facilities, trusted third-party identity service providers (which may use commercial identity verification information not accessed or maintained by DHS to perform knowledge-based authentication), public source data, other government agencies, or information already in other DHS records systems.

None.

Unclassified and Classified.

Records are maintained at several DHS Headquarters and Component locations in Washington, D.C. and field offices.

Program Manager, Insider Threat Operations Center (202-447-5010), Office of the Chief Security Officer, Department of Homeland Security, Washington, D.C. 20528.

Intelligence Reform and Terrorism Prevention Act of 2004, Public Law 108-458; Intelligence Authorization Act for FY 2010, Public Law 111-259; Atomic Energy Act of 1954, 60 Stat. 755, August 1, 1946; Under Secretary for Management, Title 6 U.S.C. 341(a)(6); Investigation of Crimes Involving Government Officers and Employees, Title 28 U.S.C. 535; Law Enforcement Authority of Secretary of Homeland Security for Protection of Public Property, Title 40 U.S.C. 1315; Coordination of Counterintelligence Activities, Title 50 U.S.C. 3381; Executive Order 10450, Security Requirements for Government Employment, 18 Fed. Reg. 2,489 (April 17, 1953); Executive Order 12333, United States Intelligence Activities, 46 Fed. Reg. 59,941 (December 4, 1981), reprinted as amended in 73 Fed. Reg. 45,325 (July 30, 2008); Executive Order 12829, National Industrial Security Program, 58 Fed. Reg. 3,479 (January 06, 1993), reprinted as amended in part in 80 Fed. Reg. 60,271 (September 30, 2015); Executive Order 12968, Access to Classified Information, 60 Fed. Reg. 40,245 (August 2, 1995); Executive Order 13467, Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employees, and Eligibility for Access to Classified National Security Information, 73 Fed. Reg. 38,103 (June 30, 2008), reprinted as amended in part in 82 Fed. Reg. 8115 (January 17, 2017); Executive Order 13488, Granting Reciprocity on Excepted Service and Federal Contractor Employee Fitness and Reinvestigating Individuals in Positions of Public Trust, 74 Fed. Reg. 4,111 (January 16, 2009), reprinted as amended in part in 82 FR 8115 (January 17, 2017); Executive Order 13526, Classified National Security Information, 75 Fed. Reg. 707 (December 29, 2009); Executive Order 13549, Classified National Security Information Programs for State, Local, Tribal, and Private Sector Entities, 75 Fed. Reg. 51,609 (August 18, 2010), reprinted as amended in 80 Fed. Reg. 60,271 (September 30, 2015); Executive Order 13587, Structural Reforms to Improve the Security of Classified Networks and the Responsible Sharing and Safeguarding of Classified Information, 76 Fed. Reg. 63,811 (October 7, 2011); and Presidential Memorandum National Insider Threat Policy and Minimum Standards for Executive Branch Insider Threat Programs (November 21, 2012).

The purpose of this system is to detect, deter, and mitigate insider threats. DHS will use the system to facilitate management of insider threat inquiries; identify and track potential insider threats to DHS; manage referrals of potential insider threats to and from internal and external partners; provide authorized assistance to lawful administrative, civil, counterintelligence, and criminal investigations; and generate statistical reports and meet other insider threat reporting requirements.

The categories of individuals covered by this system are DHS "insiders," as defined above, which include present and former DHS employees, contractors, detailees, assignees, interns, visitors, and guests. In addition, persons who report concerns, witnesses, relatives, and individuals with other relevant personal associations with a DHS insider are covered by the system of records notice.

The system may collect the following types of information:

•Information potentially relevant to resolving possible insider threats and lawful DHS security investigations, including authorized physical, personnel, and communications security investigations, and information systems security analysis and reporting. Such information may include:

•Individual’s name and alias(es);

•Date and place of birth;

•Social Security number;

•Address;

•Open source information, including publicly available social media information;

•Personal and official email addresses;

•Citizenship;

•Personal and official phone numbers;

•Driver license number(s);

•Vehicle Identification Number(s);

•License plate number(s);

•Ethnicity and race;

•Current Employment and Performance Information;

•Work history;

•Education history;

•Contract information;

•Information on family members, dependents, relatives and other personal associations;

•Passport number(s);

•DHS-held Travel records;

•Gender;

•Hair and eye color;

•Biometric data;

•Other physical or distinguishing attributes of an individual;

•Medical information;

•Access control pass, credential number, or other identifying number(s);

•Media obtained through authorized procedures, such as CCTV footage; and

•Any other information provided to obtain access to DHS facilities or information systems.

•Records relating to the management and operation of the DHS physical, personnel, and communications security programs, including:

•Completed standard form questionnaires issued by the Office of Personnel Management;

•Background investigative reports and supporting documentation, including criminal background, medical, and financial data;

•Current and former clearance status(s);

•Other information related to an individual’s eligibility for access to classified information;

•Criminal history records;

•Polygraph examination results;

•Logs of computer activities on all DHS IT systems or any IT systems accessed by DHS personnel;

•Nondisclosure agreements;

•Document control registries;

•Courier authorization requests;

•Derivative classification unique identifiers;

•Requests for access to sensitive compartmented information (SCI);

•Records reflecting personal and official foreign travel;

•Facility access records;

•Records of contacts with foreign persons; and

•Briefing/debriefing statements for special programs, sensitive positions, and other related information and documents required in connection with personnel security clearance determinations.

•Reports of investigations or inquiries regarding security violations or misconduct, including:

•Individuals’ statements or affidavits and correspondence;

•Incident reports;

•Drug test results;

•Investigative records of a criminal, civil, or administrative nature;

•Letters, emails, memoranda, and reports;

•Exhibits, evidence, statements, and affidavits;

•Inquiries relating to suspected security violations;

•Recommended remedial actions for possible security violations; and

•Personnel files containing information about misconduct and adverse actions.

•Any information related to the management and operation of the DHS ITP, including:

•Documentation pertaining to fact-finding or analytical efforts by ITP personnel to identify insider threats to DHS resources, personnel, property, facilities, or information;

•Records of information technology events and other information that could reveal potential insider threat activities;

•Intelligence reports and database query results relating to individuals covered by this system;

•Information obtained from the Intelligence Community, law enforcement partners, and from other agencies or organizations about individuals and/or organizations known or reasonably suspected of being engaged in conduct constituting, preparing for, aiding, or relating to an insider threat;

•Information provided by subjects and individual members of the public; and

•Information provided by individuals who report known or suspected insider threats.

Records are obtained from (1) software that monitors DHS users’ activity on U.S. Government computer networks; (2) information supplied by individuals to the Department or by the individual’s employer; (3) information provided to the Department to gain access to DHS facilities, information, equipment, networks, or systems; (4) publicly available information obtained from open source platforms, including publicly available social media; (5) any departmental records for which the ITP has been given authorized access; and (6) any federal, state, tribal, local government, or private sector records for which the ITP has been given authorized access. The Insider Threat Operations Center (ITOC) also receives tips and leads by other means, such as email or telephone. The ITOC may receive a tip from any party, including members of the public.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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. sec. 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 an appropriate Federal, state, local, tribal, territorial, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, delegation or designation of authority, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, delegation or designation of authority, or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

J. To a prospective or current employer that has, or is likely to have, access to any government facility, information, equipment, network, or system, to the extent necessary to determine the employment eligibility of an individual, based on actions taken by the Department pursuant to an insider threat inquiry involving the individual.

K. To third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the individual making the disclosure.

L. To a public or professional licensing organization when such information indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.

M. To another federal agency in order to conduct or support authorized counterintelligence activities, as defined by 50 U.S.C. 3003(3).

N. To any Federal, state, local, tribal, territorial, foreign, or multinational government or agency, or appropriate private sector individuals and organizations lawfully engaged in national security or homeland defense for that entity’s official responsibilities, including responsibilities to counter, deter, prevent, prepare for, respond to, threats to national or homeland security, including an act of terrorism or espionage.

O. To a Federal, state, local, tribal, or territorial government or agency lawfully engaged in the collection of intelligence (including national intelligence, foreign intelligence, and counterintelligence), counterterrorism, homeland security, law enforcement or law enforcement intelligence, and other information, when disclosure is undertaken for intelligence, counterterrorism, homeland security, or related law enforcement purposes, as authorized by U.S. Law or Executive Order.

P. To any individual, organization, or entity, as appropriate, to notify them of a serious threat to homeland security and/or a potential insider threat for the purpose of guarding them against or responding to such a threat, or when there is a reason to believe that the recipient is or could become the target of a particular threat, to the extent the information is relevant to the protection of life, health, or property.

Q. To members of the U.S. House Committee on Oversight and Reform and the Senate Homeland Security and Governmental Affairs Committee pursuant to a written request under 5 U.S.C. 2954, after consultation with the Chief Privacy Officer and the General Counsel.

R. To a federal agency or entity that has information relevant to an allegation or investigation regarding an insider threat for purposes of obtaining guidance, additional information, or advice from such federal agency or entity regarding the handling of an insider threat matter, or to a federal agency or entity that was consulted during the processing of the allegation or investigation but that did not ultimately have relevant information.

S. To a former DHS employee, DHS contractor, or individual sponsored by DHS for a security clearance for purposes of responding to an official inquiry by federal, state, local, tribal, or territorial government agencies or professional licensing authorities; or facilitating communications with a former employee that may be relevant and necessary for personnel-related or other official purposes when DHS requires information or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility.

T. 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.

DHS/ALL-038 Insider Threat Program 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.

DHS may retrieve records by first and last name, Social Security number, date of birth, phone number, other unique individual identifiers, and other types of information by key word search.

In accordance with General Records Schedule 5.6: Security Records (July 2017), Insider Threat (a) records pertaining to an "insider threat inquiry" are destroyed 25 years after the close of the inquiry; (b) records containing "insider threat information" are destroyed when 25 years old; (c) insider threat user activity monitoring (UAM) data is destroyed no sooner than 5 years after the inquiry has been opened, but longer retention is authorized if required for business use; and (d) insider threat administrative and operations records are destroyed when 7 years old.

As described below, this system of records is exempt from the notification, access, and amendment provisions of the Privacy Act, and the Judicial Redress Act if applicable. However, 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 Headquarters 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 Freedom of Information Act Officer, Department of Homeland Security, Washington, D.C. 20528-0655. Even if neither the Privacy Act nor the Judicial Redress Act provides 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 Title 28 U.S.C. sec. 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 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.

For records covered by the Privacy Act or Judicial Redress Act-covered 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. 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.

See "Record Access Procedures" above.

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), (e)(8), (e)(12); (f); and (g)(1). 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), (e)(4)(I); and (f). When this system receives a record from another system exempted in that source system under Title 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 claims any additional exemptions set forth here.

81 Fed. Reg. 9,871 (February 26, 2016)

Unclassified and Classified.

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

Director, Center for International Safety & Security, Office of the Chief Security Officer, Department of Homeland Security, 301 7th Street SW, D.C. 20024.

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).

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.

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)

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.

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

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. sec. 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.

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.

Records may be retrieved by foreign contact or USG employee name, or other personal identifiers listed in the categories of records, above.

In accordance with NARA-approved retention schedule N1-563-09-1, DHS retains information collected on foreign visitors for screening in FAMS and in the Classified Local Area Network (C-LAN) access database for twenty years.

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.

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, D.C. 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. sec. 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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above.

See "Record Access Procedures" above.

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.

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

Unclassified, Sensitive, For Official Use Only, Law enforcement-Sensitive.

Records are maintained at the DHS Headquarters in Washington, D.C., component headquarters and field offices, and as component-specific systems. Electronic/Information Technology (IT) records are maintained within DHS systems that serve as data repositories of personnel data.

For DHS Headquarters components, the System Manager is the Deputy Chief Freedom of Information Act (FOIA) Officer, Department of Homeland Security, Washington, D.C. 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "Contacts."

Authority for maintaining this system is in 6 U.S.C. sec. 236; 8 U.S.C. sec. 1103; 22 U.S.C. secs. 4801, 4802, and 4805; and Presidential Policy Directive (PPD)-30, Hostage Recovery Activities.

The purpose of this system is to permit DHS’s collection, use, maintenance, dissemination, and storage of information to: facilitate identification of DHS personnel (including employees and contractors) assigned overseas or on official travel abroad for whom DHS has the responsibility to recover or account; maintain situational awareness of the location of DHS personnel; and coordinate support services for personnel who have been abducted, detained, held hostage, declared missing, impacted by a terrorist attack, natural disaster, government takeover, aircraft/motor vehicle accident, or are otherwise isolated from friendly support.

DHS personnel (including federal employees and contractors) and non-DHS Federal employees who are members of DHS-led task forces assigned overseas or on official travel outside the United States. Information will also be collected from family members, domestic partners, and emergency contacts of personnel assigned overseas or on official travel outside the United States.

Mandatory fields include the following:

•Full Name;

•Alias(es);

•Business title/position title;

•Gender;

•Biometric (i.e., fingerprint data and facial photographic data) and other information (i.e., race, ethnicity, weight, height, eye color, hair color) collected to conduct background checks;

•Foreign Travel Itinerary;

•Foreign Language and Fluency Level;

•Personnel Recovery Training and Year Received;

•Other Pertinent Training;

•Prior Military/Branch;

•Assignment Reason Narrative;

•Assignment Location;

•Work Email Address;

•Security clearance information;

•Business Cellular International Mobile Station Equipment Identity (IMEI);

•Business Phone Number;

•Passport numbers and other travel documents (official or diplomatic, and personal), including expiration date;

•Citizenship;

•Emergency contact information (at post and at home);

•Identity verification or security questions and responses;

•Supervisor contact information; and

•Emergency contact information.

Optional fields include the following:

•Blood Type;

•Scars;

•Tattoos;

•Disfigurement;

•Medical Conditions;

•Allergies;

•Medication;

•Personal Cellular Phone Number;

•Personal Cellular IMEI;

•Other Electronic Device Type;

•Other Electronic Device IMEI;

•Personal Email Address #1;

•Personal Email Address #2;

•Regional Security Officer (RSO) Name;

•RSO Direct Phone;

•RSO Cell Phone;

•Marine Post One Phone;

•Regional Embassy/Consulate;

•Tracking Device IMEI;

•Personnel Recovery Equipment;

•Cellular –World;

•Cellular – World IMEI;

•Cellular – Local;

•Cellular – Local IMEI;

•Religious preference;

•Sizing information (e.g., shirt size, pant size, hat size, shoe size);

•Vehicle information;

•Real-time location information;

•Kit issuance; and

•Information about family members and domestic partners of personnel assigned OCONUS (name, passport numbers and issuing country, contact information, date of birth, work location, school name and location, medical conditions, and photographs).

Records are obtained from DHS personnel (including federal employees and contractors).

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 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. sec. 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 determines that information from this system of records is reasonably necessary and otherwise compatible with the purpose of collection to assist another federal 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; or

2. DHS suspects or has confirmed that there has been a breach of this system of records; and (a) DHS has determined that as a result of the suspected or confirmed breach, there is a risk of harm to individuals, harm to DHS (including its information systems, programs, and operations), the Federal Government, or national security; and (b) 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 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 the Department of State (DOS) when necessary to coordinate U.S. Embassy or Consulate support services for the employee.

H. To federal, state, and local governmental agencies or executive offices, and foreign governments, when disclosure is appropriate for proper planning or coordination of personnel recovery efforts or assistance, as described in PPD-30.

I. To family members when the subject of the record is unable or unavailable to sign a waiver and is involved in an emergency situation, and the release is for the benefit of the subject.

J. To members of Congress when the information is requested on behalf of a family member of the individual to whom access is authorized under routine use I.

K. 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.

DHS stores records in this system electronically or on paper in secure facilities at the DHS Headquarters in Washington, D.C., as well as component headquarters and field offices, in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, and digital media.

Records may be retrieved by an individual’s name, biometric information, employee ID number, and telephone number.

For information used to account for personnel and maintain communication during emergencies, office dismissal, and closure situations, the Personnel Recovery Information system of records will retain records until superseded or obsolete, or upon separation or transfer of the employee, in accordance with NARA General Records Schedule 5.3, Item 20.

For all other information in this system of records, the information will be maintained in accordance with NARA General Records Schedule 5.2, Item 10. This information is also retained until superseded or obsolete, or upon separation or transfer of the employee.

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 Headquarters or component’s 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 Freedom of Information Act Officer, Department of Homeland Security, Washington, D.C. 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 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. sec. 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;

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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above.

See "Record Access Procedures."

None.

DHS/ALL-040 is a new system of records and DHS has not published any prior notices that apply to the records.

Unclassified, Sensitive. 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.

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, D.C., and field offices. The records are maintained in the Information Technology (IT) system, Automated Biometric Identification System (IDENT), also referred to as the Homeland Advanced Recognition Technology (HART).

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, IDENT Program Management Office, OBIM, U.S. Department of Homeland Security, Washington, D.C. 20528; email: OBIMprivacy.ice.dhs.gov.

6 U.S.C. secs. 202 and 482; 8 U.S.C. secs. 1103, 1105, 1158, 1159, 1187, 1201, 1225, 1254a, 1254b, 1301-1305, 1324, 1357, 1360, 1365a, 1365b, 1372, 1379, 1440f, 1537, 1721, 1722, 1731, and 1732; 14 U.S.C. secs 89, 95; 19 U.S.C. sec. 1589a; 42 U.S.C. sec. 5197a; 44 U.S.C. sec. 3544; 46 U.S.C. sec. 70123; 49 U.S.C. secs. 114, 5103, 40103(b), 40113(a), 44903(b), 44936, 44939, and 46105; 5 CFR part 731; 5 CFR part 732; 32 CFR sec. 147.24; 8 CFR sec. 214.1; 8 CFR sec. 235.1; E.O. 12968 (60 FR 40245), 3 CFR, 1995 Comp. p. 1365.; 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).

The purpose of this system is to process and maintain biometric and associated biographic information from non-DHS entities, both foreign and domestic, for law enforcement, national security, immigration screening, border enforcement, intelligence, national defense, and background investigations relating to national security positions, credentialing, and certain positions of public trust, consistent with applicable DHS authorities. DHS may use and share these external biometric and associated biographic records for these same purposes, as permitted and approved by our partners, if applicable, pursuant to the agreement or arrangement.

• Background checks and suitability screening;

• National security;

• Law enforcement operations (including individuals who are removed from a foreign country by a foreign partner government based on a criminal conviction);

• Intelligence;

• Border enforcement and immigration screening; and

• National defense.

Information collected by a non-DHS entity and maintained in this system includes:

• Biometric data, including:

o Facial images;

o Fingerprints;

o Latent fingerprints;

o Iris images;

o Palm prints;

o Voice;

o Scars, marks, and tattoos;

o DNA or DNA Profile; and

o Other modalities.

• Biometric-associated biographic data including:

o Full name (i.e., first, middle, last, nicknames, and aliases);

o Date of birth (DOB);

o Gender;

o Personal physical details, such as height, weight, eye color, and hair color;

o Signature;

o Assigned number identifiers, such as, but not limited to, Alien Registration Number (A-Number), Social Security number (SSN), state identification number, civil record number, other agency system specific fingerprint record locator information, Federal Bureau of Investigation (FBI) Number (FNU)/Universal Control Number (UCN), Encounter Identification Number (EID), Finger Identification Number (FIN), DoD Biometric Identifier (DoD BID), Transaction Control Number (TCN), Global Unique Identifier (GUID), National Unique Identification Number (NUIN)), document information and identifiers (e.g., passport and visa data, document type, document number, country of issuance), when available; and

o Identifiers for citizenship and nationality, including person-centric details, such as country of birth, country of citizenship, and nationality, when available.

• Derogatory information (DI), if applicable, including, wants and warrants, Known or Suspected Terrorist (KST) designation, sexual offender registration, foreign criminal convictions, and immigration violations, when available;

• Miscellaneous officer comment information, when available; and

• Encounter data, including location and circumstance of each instance resulting in biometric collection.

EBR SOR receives biometric and associated biographic information from non-DHS entities that may be used by DHS for a wide array of purposes, including those listed in the purpose(s) of the system stated above. EBR maintains records in accordance with the terms of the agreements or arrangements under which partners provide the external information to DHS. 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 (pending DOJ release);

• 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-39 Visa Records 60 FR 39469 (Oct. 25, 2012);

• STATE-36, Security Records 80 FR 77691 (Dec. 15, 2015).

EBR SOR receives biometric and associated biographic information from foreign partners consistent with various international information sharing and access agreements or arrangements on file with DHS Office of Policy, International Affairs.

EBR SOR receives biometric and associated biographic information from State and local partners consistent with various law enforcement information sharing and access agreements or arrangements.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 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 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. 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.

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 an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

J. To a Federal, State, or local agency, or other appropriate entities or individuals, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order (E.O.), or other applicable national security directive.

K. To Federal and foreign government intelligence or counterterrorism agencies or Components when DHS reasonably believes there to be a threat or potential threat to national or international security for which the information may be useful in countering the threat or potential threat, or when disclosure supports the conduct of national intelligence and security investigations or assists in anti-terrorism efforts.

L. To a foreign government to notify it concerning its citizens or residents who are incapacitated, unaccompanied minors, or deceased.

M. 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.

N. 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.

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.

Records may be retrieved by biometrics or select personal identifiers, including but not limited to names, identification numbers, dates of birth, nationality, document number, and address.

Record Schedule DAA-0563-2013-0001 for DHS’s biometric and biographic records used for national security, law enforcement, immigration, and other functions consistent with DHS authorities has been approved by National Archives and Records Administration (NARA). EBR records include:

1. Law Enforcement Records: Identification, investigation, apprehension, and/or removal of aliens unlawfully entering or present in the United States and facilitate legal entry of individuals into the United States, which must be destroyed or deleted 75 years after the end of the calendar year in which the data is gathered.

2. Records related to the analysis of relationship patterns among individuals and organizations that are indicative of violations of the customs and immigration laws including possible terrorist threats from non-obvious relationships and specific leads and law enforcement intelligence for active and new investigations. These records must be destroyed or deleted 15 years after the end of calendar year of last use of individual’s data.

The latent biometric retention schedule is currently in development with OBIM Headquarters and will be submitted thereafter to NARA for approval.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act, and consequently the Judicial Redress Act if applicable, because it is a law enforcement system. 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 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 herself, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, Washington, D.C. 20528-0655. Even if neither the Privacy Act nor the Judicial Redress Act provide a right of access, certain records about the individual may be available under the Freedom of Information Act.

When seeking records about one 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. sec. 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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above, and 6 CFR Part 5.

See "Record Access Procedures."

The Secretary of Homeland Security, pursuant to 5 U.S.C. sec. 552a(j)(2), has exempted this system from the following provisions of the Privacy Act: 5 U.S.C. sec. 552a(c)(3), (c)(4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), and (e)(8); (f); and (g)(1) through (5). Additionally, the Secretary of Homeland Security, pursuant to 5 U.S.C. sec. 552a(k)(2) and (k)(5), has exempted this system from the following provisions of the Privacy Act, 5 U.S.C. sec. 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), 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.

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).

Unclassified.

Records are maintained at the DHS Headquarters in Washington, D.C., and field offices.

For DHS Headquarters, the System Manager is the Deputy Chief Freedom of Information Act (FOIA) Officer, Department of Homeland Security, Washington, D.C. 20528. For components of DHS, the System Manager can be found at http://www.dhs.gov/foia under "Contacts."

Authority for maintaining this system is in 5 U.S.C. 301, 44 U.S.C. 3101; 44 U.S.C. 3534; Homeland Security Act of 2002, and as amended; Executive Order 13576 (June 13, 2011).

The purpose of this system is to permit DHS’s collection of biographical and professional information of current DHS employees, contractors, and grantees to facilitate connections and collaboration among individuals supporting the Department’s mission; aid in the identification of individuals within an organization; and to ensure efficient collaboration within the Department.

Current DHS personnel, including employees, contractors, and grantees working in furtherance of the Department’s mission. Former DHS personnel information may be included until the information is disposed of in accordance with National Archives and Records Administration retention schedules. This system covers all individuals who are authorized to access DHS information technology resources, which may include any lawfully designated representative of private enterprises and federal, state, territorial, tribal, local, international, or foreign government agencies or entities, in furtherance of the DHS mission.

Categories of records in this system include:

• Individual’s name;

• Individual’s photograph;

• Position/Title;

• Organization/Component affiliation;

• Business phone numbers;

• Business email addresses;

• Work/Office addresses;

• Educational background/history and accomplishments;

• Professional background/work history and accomplishments;

• Individual’s military experience, if applicable; and

• Other relevant biographical information that the individual may voluntarily provide.

Records are voluntarily obtained from the individual employee, contractor, or grantee.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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. sec. 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 determines that information from this system of records is reasonably necessary and otherwise compatible with the purpose of collection to assist another federal 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; or

2. DHS suspects or has confirmed that there has been a breach of this system of records; and (a) 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 (b) 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 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.

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.

Records may be retrieved by an individual’s name, component or affiliation, position or title, email address, or an Electronic Data Interchange Personal Identifier. The Electronic Data Interchange Personal Identifier is a unique number assigned to the Personal Identity Verification (PIV) card that uniquely identifies each user. Records are not retrievable by message content or information contained therein.

Records connected to social media that are not hosted on a DHS server are managed in accordance with General Records of the Department of Homeland Security Records Schedule Number DAA-0563-2013-0003. Information used to establish a profile on non-DHS information sharing and social media websites will be cut off at the end of the calendar year, and destroyed 5 years after the information has been superseded, or is obsolete. All other records covered by this SORN are managed in accordance with General Records Schedule (GRS) 5.1, item 010. Records accumulated by individual offices that relate to routine day-to-day administration and management of the office rather than the mission-specific activities for which the office exists should be destroyed when the business use ceases.

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.

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. sec. 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/she believes 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.

For records covered by the Privacy Act, see "Record Access Procedures" above.

See "Record Access Procedures" above.

None.

None.

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.

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, D.C., 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, IDENT/HART Program Management Office, OBIM, U.S. Department of Homeland Security, Washington D.C. 20528; email OBIMprivacy@ice.dhs.gov.

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).

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.

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.

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);

•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✓™ 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).

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 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.

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.

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.

The transactional record systems retention schedule is currently in development with OBIM and will be submitted thereafter to NARA for approval.

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, D.C. 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. sec. 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.

For records covered by the Privacy Act or covered JRA records, see "Records Access Procedures" above, and 6 CFR part 5.

See "Record Access Procedures."

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.

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

Unclassified.

Records are maintained at the DHS Headquarters in Washington, D.C., and Component offices in DHS, in both Washington, D.C. and field offices. Records received through www.regulations.gov or uploaded to FDMS are retained at GSA Headquarters in Washington, D.C.

Associate General Counsel for Regulatory Affairs, dhsogcregulations@hq.dhs.gov, Department of Homeland Security, 2707 Martin Luther King Jr. Avenue, SE, Washington, D.C. 20528.

Section 206(d) of the E-Government Act of 2002 (Pub. L. 107–347, 44 U.S.C. 3501 note); 5 U.S.C. § 553; 6 U.S.C. 101, et seq.

The purpose of this system is to permit members of the public to review and comment on DHS rulemakings and notices. DHS will use any submitted contact information to seek clarification of a comment, respond to a comment when warranted, and for such other needs as may be associated with the rule making or notice process.

Any individual who provides personally identifiable information to DHS when commenting on a DHS rulemaking or notice and individuals mentioned or identified in the body of a comment.

Categories of records contained in eRulemaking include:

•Name

•Mailing Address

•Email Address

•Phone Number

•Fax Number

•Representative Name

•Organization name

•Additional information provided in the submitted comment and other supporting documentation provided in response to a DHS rulemaking or notice.

DHS receives records from members of the public; representatives of Federal, state, or local governments; non-government organizations; and the private sector.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 the General Services Administration, as the system manager of FDMS, to provide technical or other administrative support.

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, 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.

DHS stores records in this system electronically or on paper in secure facilities. The records may be stored on magnetic disc, tape, and digital media.

DHS may be retrieve records by keyword, document identification number, comment tracking number, document title, Code of Federal Regulation (CFR) (search for a specific title within the CFR), CFR citation (search for the part or parts within the CFR title being searched), document type, document sub type, date posted, and comment period end date.

DHS retains records covered by the eRulemaking system in accordance with General Records Schedule (GRS) 4.2, Item 001, and 6.6, Item 30. Public comments received in response to a proposed SORN are destroyed three years after publication but may be kept longer if required for business use. Public comments received in response to a proposed rule are destroyed one year after publication of the final rule or decision to abandon publication but may be kept longer if required for business use.

The GSA information technology system that hosts regulations.gov and FDMS is in a facility protected by physical walls, security guards, and requires identification badges. Rooms housing the information technology system infrastructure are locked, as are the individual server racks. All security controls are reviewed on a periodic basis by external assessors. The controls themselves include measures for access control, security awareness training, audits, configuration management, contingency planning, incident response, and maintenance.

Records in FDMS are maintained in a secure, password-protected electronic system that uses security hardware and software to include multiple firewalls, active intrusion detection, encryption, identification and authentication of users.

DHS safeguards records maintained outside of FDMS and www.regulations.gov 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.

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 or Component’s FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 20528-0655. Even if neither the Privacy Act nor the JRA 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. sec. 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 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.

For records covered by the Privacy Act or covered JRA 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.

See "Record Access Procedures" above.

None.

None.

Unclassified.

Records are maintained at the U.S. Citizenship and Immigration Services Headquarters on behalf of the Office of Immigration Statistics and at the Office of Immigration Statistics in Washington, D.C.

The system manager is the Deputy Assistant Secretary, Office of Immigration Statistics, U.S. Department of Homeland Security, 2707 Martin Luther King Jr. Avenue SE, Washington, D.C., 20528.

Section 103 of the Immigration and Nationality Act of 1965, as amended (8 U.S.C. 1103); Section 709 of the Homeland Security Act of 2002, as amended (6 U.S.C. 349(f)); Section 1092 of the National Defense Authorization Act for Fiscal Year 2017 (Pub. L. 114-328, Title X, Sec. 1092, December 23, 2016); 6 U.S.C. 223(f); Executive Order 13767, Border Security and Immigration Enforcement Improvements; and Executive Order 13768, Enhancing Public Safety in the Interior of the United States.

The purpose of this system is to support DHS/OIS in fulfilling its mandate to regularly prepare an extensive series of analytical and statistical reports on border security, immigration enforcement activities, refugee and asylum claims, and other immigration requests and events.

Categories of individuals covered by this system include individuals and their dependents (and individuals acting on their behalf such as attorneys) interacting with the U.S. Government in its role of implementing and enforcing its immigration system and laws, including those who have applied for immigration requests or received immigration benefits, such as adjustment of status to lawful permanent resident, and those who are subject to immigration enforcement actions, including those arrested, detained, or removed from the United States for criminal or administrative violations of the Immigration and Nationality Act.

•Alien Registration Number(s) (A-Number);

•Receipt file number(s);

•Full name and any aliases used;

•Known or possible addresses;

•United States destination address;

•Phone numbers and email addresses;

•Date of birth;

•Place of birth (city, state, and country);

•Countries of citizenship and nationality(ies);

•Ethnic origin;

•Languages spoken;

•Religion;

•Gender;

•Marital and family status;

•Place of marriage;

•Government-issued identification (e.g., passport information, permanent resident card, Trusted Traveler Program card) and travel document information, such as document type, issuing country or entity, document number, and expiration date;

•Arrival/Departure information (e.g., record number, expiration date, class of admission);

•Federal Bureau of Investigation (FBI) Identification Number;

•Fingerprint Identification Number or other biometric identifying numbers;

•Digital fingerprints (i.e., numerical identification number);

•Other unique identifying numbers (e.g., federal, state, local, and tribal identification numbers);

•Detention data, including: location, facility, transportation information, identification numbers, book-in/book-out dates and times, custody recommendation, information about an alien’s release from custody on bond, recognizance, or supervision, information related to prosecutorial discretion determinations, and other alerts;

•Immigration enforcement and court case-related data, including: descriptive information of events involving alleged law violations; arrests and charges; case number; status; record number; case category; proceedings and immigration judge decisions; schedule info; court appointments; bonds; motions; appeals; disposition; case agent; date initiated and completed;

•Immigration status and history (e.g., citizenship/naturalization certificate number, removals, explanations);

•Visa information;

•Travel history;

•Port(s) and clearance processing lane or location of crossing, secondary examination status, date(s) and time(s) of entry, status at entry(ies);

•Carrier-related information, such as airline carrier code, flight number, vessel name and country of registry/flag, individual’s status on board the aircraft, and the location where passengers and crew members will undergo customs and immigration clearance by CBP;

•Education history;

•Occupation and employment history;

•Professional accreditation information;

•Criminal history;

•Benefit case processing information, such as date applications were filed or received by USCIS, application/petition status, and fee receipt data;

•Specific benefit eligibility information as required by the benefit being sought;

•Claimed basis of eligibility for benefit(s) sought;

•Notices and communications, including Appointment notices, Receipt notices, Requests for evidence, Notices of Intent to Deny (NOID), Decision notices and assessments, or proofs of benefit;

•Information on preparers, representatives, and interpreters, including name, law firm/recognized organization, and physical and mailing addresses;

•Electronic biographic information on individual applicants for admission to the United States as refugees, Special Immigrant Visa individuals electing resettlement benefits, and U.S.-based relatives, including: A-Number, name, date and place of birth, nationality, U.S. ties, resettlement agency, arrival date, relationship to principal applicant, and destination city and state; and

•One-time person-level identifer created and used by OIS to link records across datasets each time the data are matched.

Records are obtained from operational immigration Components within DHS, including U.S. Citizenship and Immigration Services (USCIS), U.S. Customs and Border Protection (CBP), U.S. Immigration and Customs Enforcement (ICE), as well as the Executive Office for Immigration Review (EOIR), within the Department of Justice (DOJ), and the Department of State (DOS). Source systems SORNs that cover these records in their native form include:

•DHS/USCIS/ICE/CBP-001 Alien File, Index, and National File Tracking System of Records, 82 Fed. Reg. 43556 (September 18, 2017);

•DHS/USCIS-010 Asylum Information and Pre-Screening System of Records, 80 Fed. Reg. 74781 (November 30, 2015);

•DHS/USCIS-007 Benefits Information System, 84 Fed. Reg. 54622 (October 10, 2019);

•DHS/CBP-007 Border Crossing Information, 81 Fed. Reg. 89957 (December 13, 2016);

•DHS/CBP-023 Border Patrol Enforcement Records (BPER), 81 Fed. Reg. 72601 (October 20, 2016);

•DHS/CBP-011 TECS, 73 Fed. Reg. 77778 (December 19, 2008);

•DHS/ICE-011 Criminal Arrest Records and Immigration Enforcement Records (CARIER) System of Records, 81 Fed. Reg. 72080 (October 19, 2016);

•EOIR-001 Records and Management Information System, 69 Fed. Reg. 26179 (May 11, 2004), and as amended by 82 Fed. Reg. 24147 (May 25, 2017); and

•State-59 Refugee Case Records, 77 Fed. Reg. 5865 (February 6, 2012).

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 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.

H. To appropriate Federal Governmental agencies, with the approval of the Chief Privacy Officer, when OIS is aware of a need to use relevant data for purposes of testing new technology related to its own mission.

I. To the Departments of Health and Human Services, Justice, Labor, and State, to support analytical, reporting, and statistical needs and mission related to immigration enforcement and benefits processing, provided that the records support DHS programs and activities that relate to the purpose(s) stated in this SORN, and that they will not be used in whole or in part in making any determination regarding an individual’s rights, benefits, or privileges under federal programs, and are not published publicly in any manner that identifies an individual.

DHS/OIS stores records in this system electronically in secure facilities. The records may be stored on magnetic disc, tape, and digital media.

OIS does not retrieve records by personal identifier for the purpose of making decisions about individuals. However, records are retrieved by a one-time person-level identifer created and used by OIS to link records across datasets each time the data are matched to ensure the data are correctly attributed to one individual across multiple datasets. The purpose of this is to enable OIS to examine large trends in groups or cohorts of those who interact with the immigration system. While these analyses will inform high-level strategic operational planning, data OIS possesses are not used directly for operational purposes, such as the vetting of an individual or the adjudication of a benefit. OIS data are strictly used for statistical analysis and reporting. However, records may be retrieved by any value or range of values of any field, including personal identifiers. Please see the categories of records section of this SORN for fields within this system of records.

OIS has an established NARA-approved retention schedule, N1-563-09-3 (January 1, 2009), which classifies OIS records into several categories of records. Records containing PII that OIS uses to complete its statistical analyses and reporting fall into Section 6: "Research and background material used to produce the Yearbook of Immigration Statistics." The scheduled disposition provides for the data to be evaluated for remaining business need or destruction three years following the end of the fiscal year in which the yearbook is produced. However, the schedule authorizes longer retention periods if records are needed for business use beyond this period. Due to many tables in the Yearbook of Immigration Statistics and accompanying reports containing tabulations of ten years, the need in some cases for OIS to compare new records with records going back several decades, and the unknown nature of future requests and necessary future comparisons, a large portion of the data OIS maintains is kept for longer than three years.

The Secretary of Homeland Security has exempted portions of this system from the notification, access, and amendment procedures of the Privacy Act, and the Judicial Redress Act if applicable. These exemptions apply to the extent that information in this system of records is recompiled or is created from information contained in other systems of records with appropriate exemptions in place. However, DHS/OIS will consider individual requests with the original data owner 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 Chief Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 20528-0655. Even if neither the Privacy Act nor the Judicial Redress Act provide a right of access, certain records about an individual 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. sec. 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 believes the Department would have information being requested;

•Identify which component(s) of DHS 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 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.

For records covered by the Privacy Act or covered JRA records, see "Record Access Procedures" above.

See "Record Access Procedures" above.

Pursuant to 6 CFR Part 5, Appendix C, the Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(k)(4), has exempted records created and aggregated by OIS in 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. sec. 552a(j)(2) and (k)(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.

None.

Unclassified and Classified.

Records are maintained at several DHS Headquarters and Component locations in Washington, D.C. and field offices.

Robert Hale, Assistant Director, Enterprise Program Management, (202) 447-3984, CI.Question@hq.dhs.gov, Counterintelligence Mission Center, Office of Intelligence and Analysis, U.S. Department of Homeland Security, Washington, D.C. 20528.

Title II and Title VIII, section 892 of the Homeland Security Act of 2002, Public Law 107-296, 116 Stat. 2135 (Nov. 25, 2002), as amended (6 U.S.C. 121, et seq.); Executive Order 12333, United States Intelligence Activities, 46 Fed. Reg. 59941 (December 4, 1981), reprinted as amended in 73 Fed. Reg. 45325 (July 30, 2008); Executive Order 13526, Classified National Security Information, 75 Fed. Reg. 707 (January 5, 2010); Executive Order 13556, Controlled Unclassified Information, 75 Fed. Reg. 68675 (November 9, 2010); and Executive Order 13388, Further Strengthening the Sharing of Terrorism Information to Protect Americans, 70 Fed. Reg. 62023 (October 27, 2005).

The purpose of this system is to collect, store and maintain records related to, and in furtherance of, the counterintelligence collections and activities of the DHS CI Program. DHS will use this system to conduct administrative inquiries to identify, analyze, and neutralize foreign intelligence threats to DHS personnel, facilities, equipment, networks, information and activities; report on foreign contacts and travel, including briefings and debriefings; conduct counterintelligence investigative activities and produce intelligence on foreign intelligence entities; provide counterintelligence awareness training; and other activities relating to the DHS CI Program’s responsibilities.

Current and former DHS employees, contractors, consultants, detailees, interns, applicants for employment, and other individuals provided authorized access to DHS facilities, systems, or sensitive or classified information;

Individuals who are known, reasonably believed to be, or are suspected of being, involved in or linked to:

intelligence activities, or other individuals known or suspected of engaging in intelligence activities, on behalf of FIEs;

officers or employees of, or otherwise acting for or on behalf of, a foreign government or element thereof, foreign organizations, or foreign persons;

officers, employees, or members of an organization reasonably believed to be owned or controlled directly or indirectly by a foreign power; or

clandestine intelligence activities, sabotage, assassinations, or international terrorist activities.

Individuals reasonably believed to be targets, hostages, or victims of international terrorist organizations, transnational criminal organizations, or drug trafficking organizations;

Individuals who are closely associated with the above categories (e.g., immediate family members, members of a household, business partners); and

Individuals who voluntarily request assistance or information, through any means, from the DHS CI Program, or individuals who voluntarily provide information concerning any of the activities above, which may threaten or otherwise affect homeland security.

The system may collect the following types of information if related to CI:

Classified and unclassified intelligence (national intelligence, foreign intelligence, and counterintelligence), counterterrorism, homeland security, and related law enforcement information, including source records and the reporting and results of any analysis of this information, obtained from all agencies, components and organizations of the Federal government, including the IC; foreign governments, organizations or entities, and international organizations; State, local, tribal and territorial government agencies (including law enforcement agencies); and private sector entities;

Information provided by record subjects and individual members of the public;

Information obtained from the Terrorist Screening Center, the National Counterterrorism Center, or from other organizations about individuals known or reasonably suspected of being engaged in conduct constituting, preparing for, aiding, or relating to terrorism;

Information obtained from the National Counterintelligence Security Center, the Federal Bureau of Investigation, or from other organizations about individuals known or reasonably suspected of being engaged in conduct associated with espionage, other intelligence activities, sabotage, or assassinations;

Active and historical law enforcement investigative information;

Information related to lawful DHS security investigations, including authorized physical, personnel, and communications security investigations, and information systems security analysis and reporting;

Operational and administrative records, including correspondence records;

Financial information, when relevant to an authorized intelligence, counterterrorism, homeland security, or related law enforcement activity;

Public source data such as that contained in media, including periodicals, newspapers, broadcast transcripts, and other public reports and commercial databases;

Publicly available social media handles and aliases, associated identifiable information, and search results; and

Metadata, which may include but is not limited to transaction date, time, location, and frequency.

Examples of information related to the "Categories of Individuals'' listed above may include:

Individual’s name and alias(es);

Date and place of birth;

Gender;

Country of citizenship;

Country of nationality;

Country of residence;

A-Number(s);

E-mail address;

SSN;

Vehicular information;

Government issued identification information (i.e., passport, driver’s license),

Document type;

Issuing organization;

Driver’s license;

Document number; and

Expiration date.

Physical characteristics (height, weight, race, eye and hair color, ethnicity, identifying marks like tattoos or birthmarks);

Biometric information (e.g., fingerprints, photographs) and other information used to conduct background and security checks;

Physical and mailing addresses (to include U.S. and foreign);

Phone and fax numbers (including mobile phone numbers);

Records regarding organization membership(s) or affiliation(s);

Employment history;

Results from intelligence analysis related to counterintelligence;

Background investigative reports and supporting documentation, including criminal background, medical, and financial data;

Family relationships (e.g., parent, spouse, sibling, child, other dependents);

Criminal history;

Flight information;

Border crossing information;

Reports on foreign contacts;

Records and information from government data systems or retrieved from commercial data providers in the course of intelligence research, analysis, and reporting;

Immigration and visa information; and

Investigative files containing allegations and complaints; witness statements; transcripts of electronic monitoring; subpoenas and legal opinions and advice; reports of investigation; reports of criminal, civil, and administrative actions taken as a result of the investigation; and other relevant evidence; handwriting exemplars, laboratory analyses of inks and papers; handwriting analyses; information, reports or opinions from the forensic examination of documentary and digital media evidence; polygraph case files; search warrants and search warrant returns; indictments; certified inventories of property held as evidence; sworn and unsworn witness statements; state, local, and foreign criminal investigative information and reports; names and telephone numbers of individuals intercepted by electronic, mechanical, or other device under the provisions of 18 U.S.C. sec. 2510 et seq compiled during the lawful course of a criminal or civil investigation.

Records will also include those relating to:

management and coordination of DHS counterintelligence systems and activities;

analytical, operational, biographic, policy, management, training, administrative matters and operational support related to DHS counterintelligence, force protection, critical infrastructure protection, research and technology protection, threat analysis, counter-narcotics and risk assessments; and

architecture and operation of DHS counterintelligence information systems.

reports of investigation, collection, statements of individuals, affidavits, correspondence, and other documentation pertaining to investigative or analytical efforts by DHS and other U.S. government agencies to identify or counter foreign intelligence and international terrorist threats to DHS and to the United States.

records maintained in ad hoc or temporary databases established to support certain investigations, task forces or analytical projects.

Federal, state, local, territorial, tribal, or other domestic agencies, foreign agencies, multinational or non-governmental organizations, critical infrastructure owners and operators, private sector entities and organizations, individuals, commercial data providers, and public sources such as social media, news media outlets, and the Internet.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 with information 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 representatives of the Department of Justice and other U.S. Government entities, to the extent necessary to obtain their advice on any matter that is within their official responsibilities, authorities, and missions, in order to provide support to DHS’s CI Program and the purposes of this system.

J. To any Federal, state, local, tribal, territorial, foreign, or multinational government or agency, or appropriate private sector individuals and organizations, with responsibilities relating to homeland security, including responsibilities to counter, deter, prevent, prepare for, respond to, or recover from a natural or manmade threat, including an act of terrorism, or to assist in or facilitate the coordination of homeland security threat awareness, assessment, analysis, deterrence, prevention, preemption, and response.

K. To a Federal, state, local, tribal, or territorial government or agency lawfully engaged in the collection of intelligence (including national intelligence, foreign intelligence, and counterintelligence), counterterrorism, homeland security, law enforcement or law enforcement intelligence, and other information, when disclosure is undertaken for intelligence, counterterrorism, homeland security, or related law enforcement purposes, as authorized by U.S. Law or Executive Order, and in accordance with applicable disclosure policies.

L. To any other agency within the Intelligence Community, as defined in Executive Order 12333, as amended, for the purpose of allowing that agency to determine whether the information is relevant and necessary to its mission-related responsibilities and in accordance with that agency’s classified or unclassified implementing procedures promulgated pursuant to such orders and directives, or any other statute, Executive Order or directive of general applicability.

M. To a Federal, state, local, tribal, territorial, foreign, or multinational government or agency, or other entity, including, as appropriate, certain private sector individuals and organizations, when disclosure is in furtherance of the CI Program and DHS information sharing responsibilities under the Homeland Security Act of 2002, as amended, the Intelligence Reform and Terrorism Prevention Act of 2004, the National Security Act of 1947, as amended, Executive Order 12333, as amended, or any successor order, national security directive, intelligence community directive, other directive applicable to DHS, and any classified or unclassified implementing procedures promulgated pursuant to such orders and directives, or any other statute, Executive Order or directive of general applicability, and where such disclosure is otherwise compatible with the purpose for which the record was originally acquired or created by DHS.

N. To an appropriate Federal, State, local, tribal, territorial, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

O. To the President's Foreign Intelligence Advisory Board, the Intelligence Oversight Board, any successor organizations, and any intelligence oversight entities established by the President, when disclosure will assist these entities in the performance of their oversight functions.

P. To foreign persons or foreign government agencies, international organizations, and multinational agencies or entities, under circumstances or for purposes mandated or imposed by Federal statute, treaty, or other international agreement or arrangement.

Q. To any individual, organization, or entity, as appropriate, to notify them of a serious threat to homeland security for the purpose of guarding them against or responding to such a threat, or when there is a reason to believe that the recipient is or could become the target of a particular threat, to the extent the information is relevant to the protection of life, health, or property.

R. To any Federal government agency when documents or other information obtained from that agency are used in compiling the particular record, the record is also relevant to the official responsibilities of that agency, and there otherwise exists a need for that agency to know the information in the performance of its official functions.

S. 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.

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.

Records may be retrieved by an individual's name or other identifier, including unique identifying numbers assigned by DHS or other government agencies.

Records are retained and disposed of in accordance with approved records retentions schedules. Records on U.S. Persons, as defined in Executive Order 12333, are retained so long as there is a mission need, in accordance with N1-563-09-7-1. If DHS determines that U.S. Person record meets the two-part test, as described in N1-563-09-7-1, the records must be reviewed annually to determine whether there is still a mission need to retain the information. The majority of the DHS CI Program has 180 days from the date U.S. Person information is first collected to determine whether it meets the two-part test.

The exception is USCG, where, pursuant to COMDTINST M3820.12, "Coast Guard Intelligence Activities", USCG originators of intelligence products have 90 days from the date of collection of USPER data to determine whether the information may be permanently retained within the USCG authorized procedures. USCG is working to update this instruction, and under the new version, will be permitted up to 5 years to determine if the USPER data may be permanently retained. At the anniversary date (or any time beforehand) a record is first certified as U.S. Person information can be reviewed and certified that there is still a mission need to retain the information. The anniversary date will then be set for an additional year out. This can go on for as long as the information is deemed necessary for the mission. Once certification has been removed, such records are temporary and must be destroyed and deleted immediately upon removal of certification. Certified and categorized records reaching the expiration date without review/renewal one year from date of categorization are temporary and must be destroyed and deleted upon that one-year cutoff. Finally, uncategorized records that do not meet the required two-part test are temporary and must be destroyed and deleted within 180 days (90 days for USCG) from the date the information is collected.

Interception, Monitoring and Recording of Wire and Oral Communication Records are retained in accordance with N1-563-08-5, and are temporary. Records are cutoff at the end of the calendar year in which the record was created, and are destroyed 10 years after cutoff.

Clip Reports are non-records, and are destroyed or deleted when no longer needed for reference.

Finished Intelligence Case Files are retained in accordance with N1-563-07-16-4, and are permanent. Records cutoff date is at the end of the calendar year in which the case is closed and are transferred to the National Archives for permanent retention 20 years after such cutoff date.

Raw Reporting Files are retained in accordance with N1-563-07-16-3, and are temporary. Records cutoff date is at end of calendar year such records are collected and are destroyed or deleted 30 years after such cutoff date.

Counterintelligence Case Files are retained in accordance with N1-563-08-4-1, and are temporary. Records cutoff date is the end of the fiscal year of when the case has been closed and are destroyed 20 years after such cutoff date.

Non-Referral Files are retained in accordance with N1-563-08-4-3, and are temporary. Records are destroyed when 5 years old from first collected.

Certification File records are retained in accordance with N1-563-08-11-1, and are temporary. Records cutoff date is the end of the calendar year in which certification was received. Records are to be destroyed when 10 years old or 10 years after completion of a specific training program or upon separation or transfer of employee, whichever is sooner.

Mission-Related Training records are retained in accordance with N1-563-08-11-2, and are temporary. Records cutoff date is at the end of the calendar year in which course or material is superseded and are destroyed or deleted 30 years after cutoff date.

As described below, this system of records is exempt from the notification, access, and amendment provisions of the Privacy Act, and the Judicial Redress Act if applicable. However, 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 FOIA Officer for the Office of Intelligence and Analysis, 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 Freedom of Information Act Officer, U.S. Department of Homeland Security, Washington, D.C. 20528-0655. Even if neither the Privacy Act nor the Judicial Redress Act provides 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 Title 28 U.S.C. sec. 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 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.

For records covered by the Privacy Act or covered JRA 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.

See "Record Access Procedures" above.

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), (e)(8), (e)(12); (f); and (g)(1). 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), (e)(4)(I); and (f). When this system receives a record from another system exempted in that source system under Title 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 claims any additional exemptions set forth here.

None.

*****

Unclassified.

Records are maintained at the DHS Headquarters and Component offices in Washington, D.C. and field offices, and contractor-owned and operated facilities.

Chief, Medical Quality & Risk Reduction Branch, Workforce Health and Safety, Office of the Chief Human Capital Officer, U.S. Department of Homeland Security, OCHCOPrivacyOfficer@hq.dhs.gov.

Section 319 of the Public Health Service (PHS) Act (42 U.S.C. sec. 274d); Coronavirus Aid, Relief, and Economic Security (CARES) Act, Pub. L. No. 116-136, Div. B., Title VIII, sec. 18115, 134 Stat. 574 (codified in 42 U.S.C. sec. 274d note); DHS Chief Medical Officer’s authorities pursuant to 6 U.S.C. sec. 350 and 6 U.S.C. sec. 597; 6 U.S.C. sec. 464; 21 U.S.C. sec. 360bbb-3; 40 U.S.C. sec. 1315; American with Disabilities Act, including 42 U.S.C. sec. 12112(d)(3)(B), 29 CFR 602.14, 1630.2(r), 1630.14(b)(1), (c)(1), (d)(4); Medical Examinations for Fitness for Duty Requirements, including 5 CFR Part 339; Workforce safety federal requirements, including the Occupational Safety and Health Act of 1970, Executive Order 12196, 5 U.S.C. sec. 7902; 29 U.S.C. Chapter 15 (e.g., 29 U.S.C. sec. 668), 29 CFR Part 1904, 29 CFR 1910.1020, and 29 CFR 1960.66; Genetic Information Nondiscrimination Act of 2008, 42 U.S.C. secs. 2000ff to ff-11, and 29 CFR Part 1635; and United States Coast Guard authorities, including 10 U.S.C. Subtitle A, Part II, Chapter 55, Medical and Dental Care, as applicable, 14 U.S.C. sec. 504(a)(17), 14 U.S.C. sec. 936, 14 U.S.C. sec. 3705, 42 U.S.C. sec. 253, 32 CFR Part 199, and 42 CFR 31.2 - 31.10.

The purpose of this system is to maintain records to protect the Department’s workforce and respond to a declared public health emergency. For instance, DHS may use the information collected to conduct contact tracing (i.e., the subsequent identification, monitoring, and support of a confirmed or probable case’s close contacts who have been exposed to, and possibly infected with, the disease or illness at or on buildings, grounds, and properties that are owned, leased, or used by DHS); institute preventative testing to permit entry to buildings, grounds, and properties that are owned, leased, or used by DHS to minimize exposure; and fulfill testing reporting requirements, to the extent permitted by law.

Department personnel (including employees, detailees, interns, and volunteers), long-term trainees (such as Federal Law Enforcement Training Centers (FLETC) students), contractors, mission support individuals, and visitors (all other federal employees, applicants, and members of the public) at or on buildings, grounds, and properties that are owned, leased, or used by DHS who are suspected or confirmed to have a disease or illness that is the subject of a declared public health emergency, or may have been or could have been exposed to someone who is suspected or confirmed to have a disease or illness that is the subject of a declared public health emergency, or who must undergo preventative testing for a disease or illness that is the subject of a declared public health emergency as a requirement of federal, state, or local public health orders.

For DHS personnel, long-term trainees, contractors, and mission support individuals, the following information may be collected:

• Individual’s full name;

• Preferred phone number(s);

• DHS duty location, facility, and specific work space accessed;

• Preferred email address(es);

• Individual’s supervisor’s name, address, and contact information, and/or the contractor’s supervisor/contracting officer representative name, address, and contact information;

• Date(s) and circumstances of the individual’s suspected or actual exposure to disease or illness including symptoms, as well as locations within DHS workplace where an individual may have contracted or been exposed to the disease or illness; and names and contact information of other employees, long-term trainees, contractors, mission support individuals, or visitors that the individual interacted with at or on a DHS workspace, facility, or grounds during time the individual was suspected to or had contracted the disease or illness;

• Current work status of the individual (e.g., administrative leave, sick leave, teleworking, in the office, deployed to the field) and affiliated leave status information;

• Other individual information directly related to the disease or illness (e.g., testing results/information, symptoms, treatments (e.g., vaccines), source of exposure);

• Other information for verification purposes when disclosed to third-parties; and

• Information collected in accordance with CARES Act reporting requirements or other HHS statutory, regulatory, and administrative reporting requirements.

For visitors at or on buildings, grounds, and properties that are owned, leased, or used by DHS, the following information may be collected:

• Full name;

• Preferred phone number(s);

• Preferred email address(es);

• Date(s) and time(s) of entrance and exit from DHS workspaces, facilities, and grounds;

• Name(s) of all individuals encountered while in or at DHS workspaces, facilities, and grounds.

• Information indicating plans on entering a DHS workspace, facility, or grounds in the near future; and

• Other records covered by DHS/ALL-024 Facility and Perimeter Access Control and Visitor Management System of Records (75 FR 5609, February 3, 2010) that are relevant and necessary to achieve the purpose of this SORN.

When permitted by applicable law, records may be obtained from DHS personnel, long-term trainees, contractors, mission support individuals, and visitors at or on buildings, grounds, and properties that are owned, leased, or used by DHS; their family members; federal, state, local, tribal, territorial, and foreign government agencies; employers and other entities and individuals who may provide relevant information on a suspected or confirmed disease or illness that is the subject of a declared public health emergency.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 552a(b)(3) as follows, to the extent permitted by other applicable laws as described herein:

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. sec. 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 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.

H. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations, to the extent permitted by law, and in consultation with DHS legal counsel, for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health risk.

I. 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.

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. Medical information collected is maintained on separate forms and in separate medical files and are treated as a confidential medical record.

DHS may retrieve records by any of the categories of records, including name, location, testing ID number, date of exposure, or work status.

DHS is in the process of developing a records schedule for declared public health emergency records. However, to the extent applicable, to ensure compliance with Americans with Disabilities Act (ADA), the Rehabilitation Act, and the Genetic Information Nondiscrimination Act of 2008 (GINA), medical information must be "maintained on separate forms and in separate medical files and be treated as a confidential medical record." 42 U.S.C. sec. 12112(d)(3)(B); 42 U.S.C. sec 2000ff-5(a); 29 CFR 1630.14(b)(1), (c)(1), (d)(4)(i); and 29 CFR 1635.9(a). This means that medical information and documents must be stored separately from other personnel records. As such, the Department must keep medical records for at least one year from creation date. 29 CFR 1602.14. Further, any records compiled under this SORN and incorporated into an occupational individual medical case record pursuant to the OSH Act must be maintained in accordance with 5 CFR Part 293.511(b) and 29 CFR 1910.1020(d), and must be destroyed 30 years after employee separation or when the Official Personnel Folder (OPF) is destroyed, whichever is longer, in accordance with NARA General Records Schedule (GRS) 2.7, Item 60, and NARA records retention schedule DAA-GRS-2017-0010-0009, to the extent applicable. Visitor processing records are covered by GRS 5.6, Items 110 and 111, and must be destroyed when either two or five years old, depending on security level, but may be retained longer if required for business use, pursuant to DAA-GRS-2017-0006-0014 and -0015.

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.

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 or the appropriate Headquarters or component’s FOIA Officer whose contact information can be found at http://www.dhs.gov/foia under "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, U.S. Department of Homeland Security, Washington, D.C. 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. sec. 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 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.

For records covered by the Privacy Act 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.

See "Record Access Procedures" above.

None.

HISTORY:

85 Fed. Reg. 45914 (July 30, 2020).

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

DHS/CBP maintains records in the operational information technology (IT) system at the DHS/CBP Headquarters in Washington, D.C. and field offices. DHS/CBP also replicates records from the operational system and maintains them on other unclassified and classified systems and networks.

Categories of individuals in this system include members of the public involved in the importation of merchandise and international trade, such as importers, brokers, carriers, manufacturers, shippers, consignees, cartmen/lightermen, filers, sureties, facility operators, foreign trade zone operators, drivers/crew, attorneys/consultants, and agents, in addition to persons required to file Customs Declarations for international mail transactions (including sender and recipient).

Information maintained by ACE as part of the user account creation process includes:

Account Information – Including Name of Company, Name of Company Officer, Title of Company Officer, Company Organization Structure, and Officer’s Date of Birth (optional). For Operators, this information must match the name on the company’s bond.

o Account Owner Information – Name, Application Data, E-mail, Date of Birth, Country, Address, and Business Phone Number.

o Legal Entity Information – Name, Application Data, E-mail, Country, Address, and Business Phone Number.

o Point of Contact Information – Name, Application Data, E-mail, Country, Date of Birth, Address, and Business Phone Number.

Business Activity Information – Depending on the account type being established, CBP requires the following identifying information to set up an ACE portal account. Users are limited to a single identification number for the portal account being requested with the exception of: importer, broker, filer, software vendor, service bureau, port authority, preparer, or surety agent, which can use up to three identifying numbers for each portal view:

o Importer/Broker/Filer/Surety – Importer Record Number; Filer Code; Taxpayer Identification Number (TIN) [e.g., Internal Revenue Service (IRS) Employer Identification Number (EIN)/Social Security number (SSN)]; Surety Code.

o Service Provider – Standard Carrier Alpha Code (SCAC) or Filer Code; EIN/SSN.

o Operator – EIN/SSN; Bond Number; Facilities Information and Resources Management System (FIRMS) Code; Zone Number; Site Number. Operators must also note whether their background investigation has been completed by CBP, and whether their fingerprints are on file with CBP.

o Cartman/Lighterman – Cartman/Lighterman Identification Number; Customhouse License (CHL) Number; Passport Number; Country of Issuance; Date of Expiration; U.S. Visa Number; Birth Certification Number; Permanent Resident Card Number; Certificate of Naturalization; Certificate of U.S. Citizenship; Re-entry Permit Number (I-327); Refugee Permit Number; Other Identification (such as Military Dependent’s Card, Temporary Resident Card, Voter Registration Card). A Cartman/Lighterman must also note whether his or her background investigation has been completed by CBP, and whether his or her fingerprints are on file with CBP.

o Carriers – SCAC; Bond Numbers; Importer Record for Type 2 Bond (if applicable).

o Drivers/Crew – Commercial Driver License (CDL) Number; State/Province of Issuance; Country; whether the Driver has an Enhanced CDL or is HAZMAT endorsed; Full Name; Date of Birth; Gender; Citizenship; Travel Documentation (and Country of Issuance) such as: Passport Number or Permanent Resident Card; or other type of identification including: SENTRI Card; NEXUS ; U.S. Visa (non-immigrant or immigrant); Permanent Resident Card; U.S. Alien Registration Card; U.S. Passport Card; DHS Refugee Travel Document; DHS Re-Entry Permit; U.S. Military ID Document; or U.S. Merchant Mariner Document.

Information maintained by ACE as part of the trade facilitation process includes:

Filer Information

o Importer of Record Name and Address – The name and address, including the standard postal two-letter state or territory abbreviation, of the importer of record. The importer of record is defined as the owner or purchaser of the goods, or when designated by the owner, purchaser, or consignee, a licensed customs broker. The importer of record is the individual or firm liable for payment of all duties and meeting all statutory and regulatory requirements incurred as a result of importation, as described in 19 CFR. sec. 141.1(b).

o Consignee Number – IRS EIN, SSN, or CBP-assigned number of the consignee. This number must reflect a valid identification number filed with CBP via the CBP Form 5106 or its electronic equivalent.

o Importer Number – The IRS EIN, SSN, or CBP-assigned number of the importer of record.

o Reference Number – The IRS EIN, SSN, or CBP-assigned number of the individual or firm to whom refunds, bills, or notices of extension or suspension of liquidation are to be sent (if other than the importer of record and only when a CBP Form 4811 is on file).

o Ultimate Consignee Name and Address – The name and address of the individual or firm purchasing the merchandise or, if a consigned shipment, to whom the merchandise is consigned.

o Broker/Filer Information – A broker or filer name, address, and phone number.

o Broker/Importer File Number – A broker or importer internal file or reference number.

o Bond Agent Information – Bond agent name, SSN or a surety-created identification, and surety name.

o Declarant Name, Title, Signature, and Date – The name, job title, and signature of the owner, purchaser, or agent who signs the declaration. The month, day, and year when the declaration was signed.

o Importer Business Description – Including the Importer Dun & Bradstreet (DUNS) Number and the North American Industry Classification System (NAICS) number for Importer Business.

o Senior Officers of the Importing Company – Information pertaining to Senior Officers of the Importing Company with an importing or financial role in trade transactions: Position title; Name (First, Middle, Last); Business Phone; SSN (Optional); Passport Number (Optional); Passport Country of Issuance (Optional).

o Additional Data Elements – Filers may, on their own initiative, provide additional or clarifying information on the form provided such additional information does not interfere with the reporting of those required data elements.

•Supply Chain Information

o Manufacturer Information:

•Manufacturer (or supplier) name;

•Manufacturer (or supplier) address;

•Foreign manufacturer identification code and/or shipper identification code;

•Foreign manufacturer name and/or shipper name; and

•Foreign manufacturer address and/or shipper address.

o Carrier Information:

•Importing Carrier – For merchandise arriving in the United States by vessel, CBP records the name of the vessel that transported the merchandise from the foreign port of lading to the first U.S. port of unlading.

Vessel Identifier Code;

•Vessel Name;

•Carrier Name;

•Carrier Address;

•Carrier codes (non-SSN) (Standard Carrier Agent Code (SCAC) for vessel carriers, International Air Transport Association (IATA) for air carriers);

Department of Transportation (DOT) number,

Tax Identification Number;

DUNS;

Organizational structure; and

Insurance information including name of insurer, policy number, date of issuance, and amount.

The carrier can create users and points of contact, and may also choose to store details associated with the driver and crew, conveyance, and equipment for purposes of expediting the creation of manifests.

•Mode of Transport – The mode of transportation by which the imported merchandise entered the U.S. port of arrival from the last foreign country. The mode of transport may include vessel, rail, truck, air, or mail.

•Export Date – The month, day, and year on which the carrier departed the last port (or airport, for merchandise exported by air) in the exporting country.

o Liquidator identification (non-SSN);

o Seller (full name and address or a widely accepted industry number such as a DUNS number);

o Buyer (full name and address or a widely accepted industry number such as a DUNS number);

o Ship to party name;

o Consolidator (stuffer);

o Foreign trade zone applicant identification number;

o Country of origin;

o Commodity Harmonized Tariff Schedule of the United States (HTSUS) number;

o Booking party; and

o Other identification information regarding the party to the transaction.

Crewmember/Passenger Information

o Carrier Information (including vessel flag and vessel name, date of arrival, and port of arrival (CBP Form 5129));

o Person on arriving conveyance who is in charge;

o Names of all crew members and passengers;

o Date of birth of each crew member and passenger;

o Commercial driver license (CDL)/driver license number for each crew member;

o CDL state or province of issuance for each crew member;

o CDL country of issuance for each crew member;

o Travel document number for each crew member and passenger;

o Travel document country of issuance for each crew member and passenger;

o Travel document for state/province of issuance for each crew member and passenger;

o Travel document type for each crew member and passenger;

o Address for each crew member and passenger;

o Gender of each crew member and passenger;

o Nationality/citizenship of each crew member and passenger; and

o HAZMAT endorsement for each crew member.

Federal Employee Information (including CBP and PGA employees)

o CBP employee names;

o CBP employee hash identification, SSN, or other employee identification number; and

o Federal Government employee names, work addresses, work phone numbers, and ACE identification if already an ACE-ITDS user.

Manifest Information

o Bill of Lading (B/L) or Air Waybill (AWB) Number – The number assigned on the manifest by the international carrier delivering the goods to the United States.

o Immediate Transportation Number – The Immediate Transportation number obtained from the CBP Form 7512, the AWB number from the Transit Air Cargo Manifest (TACM), or Automated Manifest System (AMS) master in-bond (MIB) movement number.

o Immediate Transportation Date – The month, day, and year obtained from the CBP Form 7512, TACM, or AMS MIB record. Note that Immediate Transportation date cannot be prior to import date.

o Missing Documents – Codes that indicate which documents are not available at the time of filing the entry summary.

o Foreign Port of Lading – The five digit numeric code listed in the "Schedule K" (Classification of Foreign Ports by Geographic Trade Area and Country) for the foreign port at which the merchandise was actually laden on the vessel that carried the merchandise to the United States.

o U.S. Port of Unlading – The U.S. port code where the merchandise was unladen (or, delivered) from the importing vessel, aircraft, or train.

o Location of Goods/General Order (GO) Number – Also known as a "container stuffing location," the pier or site where the goods are available for examination. For air shipments, this is the flight number.

CBP Generated Records

o Entry Number – The entry number is a CBP-assigned number that is unique to each Entry Summary (CBP Form 7501).

o Entry Type – Entry type denotes which type of entry summary is being filed (i.e., consumption, information, and warehouse). The sub-entry type further defines the specific processing type within the entry category (i.e., free and dutiable, quota/visa, anti-dumping/countervailing duty, and appraisement).

o Summary Date – The month, day, and year on which the entry summary is filed with CBP. The record copy of the entry summary will be time stamped by the filer at the time of presentation of the entry summary. Use of this field is optional for ABI statement entries. The time stamp will serve as the entry summary date. The filer will record the proper team number designation in the upper right portion of the form above this block (three-character team number code).

o Port Code – The port is where the merchandise was entered under an entry or released under an immediate delivery permit. CBP relies on the U.S. port codes from Schedule D, Customs District and Port Codes, listed in Annex C of the Harmonized Tariff Schedule (HTS).

o Entry Date – The month, day, and year on which the goods are released, except for immediate delivery, quota goods, or when the filer requests another date prior to release. It is the responsibility of the filer to ensure that the entry date shown for entry/entry summaries is the date of presentation (i.e., the time stamp date). The entry date for a warehouse withdrawal is the date of withdrawal.

o Manufacturer ID – This code identifies the manufacture/shipper of the merchandise by a CBP-constructed code. The manufacturer/shipper identification code is required for all entry summaries and entry/entry summaries, including informal entries, filed on the CBP Form 7501.

o Notes – Notations and results of examinations and document review for cleared merchandise.

o Trade violation statistics.

o Protest and appeal decision case information.

Surety and Bond Information

o Surety Information – Full legal name of entity, address.

o Surety Number – A three-digit numeric code that identifies the surety company on the Customs Bond. This code can be found in block 7 of the CBP Form 301, or is available through CBP’s automated system to ABI filers, via the importer bond query transaction.

o Bond Type – A three-digit numeric code identifying the following type of bond: U.S. Government or entry types not requiring a bond; Continuous; or Single Transaction.

o Additional Bond Information – All authorized users of bond, bond expiration date.

•Merchandise-Specific Information

o Line Number – A commodity from one country, covered by a line which includes a net quantity, entered value, HTS number, charges, rate of duty and tax.

o Description of Merchandise – A description of the articles in sufficient detail (i.e., gross weight, manifest quantity, net quantity in HTS units, U.S. dollar value, all other charges, costs, and expenses incurred while bringing the merchandise from alongside the carrier at the port of exportation in the country of exportation and placing it alongside the carrier at the first U.S. port of entry).

o License Numbers – For merchandise subject to agriculture licensing.

o Country of Origin – The country of origin is the country of manufacture, production, or growth of any article. When merchandise is invoiced in or exported from a country other than that in which it originated, the actual country of origin shall be specified rather than the country of invoice or exportation.

o Import Date – The month, day, and year on which the importing vessel transporting the merchandise from the foreign country arrived within the limits of the U.S. port with the intent to unlade.

o Exporting Country – The country of which the merchandise was last part of the commerce and from which the merchandise was shipped to the United States.

19 U.S.C. secs. 66, 1431, 1448, 1481, 1484, 1505, 1514, 1624, and 2071 note; 26 U.S.C. sec. 6109(d); 31 U.S.C. sec. 7701(c); sec. 203 of the Security and Accountability for Every (SAFE) Port Act of 2006 and sec. 343(a) of the Trade Act of 2002, as amended by the Maritime Transportation Security Act of 2002; title 19 of the Code of Federal Regulations, including 19 CFR 24.5, 149.3, 101.9, and 103.31(e).

This system of records allows DHS/CBP to collect and maintain records on all commercial goods imported into the United States, along with carrier, broker, importer, and other ACE-ITDS Portal user account and manifest information. The purpose of this system of records is to track, control, and process all commercial goods imported into the United States. This facilitates the flow of legitimate shipments, and assists DHS/CBP in securing U.S. borders and targeting illicit goods. The IIS covers two principle information technology systems: the Automated Commercial System (ACS) and ACE-ITDS. The Automated Commercial System employs multiple modules to receive data transmissions from a variety of parties involved in international commercial transactions and provides DHS/CBP with the capability to track both the transport transactions and the financial transactions associated with the movement of merchandise through international commerce. The ACE-ITDS modernizes and enhances trade processing with features that will consolidate and automate border processing. The ACE-ITDS serves three sets of core stakeholders: the internal DHS/CBP users, PGAs, and the trade community in the movement of merchandise through international commerce.

DHS/CBP maintains a replica of some or all of the data in the operating system on other unclassified and classified systems and networks to allow for analysis and vetting consistent with the above stated purposes and this published notice.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 or her official capacity;

3. Any employee or former employee of DHS in his or her individual capacity 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. sec. 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’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or treaty when DHS determines that the information would assist in the enforcement of civil or criminal laws.

H. To a federal, state, or local agency, or other appropriate entity or individual, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

I. To the Department of Commerce, United States Census Bureau for statistical analysis of foreign trade data.

J. To a federal agency, pursuant to an International Trade Data System Memorandum of Understanding, consistent with the receiving agency’s legal authority to collect information pertaining to and/or regulate transactions in international trade.

K. To a federal, state, local, tribal, territorial, foreign, or international agency, maintaining civil, criminal, or other relevant enforcement information or other pertinent information, which has requested information relevant or necessary to the requesting agency’s hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;

L. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law proceedings;

M. To third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;

N. To the Department of Justice, Offices of the United States Attorneys or a consumer reporting agency as defined by the Fair Credit Reporting Act, address or physical location information concerning the debtor, for further collection action on any delinquent debt when circumstances warrant;

O. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS is aware of a need to use relevant data for purposes of testing new technology and systems designed to enhance national security or identify other violations of law;

P. To a former employee of DHS, in accordance with applicable regulations, for purposes of responding to an official inquiry by a federal, state, or local government entity or professional licensing authority; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes when the Department requires information or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility;

Q. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property;

R. To paid subscribers, in accordance with applicable regulations, for the purpose of providing access to manifest information as set forth in 19 U.S.C. sec. 1431;

S. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

CBP may disclose, pursuant to 5 U.S.C. sec. 552a(b)(12), to consumer reporting agencies in accordance with the provision of 15 U.S.C. sec. 1681, et seq. or the Federal Claims Collection Act of 1966 as amended (31 U.S.C. sec. 3701, et seq.). The purpose of this disclosure is to aid in the collection of outstanding debts owed to the Federal Government, typically, to provide an incentive for debtors to repay delinquent Federal Government debts by making these part of their credit records.

Disclosure of records is limited to the individual’s name, address, EIN/SSN, and other information necessary to establish the individual’s identity; the amount, status, and history of the claim; and the agency or program under which the claim arose. The disclosure will be made only after the procedural requirements of 31 U.S.C. sec. 3711(e) have been followed.

To the U.S. Department of the Treasury when disclosure of the information is relevant to review payment and award eligibility through the Do Not Pay Working System for the purposes of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds, including funds disbursed by a state (meaning a state of the United States, the District of Columbia, a territory or possession of the United States, or a federally recognized Indian tribe) in a state-administered, federally funded program.

Storage:

DHS/CBP stores records in this system, as well as on other unclassified and classified systems and networks, electronically, or on paper in secure facilities in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, digital media, and CD-ROM.

DHS/CBP retrieves records by file identification codes, name, or other personal identifier.

DHS/CBP safeguards records in this system in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. DHS/CBP imposes 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. The systems maintain a real-time auditing function of individuals who access them. Additional safeguards may vary by Component and program.

The Importer Security Filing form is retained for fifteen years from date of submission unless it becomes linked to law enforcement action. All other import records contained within IIS are maintained for a period of six years from the date of entry.

Some records are retained online in a system database, while others may be retained in hard copy in ports of entry, as appropriate. Personally identifiable information collected in IIS as part of the regulation of incoming cargo will be retained in accordance with the U.S. Customs Records Schedules approved by the National Archive and Records Administration for the forms on which the data is submitted. This means that cargo, crew, driver, and passenger information collected from a manifest presented in connection with the arrival of a vessel, vehicle, or aircraft will be retained for six years.

Information collected in connection with the submission of a Postal Declaration for a mail importation will be retained for a maximum of six years and three months (as set forth pursuant to NARA Authority N1-36-86-1, U.S. Customs Records Schedule, Schedule 9 Entry Processing, Items 4 and 5).

Records replicated on other DHS or CBP unclassified and classified systems and networks will follow the same retention schedule.

Director, Integrated Logistic Support, Cargo Systems Program Office, Office of Information Technology, U.S. Customs and Border Protection, 1801 North Beauregard Street, Alexandria, Virginia 22311.

ACE-ITDS portal users may log in to ACE-ITDS to change their profile information and make permissible amendments or corrections to their records. 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 DHS/CBP 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 FOIA Officer, Department of Homeland Security, 245 Murray Drive, S.W., Building 410, STOP-0655, Washington, D.C. 20528.

An individual seeking records about him or herself from this system of records or any other Departmental system of records, must submit a request that conforms 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. sec. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. Although no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief FOIA 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 or her agreement for you to access his or 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.

In processing Privacy Act requests for related to information in this system, CBP will review the records in the operational system, and coordinate review of records that were replicated on other unclassified and classified systems and networks.

See "Notification procedure" above.

See "Notification procedure" above.

DHS/CBP collects information from authorized DHS/CBP or other Federal agency forms, related documents, or electronic submissions from individuals and/or companies incidental to the conduct of foreign trade and required to administer the transportation and trade laws and regulations of the United States.

DHS/CBP will not assert any exemptions with regard to information provided by or on behalf of an individual, when requested by or on behalf of the data subject. However, this data may be shared with law enforcement and/or intelligence agencies pursuant to the routine uses identified in the IIS SORN. The Privacy Act requires DHS to maintain an accounting of such disclosures made pursuant to all routine uses. Disclosing the fact that a law enforcement and/or intelligence agency has sought particular records may affect ongoing law enforcement activity. As such, DHS will claim exemption pursuant to 5 U.S.C. sec. 552a(j)(2) from secs. (c)(3), (e)(8), and (g)(1) of the Privacy Act, and pursuant to 5 U.S.C. sec. 552a(k)(2) from sec. (c)(3) of the Privacy Act, from providing an individual the accounting of disclosures, as necessary and appropriate to protect this information.

Unclassified.

Records are maintained in the Automated Commercial System at the CBP Headquarters in Washington, DC and field offices.

Categories of individuals covered by this system include any individuals that provide credit or debit card information as a means of payment to CBP.

Categories of records in this system include: • Individual’s Name; • Address; • Billing Name; • Billing Address; • Credit or Debit Card Number; • Card Expiration Date; • Charge Amount; • Authorization Number; and • Tracking numbers.

The Homeland Security Act of 2002, Public Law 107–296; 5 U.S.C. 301; 8 U.S.C. 1101, et seq.; 19 U.S.C. 1, et seq.; Section 711 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (9/11 Act), (Pub. L. 110–53); and the Travel Promotion Act (Pub. L. 111–145). PURPOSE(S): emcdonald on DSK5VPTVN1PROD with NOTICES The purpose of this system is to provide payment processing and recordkeeping of credit and debit card transactions with CBP.

The purpose of this system is to provide payment processing and recordkeeping of credit and debit card transactions with CBP.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is relevant and necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation: 1. DHS or any component thereof; 2. any employee of DHS in his/her official capacity; 3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or 4. the United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records. 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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906. D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual that rely upon the compromised information; and 3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. F. To contractors and their agents, grantees, experts, consultants, 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, local, foreign, international or tribal law enforcement agency or other appropriate authority charged with investigating or prosecuting a violation or enforcing or implementing a law, rule, regulation, or order, where a record, either on its face or in conjunction with other information, indicates a violation or potential violation of law, which includes criminal, civil, or regulatory violations and such disclosure is proper and consistent with the official duties of the person making the disclosure. H. To the Department of Treasury’s Pay.gov, banks, and credit and debit card processors, for payment processing and payment reconciliation purposes.

Records may be retrieved by any of the data elements listed in categories of records, above.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Payment information will be maintained in this system for nine months in an active state to reconcile accounts and six years and three months in an archived state in conformance with NARA General Schedule 6 Item 1 Financial Records management requirements. The nine month active status is necessary to handle reconciliation issues (including chargeback requests and retrievals). CBP must respond to these issues within 10 to 15 days or lose the payment.

Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue NW., Washington, DC 20229.

The Secretary of Homeland Security has exempted portions of this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, CBP will consider individual requests to determine whether or not information may be released. Thus, 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 Headquarters or component’s 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, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP–0655, Washington, DC 20528. emcdonald on DSK5VPTVN1PROD with NOTICES 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1–(866) 431– 0486. In addition you should provide the following: • An explanation of why you believe the Department would have information on you, • Identify which component(s) of the Department you believe may have the information about you, • Specify when you believe the records would have been created, • Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records, • 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 this bulleted 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.

See "Notification procedure’’ above.

See "Notification procedure’’ above.

Records are obtained from individuals directly in the course of collecting payment for various purposes, including services, applications, fees, and duties, among others.

No exemption shall be asserted with respect to information maintained in the system as it relates to data submitted by or on behalf of a person who provided payment information. Information in the system may be shared with law enforcement and/or intelligence agencies pursuant to the above routine uses. The Privacy Act requires DHS maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that a law enforcement or intelligence agencies has sought particular records may affect ongoing law enforcement or intelligence activity. As such, pursuant to 5 U.S.C. 552 a (j)(2) and (k)(2), DHS will claim exemption from (c)(3), (d), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information.

Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC and field offices.

The individuals included in the system include the owners of the trademark, trade name, or copyright; former owners of the trademark, trade name, or copyright; agents or representatives applying on behalf of the intellectual property right owners; contact persons; individuals authorized to use the trademark, trade name, or copyright; and other individuals who are alleged to have infringed on the trademark, trade name, or copyright. For trade names, the system may include individuals who are not associated with or related to the trade name applicant, but who have actual knowledge and state that the applicant used the trade name, that the applicant is the only one who may use the trade name, and that the trade name is not identical or confusingly similar to another trademark or trade name used in connection with the same class or kind of merchandise. See 19 CFR 133.13. For copyrights, the names of the performers in the copyrighted work may be included. The photographs may include an individual modeling the trademark or copyrighted work, or an individual depicted in the copyrighted work.

The categories of records in the system include, but are not limited to:

• Full name (first, middle, and last).

• Address (country, city, state and zip code).

• Telephone number.

• Fax number.

• Email address.

• Citizenship.

• Relationship to trademark, copyright, or trade name owner.

• USPTO or U.S. Copyright Office registration number.

• Description of registered trademark or registered copyright.

• Date of issuance of trademark or copyright registration.

• Country of manufacture of goods bearing the genuine trademark, or genuine copies or phonorecords of the protected work.

• Names of all parties authorized to use the trademark, trade name, or copyright, and the nature of the relationship to the owner.

• Names of any parties, foreign or domestic, who use or claim the trademark, trade name, or copyright, and a description of those uses or claims.

• Filing date of trademark registration.

• If the trademark being registered is a standard character mark.

• Date of expiration of the USPTO registration.

• Supplemental information concerning the trademark (e.g., type of mark or design code category).

• International class of goods covered by the USPTO registration and the specific products entitled to protection.

• Title of copyrighted work.

• Foreign title of the copyrighted work.

• IPRR tracking number.

• Pay.gov payment tracking number.

• Up to five digital images of the protected mark or copyrighted work.

The authority for this system derives from section 42 of the Lanham Act (Trademark Act of 1946), as amended, 15 U.S.C. 1124; sections 101 and 602 through 603 of the Copyright Act of 1976, as amended, 17 U.S.C. 101, 602-603; and sections 526, 595a, and 624 of the Tariff Act of 1930, as amended, 19 U.S.C. 1526, 1595a, and 1624; the Independent Offices Appropriations Act, 1952, 31 U.S.C. 9701; and regulations at 19 CFR 133.3, 133.13, and 133.33.

The purpose of this system is to collect and maintain information on valid trademarks, trade names, and copyrights, to enable CBP officials to identify at the border merchandise that infringes on registered trademarks, registered copyrights, or trade names. IPRRSS collection encompasses three separate systems. The Intellectual Property Rights e- Recordation (IPRR) system allows intellectual property owners to submit applications for trademark and copyright recordations. The IPRR system shares information with two other CBP intellectual property search systems: The public Intellectual Property Rights Search (IPRS) system, and the Intellectual Property Rights Internal Search (IPRiS) system. IPRS provides a web-based search engine for the public to research trademark, trade name, and copyright recordations. IPRiS is used to assist CBP and Immigration and Customs Enforcement (ICE) in enforcing copyrights, trademarks, and trade names.

The Pay.gov tracking number (associated with the payment information provided to Pay.gov and stored in DHS/CBP-003 Credit/Debit Card Data System (CDCDS)) will be used to process application fees and to reconcile issues regarding payment between CDCDS and Pay.gov. Payment information, such as credit card numbers or account information, will not be used for determining recordation in IPRS or IPRiS, and is stored in a separate system (CDCDS) from the IPRR application data.

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 U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary or relevant to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The United States or any agency thereof.

B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made pursuant to a written Privacy Act waiver 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 harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where CBP believes the information would assist enforcement of applicable civil or criminal laws.

H. To the U.S. Copyright Office or U.S. Patent and Trademark Office, to confirm that the applicant has a registered copyright or a registered trademark.

I. To Pay.gov, for payment processing and payment reconciliation purposes.

J. To members of the public, through IPRS, a portion of the intellectual property rights information, such as the name, address, and phone number of the intellectual property right owner and the owner’s representative; and a description of the recorded trademark, trade name, or copyright. The intellectual property right owner consents to disclosing this portion of information in IPRS upon application for recordation, and the public information in IPRS does not include trade secrets, business proprietary information, or information about enforcement.

K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Authorized CBP officials may retrieve information in IPRiS by the data elements supplied by the applicant. The public may search the non-confidential records in IPRS by keyword and Boolean operators, and may limit the search by title, product, description, owner, contact name, firm name, recordation number, or agency registration number; the public may also filter the search by trademarks, copyrights, trade names, exclusion orders, or whether the recordation has expired.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

CBP will retain expired recordations, which have not been renewed, for seven years after the date of expiration. NARA guidelines for retention and archiving of data will apply to IPRR, IPRS, and IPRiS; CBP is in negotiation with NARA for approval of the IPRRSS data retention and archiving plan.

Payment information is not stored in IPRR, IPRiS or IPRS, but is forwarded to Pay.gov and stored in CBP’s financial processing system, CDCDS, pursuant to the DHS/CBP-003, CDCDS system of records notice.

Director, Office of Automated Systems, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW., Washington, DC 20229.

The Secretary of Homeland Security has exempted portions of this system of records from the notification, access, and amendment procedures of the Privacy Act because the records may be used for law enforcement purposes. No exemption shall be asserted with respect to information maintained in the systems as it relates to data submitted by or on behalf of the owner of the trademark, trade name, or copyright, except with respect to information about individuals who are alleged to have infringed on the trademark, trade name, or copyright. DHS/CBP will consider individual requests to determine whether or not information may be released. Thus, 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 CBP FOIA Officer whose contact information can be found at http://www.dhs.gov/foia under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you 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.

If your request seeks records pertaining to another living individual, you must also include a statement from that individual certifying his/her agreement for you to access his/her records. Without the information specified above, 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained primarily from the individual submitting the application for recordation of the trademark, trade name, or copyright. If the applicant provides a registered trademark number, the USPTO Web site will provide automatically supplemental information concerning the trademark, the USPTO registration number, the international class of goods covered by the registration and the specific products entitled to protection, the date the owner filed the registration application, and the date it issued the trademark registration. If the applicant provides a registered copyright, the U.S. Copyright Office Web site will provide automatically the title of the copyrighted work, the U.S. Copyright Office registration number, the date it issued the copyright registration, and the name of the copyright owner.

CBP will not assert any exemptions with respect to information in the systems submitted by the intellectual property right owner or the owner’s representative, except with respect to information about individuals who are alleged to have infringed on the trademark, trade name, or copyright. Information in the system pertaining to persons alleged to have infringed on an intellectual property right may be shared with national security, law enforcement, or intelligence agencies pursuant to the above routine uses. The Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that national security, law enforcement or intelligence agencies have sought particular records may affect ongoing national security, law enforcement, or intelligence activity. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from subsections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect this information. In addition, because the system may contain information or records about the unauthorized use of intellectual property rights and disclosure of that information could impede law enforcement investigations, DHS will claim, pursuant to 5 U.S.C. 552a(k)(2), exemption from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act of 1974, as necessary and appropriate to protect this information.

Unclassified.

Records are maintained at the CBP Headquarters in Washington, D.C. and field offices. CBP maintains records in the Trusted Traveler Programs (TTP) information technology system, as well as other applications that support trusted traveler and registered traveler application and program management. CBP may also maintain these records in various CBP law enforcement systems for participant screening.

Trusted Traveler Program Manager, Office of Field Operations, and Executive Director, Passenger Systems Program Directorate, Office of Information and Technology, U.S. Customs and Border Protection, 1300 Pennsylvania Ave., NW, Washington, D.C. 20229.

Section 7208 of the Intelligence Reform and Terrorism Prevention Act of 2004 (IRTPA), as amended, 8 U.S.C. 1365b(k); Section 215 of the Immigration and Nationality Act, as amended, 8 U.S.C. 1185; Section 402 of the Homeland Security Act of 2002, as amended, 6 U.S.C. 202; Section 404 of the Enhanced Border Security and Visa Reform Act of 2002, 8 U.S.C. 1753; Section 433 of the Tariff Act of 1930, as amended, 19 U.S.C. 1433; 31 U.S.C. 9701; and Parts 103 and 235 of Title 8 of the Code of Federal Regulations (See, especially, 8 C.F.R. §§ 103.2, 103.7, 103.16, 235.1, 235.2, 235.7, and 235.12).

The purpose of this system is to assess on an ongoing basis applicants’ eligibility for enrollment in trusted traveler and registered traveler programs.

TRTP collects the following information on trusted travelers:

Biographic application data, including:

•Full name;

•Alias(es);

•Date of birth;

•Place of birth;

•Language preference;

•Gender;

•Current and former addresses;

•Telephone numbers;

•IP address;

•Country of citizenship;

•Alien registration number (if applicable);

•Employment history (if available);

•PASS ID or Trusted Traveler membership number;

•Countries visited in the last five years;

•Criminal history (provided by applicant);

•Parental or Legal Guardian permission (if 18 years or younger);

•Driver’s license number;

•Issuing state or province of the applicant’s Driver’s License;

•Trusted Traveler Program System (TTP) user name and password (password is maintained in an encrypted format); and

•Answers to security questions to reset password.

Vehicle or Vessel information, as appropriate, including:

•Flag and home port (where the vessel is foreign flagged);

•Name, registration number, and registration issuing state or province of the applicant’s vessel;

•Make and model, year, color, Vehicle Identification Number (VIN), and license plate number of the vehicle; and

•Owner name, gender, and date of birth.

Biometric data, including:

•Fingerprints (collected and stored through the DHS Automated Biometric Identification System (IDENT) for future identity verification);

•Fingerprint Identification Number (FIN);

•Height;

•Eye color; and

•Facial photographs.

Information added by DHS/CBP:

•Criminal history information, as well as responsive information from other law enforcement databases that support the DHS/CBP membership decision;

•Law enforcement risk assessment worksheet;

•Pay.gov tracking number;

•Program membership decision in the form of a "pass/fail;" and

•Foreign government membership decisions in the form of a "pass/fail."

The following information is collected on registered pleasure boat travelers:

•Full name;

•Gender;

•Date of birth;

•Place of birth;

•Country of citizenship;

•Address;

•Contact telephone number;

•Alternate telephone number;

•Contact email address;

•Password;

•Document type and number (e.g., U.S. Passport, Permanent Resident Card, Birth Certificate), place of issue, and expiration date of document; and

•Vessel information including registration number, hull ID number, decal number, registered name, location where vessel is registered, and vessel description (e.g., length, type, manufacturer, model, year, hull colors).

The following information is collected about Decal and Transponder Online Procurement System (DTOPS) registered travelers:

•Account name;

•Physical address;

•Shipping address;

•Pay.gov tracking number;

•Free and Secure Trade (FAST) ID, if the conveyance’s owner is Customs Trade Partnership Against Terrorism (C-TPAT)/FAST approved;

•Conveyance model year;

•Conveyance manufacturer name;

•Conveyance identification numbers and information, which are specific to the type of conveyance (e.g., local registration number, an aircraft’s tail number, Coast Guard ID number, vessel name);

•Contact name;

•Contact telephone number; and

•Contact email address.

TRTP records are obtained from the individual and from external law enforcement systems. DHS/CBP may use a number of DHS/CBP databases during the vetting process before individuals will be enrolled and accepted in any trusted traveler program. These databases include the Automated Targeting System (ATS), which contains historical and enforcement data on travelers, and provides a gateway to other sources of data. These other external sources include the Terrorist Screening Database, FBI criminal history, and National Crime and Information Center outstanding wants/warrants, vehicle and driver’s license-related data contained in the International Justice and Public Safety Network’s National Law Enforcement Telecommunications System (Nlets) system, and Department of State alien records, lookouts, and status indicators. Vetting results are also based on checks of the FBI’s Integrated Automated Fingerprint Identification System for criminal history and IDENT for immigration related records. Trusted traveler applicants from partnering foreign countries will have membership determinations recorded in TRTP that are received by DHS/CBP from their home country’s government.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 552a(b)(3) as follows:

A. To the Department of Justice (DOJ), including Offices of the U.S. Attorneys, or other federal agencies 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, 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 foreign governments, at the request of the individual, for the purpose of applying to that country’s trusted traveler program.

J. To an appropriate federal, state, tribal, local, international, or foreign law enforcement agency for the purpose of determining an individual’s eligibility for membership in a trusted traveler or registered traveler program.

K. 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 to assist in anti-terrorism efforts.

L. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of the officer making the disclosure.

M. 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, which relate to the purpose(s) stated in this SORN, for purposes of testing new technology.

N. 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.

DHS/CBP 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.

Records may be retrieved by any of the personal identifiers listed in the categories of records above.

CBP is proposing to NARA the following retention schedules: Trusted traveler data is retained for the duration of an individual’s active membership plus three years after an individual’s membership is no longer active, either as a result of expiration without renewal at the end of a five-year term, as a result of abandonment, or as a result of CBP termination. DTOPS master file data is retained for twelve years after the account, decal, transponder, or VIN is inactive or deactivated.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act, and the Judicial Redress Act if applicable, because it is a law enforcement system. However, DHS/CBP will consider individual requests to determine whether 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 CBP’s FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 20528-0655. Even if neither the Privacy Act nor the Judicial Redress Act provide a right of access, certain records about the individual 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 individual’s signature must either be notarized or submitted under 28 U.S.C. sec. 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 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.

For records covered by the Privacy Act or covered JRA records, individuals may make a request for amendment or correction of a record of the Department about the individual by writing directly to CBP. 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.

Regardless of whether the Privacy Act or JRA applies, travelers who believe that records in this system maintain incorrect or inaccurate information may direct inquiries to the CBP Info Center, 1300 Pennsylvania Avenue, N.W., Washington, D.C. 20229. Travelers may also contact the DHS Traveler Redress Inquiry Program (DHS TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at www.dhs.gov/dhs-trip if they have experienced a travel-related screening difficulty, including those they believe may be related to incorrect or inaccurate information retained in their record(s).

See "Record Access Procedures" above.

The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(j)(2) seeks to exempt the law enforcement related records, including information from other law enforcement databases that support the DHS/CBP membership decision, and the law enforcement risk assessment worksheet that have been created during the background check and vetting process, from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and (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)(1). Additionally, the Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(k)(2), seeks to exempt records created during the background check and vetting process 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).

Also, the Privacy Act requires DHS maintain an accounting of such disclosures made pursuant to all routine uses. However, disclosing the fact that CBP has disclosed records covered by this SORN to an external law enforcement and/or intelligence agency may negatively affect and interfere with ongoing law enforcement, intelligence, or national security activity. As such, pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), DHS will claim an exemption from (c)(3), (e)(8), and (g)(1) of the Privacy Act, as is necessary and appropriate to protect this information.

In addition, when a record contains information from other exempt systems of records, DHS/CBP will claim the same exemptions for that record as are claimed for the original systems of records and will claim any additional exemptions that this notice delineates.

Finally, in its discretion, CBP may not assert any exemptions with regard to accessing or amending an individual’s application data in a trusted or registered traveler program or accessing their final membership determination in the trusted traveler programs.

DHS/CBP-002 Global Enrollment System, 78 FR 3441 (January 18, 2013); DHS/CBP-002 Global Enrollment System of Records, 71 FR 20708 (April 21, 2006).

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

Records are maintained in the operational system at CBP Headquarters in Washington, D.C. and at CBP field offices. Records are replicated from the operational system and maintained on the DHS unclassified and classified networks. This computer database is located at CBP National Data Center (NDC) in Washington, D.C. Computer terminals are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of DHS, and other locations at which DHS authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies.

Categories of individuals covered by this notice includes passengers who arrive and depart the United States by air, sea, rail, and bus, including those in transit through the United States or beginning or concluding a portion of their international travel by flying domestically within the United States; crew members who arrive and depart the United States by air, sea, rail, and bus, including those in transit through the United States or beginning or concluding a portion of their international travel by flying domestically within the United States; and crew members on aircraft that fly over the United States.

The records in the database include the following information:

Complete name;

Date of birth;

Gender;

Country of citizenship;

Passport/alien registration number and country of issuance;

Passport expiration date;

Country of residence;

Status on board the aircraft;

Travel document type;

United States destination address (for all private aircraft passengers and crew, and commercial air, rail, bus, and vessel passengers except for U.S. citizens, lawful permanent residents, crew, and those in transit);

Place of birth and address of permanent residence (commercial flight crew only);

Pilot certificate number and country of issuance (flight crew only, if applicable);

PNR locator number;

Primary inspection lane, ID inspector; and

Records containing the results of comparisons of individuals to information maintained in CBP’s law enforcement databases, as well as information from the TSDB, information on individuals with outstanding wants or warrants, and information from other government agencies regarding high risk parties.

In addition, air and sea carriers or operators covered by the APIS rules, and rail and bus carriers, to the extent voluntarily applicable, transmit or provide, respectively, to CBP the following information:

Airline carrier code;

Flight number;

Vessel name;

Vessel country of registry/flag;

International Maritime Organization number or other official number of the vessel;

Voyage number;

Date of arrival/departure;

Foreign airport/port where the passengers and crew members began their air/sea transportation to the United States;

For passengers and crew members destined for the United States, the location where the passengers and crew members will undergo customs and immigration clearance by CBP;

For passengers and crew members that are transiting through (and crew on flights flying over) the United States and not clearing CBP, the foreign airport/port of ultimate destination; and

For passengers and crew departing the United States, the final foreign airport/port of arrival.

Other information stored in this system of records includes:

Aircraft registration number provided by pilots of private air craft;

Type of aircraft, call sign (if available);

CBP issued decal number (if available);

Place of last departure (ICAO airport code, when available);

Date and time of aircraft arrival;

Estimated time and location of crossing U.S. border/coastline;

Name of intended airport of first landing.

As listed in 19 CFR 122.24, if applicable, unless an exemption has been granted under 19 CFR 122.25, or the aircraft was inspected by CBP Officers in the U.S. Virgin Islands.

Owner/lessee name (first, last, and middle, if available, or business entity name);

Owner/lessee address (number and street, city, state, zip code, country, telephone number, fax number, and email address, pilot/private aircraft pilot name (last, first, and middle, if available));

Pilot license number, pilot street address (number and street, city, state, zip code, country, telephone number, fax number, and email address);

Pilot license country of issuance, operator name (for individuals: last, first, and middle, if available, or name of business entity, if available);

Operator street address (number and street, city, state, zip code, country, telephone number, fax number, and email address);

Aircraft color(s);

Complete itinerary (foreign airport landings within 24 hours prior to landing in the United States);

24-hour Emergency point of contact (e.g., broker, dispatcher, repair shop, or other third party who is knowledgeable about this particular flight) name (first, last, and middle (if available) and telephone number; and

Incident to the transmission of required information via eAPIS, records will also incorporate the pilot’s email address.

The Aviation and Transportation Security Act of 2001, Pub. L. 107-71; the Enhanced Border Security and Visa Reform Act of 2002, Pub. L. 107-173; the Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. 108-458; and the Tariff Act of 1930, Pub. L. 71-361, as amended, including 19 U.S.C. 58b, 66, 1431, 1433, 1436, 1448, 1459, 1590, 1594, 1623, 1624, 1644, and 1644a.

The purpose of the collection is to screen passengers and crew arriving in, transiting through, and departing from (and in the case of crew, overflying) the United States to identify those passengers and crew who may pose a risk to border, aviation, vessel, rail, bus, or public security, may be a terrorist or suspected terrorist or affiliated with or suspected of being affiliated with terrorists, may be inadmissible, may be a person of interest, or may otherwise be engaged in activity in violation of U.S. law, or the subject of wants or warrants.

APIS allows CBP to more effectively and efficiently facilitate the entry of legitimate travelers into the United States and the departure of legitimate travelers from the United States. As travelers prepare to depart for or from the United States, DHS officers, using APIS, can quickly cross-reference the results of the advanced research that has been conducted through CBP’s law enforcement databases, as well as using information from the TSDB, information on individuals with outstanding wants or warrants, and information from other government agencies regarding high risk parties, confirm the accuracy of that information by comparison of it with information obtained from the traveler and from the carriers, and make immediate determinations with regard to the traveler’s security risk, admissibility, and other determinations bearing on CBP’s inspectional and screening processes.

DHS maintains a replica of some or all of the data in the operating system on the unclassified and classified DHS networks to allow for analysis and vetting consistent with the above stated purposes and this published notice.

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 DOJ or DHS has agreed to represent the employee; or

4. The United State 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 purposes 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. The Department has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 a federal, state, or local agency, or other appropriate entity or individual, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

I. To a federal, state, tribal, local, or foreign government agency or organization, or international organization, lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations, or orders, to enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement intelligence.

J. To federal and foreign government intelligence or counterterrorism agencies or components when DHS reasonably believes there to be a threat or potential threat to national or international security for which the information may be useful in countering the threat or potential threat, when DHS reasonably believes such use is to assist in anti-terrorism efforts, and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.

K. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life, property, or other vital interests of a data subject and disclosure is proper and consistent with the official duties of the person making the disclosure.

L. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations, for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or for combating other significant public health threats; appropriate notice will be provided of any identified health threat or risk.

M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena, or in connection with criminal law proceedings.

N. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of the officer making the disclosure.

O. To an appropriate federal, state, local, tribal, territorial, foreign, or international agency, if the information is relevant and necessary to a requesting agency's decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

P. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when CBP is aware of a need to utilize relevant data for purposes of testing new technology and systems designed to enhance border security or identify other violations of law.

Q. To the carrier that submitted traveler, passenger, or crew information to CBP, but only to the extent that CBP provides a message indicating that the individual is "cleared" or "not cleared" to board the aircraft or depart on the vessel in response to the initial transmission of information (including, when applicable, the individual’s Electronic System for Travel Authorization (ESTA) status as discussed in the DHS/CBP-009 ESTA SORN (79 FR 65414, published November 3, 2014), or is identified as a "selectee".

R. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

DHS/CBP stores records in this system electronically in the operational system as well as on the unclassified and classified network or on paper in secure facilities in a locked drawer behind a locked door. DHS/CBP stores records on magnetic disc, tape, digital media, and CD-ROM. The data is stored electronically at the CBP Data Center for current data and offsite at an alternative data storage facility for historical logs and system backups.

DHS/CBP retrieves data by name or other unique personal identifier from an electronic database.

DHS/CBP safeguards records in this system in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions. In addition, the system manager has the capability to maintain system back-ups for the purpose of supporting continuity of operations and the discrete need to isolate and copy specific data access transactions for the purpose of conducting security incident investigations.

All communication links with the CBP data center are encrypted. The databases are fully certified and accredited in accordance with the requirements of the Federal Information Security Management Act (FISMA).

Although separate notice is being provided for APIS, it continues to operate within the TECS information technology system architecture; therefore APIS’s technical infrastructure is covered by the approved TECS Certification and Accreditation under National Institute of Standards and Technology standards. The last certification was in December 2014.

Information collected in APIS is maintained in this system for a period of no more than twelve months from the date of collection at which time the data is erased from APIS. As part of the vetting and CBP clearance (immigration and customs screening and inspection) of a traveler, information from APIS is copied to the BCI system, a subsystem of TECS. Additionally, for individuals subject to CBP requirements, a copy of certain APIS data is transferred to the ADIS for effective and efficient processing of foreign nationals. More information about ADIS records can be found in the DHS/National Protection and Programs Directorate-001 ADIS SORN (78 FR 31955, published May 28, 2013). Different retention periods apply for APIS data contained in those systems.

Records replicated on the unclassified and classified networks will follow the same retention schedule.

Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, N.W., Washington, D.C. 20229.

DHS allows persons (including foreign nationals) to seek administrative access under the Privacy Act to information maintained in APIS. Persons may only seek access to APIS data that has been provided by the carrier and of which they are the subject. To determine whether APIS contains records relating to you, write to the CBP Customer Service Center, OPA, U.S. Customs and Border Protection, 90 K Street, N.E., Washington, D.C. 20229 (phone: 877-CBP-5511).

In processing requests for access to information in this system, CBP reviews not only the records in the operational system but also the records that were replicated on the unclassified and classified networks, and provides appropriate access to the information based on this notice.

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 CBP 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, S.W., Building 410, STOP-0655, Washington, D.C. 20528.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you 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.

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 this bulleted 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.

See notification procedure. In addition, if individuals are uncertain what agency handles the information, they may seek redress through the DHS Traveler Redress Program (TRIP). For more information please see the DHS/ALL-005 DHS Redress and Response System of Records (72 FR 2294, published January 18, 2007). Individuals who believe they have been improperly denied entry, refused boarding for transportation, or identified for additional screening by CBP may submit a redress request through TRIP. TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs such as airports, seaports, and train stations or at U.S. land borders. Travelers can request correction of errors stored in other DHS databases through one application through TRIP. Redress requests should be sent to: DHS Traveler Redress Inquiry Program (TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at www.dhs.gov/trip.

Individuals may seek redress and/or contest a record through several different means that will be handled in the same fashion. If the individual is aware the information is specifically handled by CBP, requests may be sent directly to CBP Customer Service Center, OPA, U.S. Customs and Border Protection, 90 K Street, N.E., Washington, D.C. 20229 (phone: 877-CBP-5511). If the individual is uncertain what agency is responsible for maintaining the information, redress requests may be sent to DHS TRIP at DHS Traveler Redress Inquiry Program (TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at www.dhs.gov/trip.

The system contains data received from private and commercial aircraft pilots, operators/carriers, and vessel carriers regarding passengers and crewmembers who arrive in, depart from, transit through or overfly (in the case of flight crew only) the United States on private aircraft, air, or, vessel carriers covered by APIS regulations. The system also contains data to the extent voluntarily submitted by rail and bus carriers regarding passengers and crewmembers who arrive in, and/or depart from the United States. During physical processing at the border, primary inspection lane and ID inspector are added to APIS, and the APIS information is verified using the travel documents. Additionally, records contain the results of comparisons of individuals to information maintained in CBP law enforcement databases, as well as information from the TSDB,

information on individuals with outstanding wants or warrants, and information from other government agencies regarding high risk parties.

No exemption shall be asserted with respect to information maintained in the system that is collected from a person and submitted by that person’s air or vessel carrier if that person, or his or her agent, seeks access or amendment of such information.

This system, however, may contain records or information recompiled from or created from information contained in other systems of records that are exempt from certain provision of the Privacy Act. This system may also contain accountings of disclosures made with respect to information maintained in the system. For these records or information only, in accordance with 5 U.S.C. 552a (j)(2) and (k)(2), DHS will also claim the original exemptions for these records or information from subsections (c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and (8); (f); and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such information.

Unclassified, sensitive, classified.

Records are maintained at the CBP Headquarters in Washington, DC, and can be accessed from field offices and from locations abroad where ATS users are stationed.

ATS handles information relating to the following individuals:

A. Persons, including operators, crew, and passengers, who seek to, or do in fact, enter, exit, or transit through the United States or through other locations where CBP maintains an enforcement or operational presence by land, air, or sea.

B. Crew members traveling on commercial aircraft that fly over the United States.

C. Persons who engage in any form of trade or other commercial transaction related to the importation or exportation of merchandise, including those required to submit an Importer Security Filing.

D. Persons who are employed in any capacity related to the transit of merchandise intended to cross the United States border.

E. Persons who serve as booking agents, brokers, or other persons who provide information on behalf of persons seeking to enter, exit, or transit through the United States, or on behalf of persons seeking to import, export or ship merchandise through the United States.

F. Owners of vehicles that cross the border.

G. Persons whose data was received by the Department as the result of memoranda of understanding or other information sharing agreement or arrangement because the information is relevant to the border security mission of the Department.

H. Persons who were identified in a narrative report, prepared by an officer or agent, as being related to or associated with other persons who are alleged to be involved in, who are suspected of, or who have been arrested for violations of the laws enforced or administered by DHS.

I. Persons who may pose a threat to the United States.

ATS contains various types of data to support its targeting missions, incorporating information germane to the identification of individuals, including, but not limited to:

• Name

• Addresses (home, work, and/or destination, as appropriate)

• Telephone and fax numbers

• Tax ID number (e.g., Employer Identification Number (EIN) or Social Security Number (SSN), where available)

• Date and place of birth

• Gender

• Nationality

• Country of Residence

• Citizenship

• Alias

• Physical characteristics, including biometrics where available (e.g., height, weight, race, eye and hair color, scars, tattoos, marks, fingerprints)

• Familial relationships and other contact information

• Property information

• Occupation and employment information

• Biographical and biometric information from or associated with online immigrant and non-immigrant visa applications, including (as available):

• U.S. sponsor’s name, address, and phone number

• U.S. contact name, address, and phone number

• Employer name, address, and phone number

• Email address, IP Address, applicant ID

• Marital Status

• Alien number

• Social Security Number

• Tax Identification Number

• Organization Name

• U.S. Status

• Income information for Joint Sponsors

• Education, military experience, relationship information

• Responses to vetting questions pertaining to admissibility or eligibility

• Information from documents used to verify the identity of individuals (e.g., driver’s license, passport, visa, alien registration, citizenship card, border crossing card, birth certificate, certificate of naturalization, re-entry permit, military card) including the:

• type

• number

• date of issuance

• place of issuance

The system contains travel information pertaining to individuals, including:

• The combination of license plate, Department of Motor Vehicle (DMV) registration data and biographical data associated with a border crossing

• Information derived from an ESTA application including responses to vetting questions pertaining to admissibility (where applicable)

• Travel itinerary

• Date of arrival or departure, and means of conveyance with associated identification (e.g., Vehicle Identification Number, year, make, model, registration)

• Passenger Name Record (PNR):

1. PNR record locator code

2. Date of reservation/issue of ticket

3. Date(s) of intended travel

4. Name(s)

5. Available frequent flier and benefit information (i.e., free tickets, upgrades)

6. Other names on PNR, including number of travelers on PNR

7. All available contact information (including originator of reservation)

8. All available payment/billing information (e.g., credit card number)

9. Travel itinerary for specific PNR

10. Travel agency/travel agent

11. Code share information (e.g., when one air carrier sells seats on another air carrier’s flight)

12. Split/divided information (e.g., when one PNR contains a reference to another PNR)

13. Travel status of passenger (including confirmations and check-in status)

14. Ticketing information, including ticket number, one way tickets and Automated Ticket Fare Quote (ATFQ) fields

15. Baggage information

16. Seat information, including seat number

17. General remarks including Other Service Indicated (OSI), Special Service Indicated (SSI) and Supplemental Service Request (SSR) information

18. Any collected APIS information (e.g., Advance Passenger Information (API)) that is initially captured by an air carrier within its PNR, such as passport number, date of birth and gender)

19. All historical changes to the PNR listed in numbers 1 to 18

Note:

Not all air carriers maintain the same sets of information for PNR, and a particular individual’s PNR likely will not include information for all possible categories. In addition, PNR does not routinely include information that could directly indicate the racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, health, or sex life of the individual. To the extent PNR does include terms that reveal such personal matters, DHS employs an automated system that filters certain of these terms and only uses this information in exceptional circumstances where the life of an individual could be imperiled or seriously impaired.

The system contains information collected for the importation or exportation of cargo and/or property, including:

• Bill of lading

• Commodity type

• License number and license country for Office of Defense Trade Controls registrants

• Inspection and examination results

The system contains Importer Security Filing (ISF) information, which must contain the following items, in addition to the Vessel Stow Plan (VSP) and the Container Status Message (CSM):

• Manufacturer (or supplier)

• Seller (i.e., full name and address or widely accepted business number such as a Data Universal Numbering System (DUNS) number)

• Buyer (i.e., full name and address)

• Ship to party (full name and/or business name and address)

• Container stuffing location

• Consolidator (stuffer)

• Importer of record number/Foreign Trade Zone applicant identification number

• Consignee number(s)

• Country of origin

• Commodity: Harmonized Tariff Schedule of the United States (HTSUS) number

Alternatively, for shipments consisting entirely of Freight Remaining on Board (FROB) or shipments consisting of goods intended to move through the United States, ISF Importers, or their agents, must submit the following five elements, unless an element is specifically exempted:

• Booking party (i.e., name and address)

• Foreign port of unlading

• Place of delivery

• Ship to party

• Commodity HTSUS number

The system contains assessments and other information obtained in accordance with the terms of memoranda of understanding or other arrangement because the information is relevant to the border security mission of the Department.

The system also contains information created by CBP, including:

• Admissibility determinations

• Results of Cargo Enforcement Exams

• Law enforcement or intelligence information regarding an individual

• Risk-based rules developed by analysts to assess and identify high-risk cargo, conveyances, or travelers that should be subject to further scrutiny or examination

• Assessments resulting from the rules, with a record of which rules were used to develop the assessment

• Operational and analytical reports and/or projects developed that may include public source information and/or classified information obtained by users/analysts for reference or incorporation into the report or project.

ATS derives its authority from 19 U.S.C. 482, 1461, 1496, 1581, 1582; 8 U.S.C. 1357; 49 U.S.C. 44909; the Enhanced Border Security and Visa Reform Act of 2002 (EBSVRA) (Pub. L. 107-173); the Trade Act of 2002 (Pub. L. 107 -210); the Intelligence Reform and Terrorism Prevention Act of 2004 (IRTPA) (Pub.L. 108-458); and the Security and Accountability for Every Port Act of 2006 (SAFE Port Act) (Pub. L. 109-347).

PURPOSES FOR PNR IN ATS: PNR may be used,

(1). To prevent, detect, investigate, and prosecute:

a. Terrorist offenses and related crimes, including

i. Conduct that--

1. involves a violent act or an act dangerous to human life, property, or infrastructure; and

2. appears to be intended to--

a. intimidate or coerce a civilian population;

b. influence the policy of a government by intimidation or coercion; or

c. affect the conduct of a government by mass destruction, assassination, kidnapping, or hostage-taking.

ii. Activities constituting an offense within the scope of and as defined in applicable international conventions and protocols relating to terrorism;

iii. Providing or collecting funds, by any means, directly or indirectly, with the intention that they should be used or in the knowledge that they are to be used, in full or in part, in order to carry out any of the acts described in subparagraphs (i) or (ii);

iv. Attempting to commit any of the acts described in subparagraphs (i), (ii), or (iii);

v. Participating as an accomplice in the commission of any of the acts described in subparagraphs (i), (ii), or (iii);

vi. Organizing or directing others to commit any of the acts described in subparagraphs (i), (ii), or (iii);

vii. Contributing in any other way to the commission of any of the acts described in subparagraphs (i), (ii), or (iii);

viii. Threatening to commit an act described in subparagraph (i) under circumstances which indicate that the threat is credible;

b. Other crimes that are punishable by a sentence of imprisonment of three years or more and that are transnational in nature;

A crime is considered as transnational in nature in particular if:

i. It is committed in more than one country;

ii. It is committed in one country but a substantial part of its preparation, planning, direction or control takes place in another country;

iii. It is committed in one country but involves an organized criminal group that engages in criminal activities in more than one country;

iv. It is committed in one country but has substantial effects in another country; or

v. It is committed in one country and the offender is in or intends to travel to another country;

(2) on a case-by-case basis where necessary in view of a serious threat and for the protection of vital interests of any individual or if ordered by a court;

(3) to identify persons who would be subject to closer questioning or examination upon arrival to or departure from the United States or who may require further examination.

(4) for domestic law enforcement, judicial powers, or proceedings, where violations of law or indications thereof are detected in the course of the use and processing of PNR.

PURPOSES OF ATS (EXCEPT for PNR):

ATS uses all other data for purposes listed above as well as below:

(a) To perform targeting of individuals who may pose a risk to border security or public safety, may be a terrorist or suspected terrorist, or may otherwise be engaged in activity in violation of U.S. law;

(b) To perform a risk-based assessment of conveyances and cargo to focus CBP’s resources for inspection and examination and enhance CBP’s ability to identify potential violations of U.S. law, possible terrorist threats, and other threats to border security; and

(c) To otherwise assist in the enforcement of the laws enforced or administered by DHS, including those related to counterterrorism.

Information ingested into this system from another source system is to be handled consistent with the published system of records notice for the source system and will continue to be governed by the routine uses for that source system. The routine uses below apply only to records that are maintained as official records in ATS (i.e., records which are maintained in ATS that are not covered by other originating systems of record, including: PNR; Importer Security Filings; Cargo Enforcement Exams; the combination of license plate, Department of Motor Vehicle (DMV) registration data and biographical data associated with a border crossing; law enforcement and/or intelligence data, reports, and projects developed by CBP analysts that may include public source information and/or classified information; and information obtained through memoranda of understanding or other arrangements because the information is relevant to the border security mission of the Department). With respect to PNR, DHS only discloses information to those authorities who intend to use the information consistent with the purposes identified above, and have sufficient capability to protect and safeguard the information. In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DHS as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary or relevant to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. any employee of DHS in his/her official capacity;

3. any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. the United States or any agency thereof.

B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made pursuant to a written Privacy Act waiver at the request of the individual to whom the record pertains.

C. To the National Archives and Records Administration 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 harm to economic or property interests, of identity theft or fraud, or of harm to the security or integrity of this system or of harm to other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individuals that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the federal government 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 appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where CBP believes the information would assist enforcement of applicable civil or criminal laws;

H. To federal and foreign government intelligence or counterterrorism agencies or components where DHS becomes aware of an indication of a threat or potential threat to national or international security, or to assist in anti-terrorism efforts;

I. To an organization or person in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or where the information is relevant to the protection of life, property, or other vital interests of a person;

J. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital interests of a data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk;

K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena, or in connection with criminal law proceedings;

L. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of the officer making the disclosure;

M. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations where CBP is aware of a need to utilize relevant data for purposes of testing new technology and systems designed to enhance ATS;

N. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by any of the data elements described in "Categories of Records," including by name or personal identifier from an electronic database.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Official Records in this system (Passenger Name Records (PNR); Importer Security Filings (10+2 documentation); results of Cargo Enforcement Exams; the combination of license plate, Department of Motor Vehicle registration data, and biographical data associated with a border crossing; law enforcement and/or intelligence data, reports, and projects developed by CBP analysts that may include public source information and/or classified information; and information obtained through memoranda of understanding or other arrangements because the information is relevant to the border security mission of the Department will be retained and disposed of in accordance with a records schedule approved by the National Archives and Records Administration on April 12, 2008. ATS collects information directly, ingests information from various systems, and accesses other systems without ingesting the data. To the extent information is ingested from other systems, data is retained in ATS in accordance with the record retention requirements of those systems, or the retention period for ATS, whichever is shortest.

The retention period for the official records maintained in ATS will not exceed fifteen years, after which time the records will be deleted, except as noted below. The retention period for PNR will be subject to the following further access restrictions: ATS users with PNR access will have access to PNR in an active database for up to five years, during which time the PNR will be depersonalized following the first six months retention. After this initial five-year retention, the PNR data will be transferred to a dormant database for a period of up to ten years. PNR data in dormant status will be subject to additional controls including the requirement of obtaining access approval from a senior DHS official designated by the Secretary of Homeland Security. Furthermore, PNR in the dormant database may only be repersonalized in connection with a law enforcement operation and only in response to an identifiable case, threat, or risk. Such limited access and use for older PNR strikes a reasonable balance between protecting this information and allowing CBP to continue to identify potential high-risk travelers. Notwithstanding the foregoing, information maintained only in ATS that is linked to active law enforcement lookout records, CBP matches to enforcement activities, and/or investigations or cases (i.e., specific and credible threats; flights, individuals, and routes of concern; or other defined sets of circumstances) will remain accessible for the life of the law enforcement matter to support that activity and other enforcement activities that may become related.

The justification for a fifteen-year retention period for the official records is based on CBP’s law enforcement and security functions at the border. This retention period is based on CBP’s historical encounters with suspected terrorists and other criminals, as well as the broader expertise of the law enforcement and intelligence communities. It is well known, for example, that potential terrorists may make multiple visits to the United States in advance of performing an attack. It is over the course of time and multiple visits that a potential risk becomes clear. Travel records, including historical records, are essential in assisting CBP Officers with their risk-based assessment of travel indicators and identifying potential links between known and previously unidentified terrorist facilitators. Analyzing these records for these purposes allows CBP to continue to effectively identify suspect travel patterns and irregularities.

Executive Director, Automation and Targeting Division, Office of Intelligence and Investigative Liaison, U.S. Customs and Border Protection, and Director, Targeting and Analysis, Systems Program Office, Office of Information and Technology, U.S. Customs and Border Protection, both of whom are located at 1300 Pennsylvania Avenue NW., Washington, DC 20229.

The Secretary of Homeland Security has exempted this system from the notification, access, amendment, and certain accounting procedures of the Privacy Act because it is a law enforcement system. These exemptions also apply to the extent that information in this system of records is recompiled or is created from information contained in other systems of records with appropriate exemptions in place. To the extent that a record is exempted in a source system, the exemption will continue to apply. Despite the exemptions taken on this system of records, CBP and DHS are not exempting the following records from the access and amendment provisions of the Privacy Act: passenger name records (PNR) collected by CBP pursuant to its statutory authority, 49 U.S.C. 44909, as implemented by 19 CFR 122.49d; Importer Security Filing (10+2 documentation) information; and any records that were ingested by ATS where the source system of records already provides access and/or amendment under the Privacy Act. Individuals seeking notification of and access to records contained in this system of records, or seeking to contest its content, may submit a request in writing to the Headquarters or CBP 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, 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Identify which component(s) of the Department you believe may have the information about you,

• Specify when you believe the records would have been created,

• Provide any other information that will help the FOIA staff determine which DHS component agency may have responsive records, and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are ingested from other DHS and federal systems, and from foreign governments (in accordance with the terms of international agreements and arrangements), including but not limited to ACE, ACS, AES, APIS, BCI, CEAC (including Forms DS-160 and DS-260), ENFORCE, ESTA, GES, NIIS, NSEERS, SEACATS, SEVIS, TECS, TSDB-WLS, Social Security Administration’s Death Master File, and WebIDENT, Additionally, PNR is obtained from travel reservation systems of commercial carriers. Information from Importer Security Filings is received from importers and ocean carriers. Records are accessed from BPETS, CCD, eGIS, NCIC, and Nlets. Also, the results of queries in the FBI’s Interstate Identification Index (III), the National Insurance Crime Bureau’s (NICB’s) private database of stolen vehicles, and commercial data aggregators are stored in ATS. Lastly, records are also developed from analysis created by users as a result of their use of the system.

Pursuant to 6 CFR Part 5, Appendix C, certain records and information in this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, pursuant to 5 U.S.C. 552a (k)(1) and (k)(2): 5 U.S.C. 552a(c)(3); (d) (1), (d)(2), (d)(3), and (d)(4); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).

Despite the exemptions taken on this system of records, CBP and DHS are not exempting the following records from the access and amendment provisions of the Privacy Act: passenger name records (PNR) collected by CBP pursuant to its statutory authority, 49 U.S.C. 44909, as implemented by 19 CFR 122.49d; Importer Security Filing (10+2 documentation) information; and any records that were ingested by ATS where the source system of records already provides access and/or amendment under the Privacy Act. A traveler may obtain access to his or her PNR, but records concerning the targeting rules, the responses to rules, case events, law enforcement and/or intelligence data, reports, and projects developed by CBP analysts that may include public source information and/or classified information, information obtained through memoranda of understanding or other arrangements because the information is relevant to the border security mission of the Department, or records exempted from access by the system from which ATS ingested or accessed the information will not be accessible to the individual.

Unclassified, Sensitive, For Official Use Only (FOUO), and Law Enforcement-Sensitive (LES). 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.

DHS/CBP currently maintains records in information technology (IT) systems at DHS/CBP Headquarters in Washington, D.C. and at field offices. Computer terminals are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of DHS/CBP, and other locations at which DHS/CBP authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies. Records are replicated from the operational IT system and maintained on DHS unclassified and classified networks.

Individuals with records stored in BCI include U.S. citizens, lawful permanent residents (LPR), and immigrant and non-immigrant aliens who lawfully cross the U.S. border by air, land, or sea, regardless of method of transportation or conveyance.

DHS/CBP collects and stores the following records in the BCI system as border crossing information:

• Full name (last, first, and, if available, middle);

• Date of birth;

• Gender;

• Travel document type and number (e.g., passport information, permanent resident card, Trusted Traveler Program card);

• Issuing country or entity and expiration date;

• Photograph (when available);

• Country of citizenship;

• Tattoos;

• Scars;

• Marks;

• Palm prints;

• Digital fingerprints;

• Digital iris scans;

• Radio Frequency Identification (RFID) tag number(s) (if land or sea border crossing);

• Date and time of crossing;

• Lane for clearance processing;

• Location of crossing;

• Responses to certain CBP inspection-related questions;

• Secondary Examination Status; and

• For land border crossings only, license plate number or Vehicle Identification Number (VIN) (if no plate exists).

CBP maintains in BCI information derived from an associated APIS transmission (when applicable), as well as any results of APIS information compared against CBP or partner data, which may include:

• Full name (last, first, and, if available, middle);

• Date of birth;

• Gender;

• Country of citizenship;

• Passport/alien registration number and country of issuance;

• Passport expiration date;

• Country of residence;

• Status on board the aircraft;

• Travel document type;

• U.S. destination address (for all private aircraft passengers and crew, and commercial air, rail, bus, and vessel passengers except for U.S. Citizens, LPRs, crew, and those in transit);

• Place of birth and address of permanent residence (commercial flight crew only);

• Pilot certificate number and country of issuance (flight crew only, if applicable);

• Passenger Name Record (PNR) locator number;

• Primary inspection lane;

• ID inspector;

• Records containing the results of comparisons of individuals to information maintained in CBP’s law enforcement databases as well as information from the Terrorist Screening Database (TSDB);

• Information on individuals with outstanding wants or warrants; and

• Information from other government agencies regarding high risk parties.

CBP collects records under the Entry/Exit Program with Canada, such as border crossing data from the Canada Border Services Agency (CBSA), including:

• Full name (last, first, and if available, middle);

• Date of Birth;

• Nationality (citizenship);

• Gender;

• Document Type;

• Document Number;

• Document Country of Issuance;

• Port of entry location (Port code);

• Date of entry; and

• Time of entry.

In addition, air and sea carriers or operators covered by the APIS rules and rail and bus carriers (to the extent voluntarily applicable) also transmit or provide the following information to CBP for retention in BCI:

• Airline carrier code;

• Flight number;

• Vessel name;

• Vessel country of registry/flag;

• International Maritime Organization number or other official number of the vessel;

• Voyage number;

• Date of arrival/departure;

• Foreign airport/port where the passengers and crew members began their air/sea transportation to the United States;

• For passengers and crew members destined for the United States:

o The location where the passengers and crew members will undergo customs and immigration clearance by CBP.

• For passengers and crew members who are transiting through (and crew on flights over flying) the United States and not clearing CBP:

o The foreign airport/port of ultimate destination; and

o Status on board (whether an individual is crew or non-crew).

• For passengers and crew departing the United States:

o Final foreign airport/port of arrival.

Other information also stored in this system of records includes:

• Aircraft registration number provided by pilots of private aircraft;

• Type of aircraft;

• Call sign (if available);

• CBP issued decal number (if available);

• Place of last departure (e.g., ICAO airport code, when available);

• Date and time of aircraft arrival;

• Estimated time and location of crossing U.S. border or coastline;

• Name of intended airport of first landing, if applicable;

• Owner or lessee name (first, last, and middle, if available, or business entity name);

• Owner or lessee contact information (address, city, state, zip code, country, telephone number, fax number, and email address, pilot, or private aircraft pilot name);

• Pilot information (license number, street address (number and street, city state, zip code, country), telephone number, fax number, and email address);

• Pilot license country of issuance;

• Operator name (for individuals: last, first, and middle, if available; or name of business entity, if available);

• Operator street address (number and street, city, state, zip code, country, telephone number, fax number, and email address);

• Aircraft color(s);

• Complete itinerary (foreign airport landings within 24 hours prior to landing in the United States);

• 24-hour emergency point of contact information (e.g., broker, dispatcher, repair shop, or other third party who is knowledgeable about this particular flight):

o Full name (last, first, and middle (if available)) and telephone number; and

• Incident to the transmission of required information via eAPIS (for general aviation itineraries, pilot, and passenger manifests), records will also incorporate the pilot’s email address.

To the extent private aircraft operators and carriers may transmit APIS, similar information may also be recorded in BCI by CBP with regard to such travel. CBP also collects the license plate number of the conveyance (or VIN number when no plate exists) in the land border environment for both arrival and departure (when departure information is available).

Authority for BCI is provided by the Enhanced Border Security and Visa Entry Reform Act of 2002 (Pub. L. 107-173, 116 Stat. 543 (2002)); the Aviation and Transportation Security Act of 2001 (Pub. L. 107-71, 115 Stat. 597); the Intelligence Reform and Terrorism Prevention Act of 2004 (Pub. L. 108-458, 118 Stat. 3638 (2004)); the Immigration and Nationality Act, as amended, (8 U.S.C. 1185,1354, 1365a and 1365b); and the Tariff Act of 1930, as amended, (19 U.S.C. 1322-1683g, including 19 U.S.C. 66, 1433, 1454, 1485, 1624 and 2071).

DHS/CBP collects and maintains this information to vet and inspect persons arriving in or departing from the United States; to determine identity, citizenship, and admissibility; and to identify persons who: (1) may be (or are suspected of being) a terrorist or having affiliations to terrorist organizations; (2) have active warrants for criminal activity; (3) are currently inadmissible or have been previously removed from the United States; or (4) have been otherwise identified as potential security risks or raise a law enforcement concern. For immigrant and non-immigrant aliens, the information is also collected and maintained to ensure information related to a particular border crossing is available for providing any applicable benefits related to immigration or other enforcement purposes. Lastly, DHS/CBP maintains information in BCI to retain a historical record of persons crossing the border to facilitate law enforcement, counterterrorism, and benefits processing.

DHS/CBP maintains a replica of some or all of the data in the operating system on DHS unclassified and classified networks to allow for analysis and vetting consistent with the above stated purposes and this published notice.

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 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 the security or confidentiality of information in the system of records has been compromised;

2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 appropriate federal, state, tribal, local, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, when DHS believes the information would assist enforcement of applicable civil or criminal laws.

I. To the CBSA for law enforcement and immigration purposes, as well as to facilitate cross-border travel when an individual enters the United States from Canada.

J. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS reasonably believes there to be a threat (or potential threat) to national or international security for which the information may be relevant in countering the threat (or potential threat).

K. To a federal, state, tribal, or local agency, other appropriate entity or individual, or foreign governments, in order to provide relevant information related to intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, E.O., or other applicable national security directive.

L. To an organization or individual in either the public or private sector (foreign or domestic) when there is a reason to believe that the recipient is (or could become) the target of a particular terrorist activity or conspiracy, or when the information is relevant and necessary to the protection of life or property.

M. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purposes of protecting the vital interests of the data subject or other persons, including to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease, to combat other significant public health threats, or to provide appropriate notice of any identified health threat or risk.

N. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in connection with criminal law proceedings.

O. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation.

P. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS is aware of a need to use relevant data for purposes of testing new technology.

Q. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

R. 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 is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

DHS/CBP stores records in this system electronically in the operational IT system, including on DHS unclassified and classified networks, or on paper in secure facilities in a locked drawer behind a locked door. The records may be stored on magnetic disc, tape, digital media, and CD-ROM.

DHS/CBP retrieves records by name or other personal identifiers listed in the categories of records, above.

DHS/CBP safeguards records in this system in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls are imposed to minimize the risk of compromising the information that is being stored. DHS/CBP limits access to BCI to those individuals who have a need to know the information for the performance of their official duties and who also have appropriate clearances or permissions.

DHS/CBP is working with NARA to develop the appropriate retention schedule based on the information below. For persons DHS/CBP determines to be U.S. citizens and LPRs, information in BCI that is related to a particular border crossing is maintained for 15 years from the date when the traveler entered, was admitted to or paroled into, or departed the United States, at which time it is deleted from BCI. For non-immigrant aliens, the information will be maintained for 75 years from the date of admission or parole into or departure from the United States in order to ensure that the information related to a particular border crossing is available for providing any applicable benefits related to immigration or for other law enforcement purposes.

Information related to border crossings prior to a change in status will follow the 75 year retention period for non-immigrant aliens who become U.S. citizens or LPRs following a border crossing that leads to the creation of a record in BCI. All information regarding border crossing by such persons following their change in status will follow the 15 year retention period applicable to U.S. citizens and LPRs. For all travelers, however, BCI records linked to active law enforcement lookout records, DHS/CBP matches to enforcement activities, or investigations or cases remain accessible for the life of the primary records of the law enforcement activities to which the BCI records may relate, to the extent retention for such purposes exceeds the normal retention period for such data in BCI.

Records replicated on the unclassified and classified networks for analysis and vetting will follow the same retention schedule.

Director, Traveler Entry Programs, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, N.W., Washington, D.C. 20229.

DHS/CBP allows persons (including foreign nationals) to seek administrative access under the Privacy Act to information maintained in BCI. However, the Secretary of DHS exempted portions of this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. Nonetheless, DHS/CBP will consider individual requests to determine whether or not information may be released. Thus, 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 DHS Chief Freedom of Information Act (FOIA) Officer or CBP 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 that concern him or her, the individual may submit the request to the Chief Privacy Officer and Chief FOIA Officer, Department of Homeland Security, 245 Murray Lane S.W., Building 410, STOP-0655, Washington, D.C. 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. Although no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief FOIA 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.

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, CBP 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.

In processing requests for access to information in this system, CBP will review the records in the operational system and coordinate with DHS to address access to records on the DHS unclassified and classified networks.

See "Notification procedure" above.

See "Notification procedure" above.

DHS/CBP collects information from individuals who arrive in, depart from, or transit through the United States. This system also collects information from carriers that operate vessels, vehicles (including buses), aircraft, or trains that enter or exit the United States, including private aircraft operators. Lastly, BCI receives border crossing information from CBSA.

No exemption shall be asserted with respect to information maintained in the system that is collected from a person at the time of crossing and submitted by that person’s air, sea, bus, or rail carriers if that person, or his or her agent, seeks access or amendment of such information.

The Privacy Act, however, requires DHS to maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that a law enforcement or intelligence agency has sought particular records may affect ongoing law enforcement activities. The Secretary of DHS, pursuant to 5 U.S.C. 552a(j)(2), exempted this system from the following provisions of the Privacy Act: Sections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS has exempted sec. (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to protect this information.

Additionally, this system contains records or information recompiled from or created from information contained in other systems of records that are exempt from certain provision of the Privacy Act. This system also contains accountings of disclosures made with respect to information maintained in the system. For these records or information only, in accordance with 5 U.S.C. 552a(j)(2) and (k)(2), DHS will also claim the original exemptions for these records or information from subsecs. (c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), and (8); (f); and (g) of the Privacy Act of 1974, as amended, as necessary and appropriate to protect such information.

These datasets are located at the U.S. Customs and Border Protection (CBP) National Data Center. Computer terminals receiving the data are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of the Department of Homeland Security and other locations at which DHS authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies, which have obtained system access pursuant to a Memorandum of Understanding.

Individuals covered by NEDS consist of persons, including U.S. Citizens and Canadian Citizens who have been issued Enhanced Driver’s Licenses (EDL) or certain other travel documents by participating authorities, such as certain States, Native American Tribes, and Canadian Provinces and Territories, where the issuing authority has chosen to provide CBP with advance information from their databases regarding the EDL or other travel document. Individuals holding travel documents issued by authorities that do not provide CBP with a copy of this information (or only provide CBP with real-time access to document-specific information in their databases at the time such document is presented for border crossing purposes) are not covered by NEDS, as the information underlying their travel document has not been provided in advance to CBP.

NEDS will contain the following information, to the extent provided to CBP by the participating document-issuing authority:

• Full Name (first, middle, and last)

• Date of birth

• Gender

• Citizenship

• Digital Image (Photograph)

• Travel document type, e.g. Enhanced Driver’s License (EDL)

• Issuing jurisdiction

• Expiration date

• Optical character read (OCR) identifier

• RFID tag number(s)

The legal authority for NEDS is the Enhanced Border Security and Visa Reform Act of 2002, Pub. L. 107-173, 116 Stat. 543 (2002), Aviation and Transportation Security Act of 2001, Pub. L. 107-71, 115 Stat. 597 (2001), Intelligence Reform and Terrorism Prevention Act of 2004, Pub. L. 108-458, 118 Stat. 3638 (2004), The Immigration and Nationality Act, 8 U.S.C. 1185 and 1354, and The Tariff Act of 1930, as amended, 19 U.S.C. 66, 1433, 1459, 1624 and 2071, as well as the memoranda of understanding/agreement entered into with participating issuing authorities who are providing the data with which NEDS is populated.

CBP collects this information to expedite CBP processing upon an individual’s arrival in and, in certain instances, prior to the individual’s departure from the United States. This information will allow CBP, upon presentation of the travel document at the border, to electronically verify identity and citizenship, determine admissibility and perform law enforcement queries to identify security risks to the United States. This information is maintained in accordance with this system of records notice and applicable memoranda of understanding/agreement with the issuing authorities.

The use of this information is limited, principally to the verification of travel document information used to denote identity and citizenship so as to determine admissibility to the United States. To the extent data derived from NEDS is subsequently transferred to other systems of record (e.g., upon presentment of a travel document in conjunction with a border crossing), that data may be used in a manner consistent with the system of records notice published for the receiving system of records.

In consideration of privacy, CBP has limited the sharing of NEDS data to the statutory disclosures permitted under 5 U.S.C. 552a(b) of the Privacy Act, and has chosen not to publish routine uses pursuant to 5 U.S.C. 522a(b)(3). This provides an individual possessing an approved travel document, such as EDL, whose data is shared with CBP prior to crossing the border with a similar level of privacy protection as the individual whose data is shared with CBP at the time of such crossing.

Disclosure to consumer reporting agencies:

None.

STORAGE:

The data is stored electronically at the CBP Data Center for current data and offsite at an alternative data storage facility for historical logs and system backups.

The data is retrievable by name, optical character recognition identifier, RFID tag number, or personal identifier from an electronic set of data.

All NEDS records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include all of the following: Restricting access to those with a "need to know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data communications.

NEDS information is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This handbook establishes a comprehensive program, consistent with federal law and policy, to provide complete information security, including directives on roles and responsibilities, management policies, operational policies, and application rules, which will be applied to component systems, communications between component systems, and at interfaces between component systems and external systems.

One aspect of the DHS comprehensive program to provide information security involves the establishment of rules of behavior for each major application, including NEDS. These rules of behavior require users to be adequately trained regarding the security of their systems. These rules also require a periodic assessment of technical, administrative and managerial controls to enhance data integrity and accountability. System users must sign statements acknowledging that they have been trained and understand the security aspects of their systems. System users must also complete annual privacy awareness training to maintain current access.

NEDS transactions are tracked and can be monitored. This allows for oversight and audit capabilities to ensure that the data is being handled consistent with all applicable federal laws and regulations regarding privacy and data integrity. Data exchange, which will take place over an encrypted network between CBP and other DHS components that may be authorized to have access to NEDS data, is limited and confined only to those entities that have a need for the data in the performance of official duties.

NEDS data is subject to a retention requirement. The information collected and maintained in NEDS is used for border crossing purposes and is retained in NEDS for the duration of the validity of the travel document, that is from the date of issuance by the issuing authority until the date of expiration on the document, or, to the extent more restrictive, in accordance with the terms of any memorandum of understanding/agreement between CBP and the issuing authority. Information contained in NEDS will be retained and updated as information is provided by the issuing authority, so as to ensure timeliness, relevancy, accuracy, and completeness.

Director, Office of Automated Systems, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

DHS allows persons (including foreign nationals) to seek administrative access under the Privacy Act to information maintained in NEDS. To determine whether NEDS contains records relating to you, write to the CBP Customer Service Center (Rosslyn VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at http://www.cbp.gov.xp.cgov/travel/customerservice.

Requests for notification or access must be in writing and should be addressed to the CBP Customer Service Center (Rosslyn, VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at http://www.cbp.gov.xp.cgov/travel/customerservice. Requests should conform to the requirements of 6 CFR part 5, Subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS and can be found at http://www.dhs.gov. The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a general description of the records sought and must include the requester’s full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.

While DHS provides this mechanism for seeking notification and access to such information, requesters are encouraged in the first instance to contact the authority which issued the travel document to request access to this information, as DHS may nonetheless be required to coordinate any release with such authorities.

Requests to amend records must be in writing and should be addressed to the CBP Customer Service Center (Rosslyn, VA), 1300 Pennsylvania Avenue, NW., Washington, DC 20229; Telephone (877) 227-5511; or through the "Questions" tab at http://www.cbp.gov.xp.cgov/travel/customerservice. Requests should conform to the requirements of 6 CFR part 5, subpart B, which provides the rules for requesting access to Privacy Act records maintained by DHS and can be found at http://www.dhs.gov/foia. The envelope and letter should be clearly marked "Privacy Act Access Request." The request should include a general description of the records sought and must include the requester’s full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.

If individuals are uncertain what agency handles the information, they may seek redress through the DHS Traveler Redress Program ("TRIP") (See 72 FR 2294, dated January 18, 2007). TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs--such as, airports, seaports and train stations or at U.S. land borders. Through TRIP, a traveler can request correction of erroneous information stored in other DHS databases through one application. Redress requests should be sent to: DHS Traveler Redress Inquiry Program (TRIP), 601 South 12th Street, TSA-901, Arlington, VA 22202-4220 or online at http://www.dhs.gov/trip.

Additionally, while DHS provides this mechanism for contesting records, requesters are encouraged in the first instance to contact the authority which issued the travel document to request access to this information, as DHS may nonetheless be required to coordinate any requests with such authorities.

The system contains certain data received on individuals who have chosen to obtain a travel document that is designated by the Secretary of Homeland Security as denoting identity and citizenship for purposes of entering the United States and has been issued by an authority which has provided CBP with advance information from its relevant travel document database.

None.

Unclassified and classified. 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.

Records are maintained at the DHS/CBP Headquarters in Washington, D.C., and field offices. Records are replicated from the operational system and maintained on the DHS unclassified and classified networks to allow for analysis and vetting consistent with the stated uses, purposes, and routine uses published in this notice.

Director, ESTA Program Management Office, esta@cbp.dhs.gov, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue NW, Washington, D.C., 20229.

Title IV of the Homeland Security Act of 2002, 6 U.S.C. 201 et seq., the Immigration and Naturalization Act, as amended, including 8 U.S.C. 1187(a)(11) and (h)(3), and implementing regulations contained in 8 CFR part 217; the Travel Promotion Act of 2009, Public Law 111-145, 22 U.S.C. 2131.

The purpose of this system is to collect and maintain a record of applicants who want to travel to the United States under the VWP, and to determine whether applicants are eligible to travel to and enter the United States under the VWP. The information provided through ESTA, including information about other persons included on the ESTA application, is vetted against various security and law enforcement databases to identify those applicants who pose a security risk to the United States and to inform CBP’s decision to approve or deny the applicant’s ESTA application.

An ESTA application includes:

Full name (first, middle, and last);

Other names or aliases, if available;

Date of birth;

Country of birth;

Gender;

Email address;

Visa numbers, Laissez-Passer numbers, or Identity card numbers;

Social media identifiers, such as username(s) and platforms used;

Publicly available information from social media websites or platforms;

Telephone number (home, mobile, work, other);

Home address (address, apartment number, city, state/region);

Internet protocol (IP) address;

ESTA application number;

Global Entry Program Number;

Country of residence;

Passport information;

Department of Treasury Pay.gov payment tracking number information;

Countries of citizenship and nationality;

National identification number, if available;

Address while visiting the United States;

Emergency point of contact information;

U.S. Point of Contact information;

Parents’ names;

Current and previous employer information; and,

Photograph(s).

The categories of records in ESTA also include responses to questions related to the following:

History of mental or physical disorders, drug abuse or addiction, and current communicable diseases, fevers, and respiratory illnesses;

Past arrests, criminal convictions, or illegal drug violations;

Previous engagement in terrorist activities, espionage, sabotage, or genocide;

History of fraud or misrepresentation;

Previous unauthorized employment in the United States;

Past denial of visa, or refusal or withdrawal of application for admission at a U.S. port of entry;

Previous overstay of authorized admission period in the United States;

Travel history and information relating to prior travel to or presence in Iraq or Syria, a country designated as a state sponsor of terrorism, or another country or area of concern; and,

Citizenship and nationality information, with additional detail required for nationals of certain identified countries of concern.

DHS/CBP obtains records from applicants or representatives (e.g., friend, relative, travel industry professional), through the online ESTA application available at https://esta.cbp.dhs.gov/esta/ or a mobile application. As part of the vetting process, DHS/CBP may also use information obtained from publicly available sources, including social media, and law enforcement and national security records from appropriate federal, state, local, international, tribal, or foreign governmental agencies or multilateral governmental organizations to assist in determining ESTA eligibility. This information is stored separate from information collected as part of the ESTA application.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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. sec. 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, where CBP believes the information would assist enforcement of applicable civil or criminal laws 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 for the purpose of protecting the vital health interests of a data subject or other persons (e.g., to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk).

J. 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, that relate to the purpose(s) stated in this SORN, for purposes of testing new technology.

K. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of the officer making the disclosure.

L. To a federal, state, tribal, local, international, or foreign government agency or entity for the purpose of consulting with that agency or entity: (1) to assist in making a determination regarding redress for an individual in connection or program; (2) for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS Component or program; or (3) for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.

M. 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.

N. To the Department of State in the processing of petitions or applications for benefits under the Immigration and Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.

O. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property.

P. To the carrier transporting an individual to the United States, prior to travel, in response to a request from the carrier, to verify an individual’s travel authorization status.

Q. To the Department of Treasury’s Pay.gov, for payment processing and payment reconciliation purposes.

R. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in connection with criminal law proceedings.

S. To the Department of Treasury's Office of Foreign Assets Control (OFAC) for inclusion on the publicly issued List of Specially Designated Nationals and Blocked Persons (SDN List) of individuals and entities whose property and interests in property are blocked or otherwise affected by one or more OFAC economic sanctions programs, as well as information identifying certain property of individuals and entities subject to OFAC economic sanctions programs.

T. 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.

DHS/CBP 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.

The retention of ESTA records is covered by National Archives and Records Administration DAA-0568-2019-0006. Application information submitted to ESTA, including the photographs, is retained for 15 years. DHS/CBP ingests ESTA application data into other DHS/CBP systems for vetting purposes and is stored in accordance with those system’s respective retention periods. For example, ESTA information is ingested into the Automated Targeting System (ATS) and is retained for 15 years and is also ingested into TECS where it is retained for 75 years, consistent with those systems’ retention schedules. These retention periods are based on DHS/CBP’s historical encounters with suspected terrorists and other criminals, as well as the broader expertise of the law enforcement and intelligence communities. It is well known, for example, that potential terrorists may make multiple visits to the United States in advance of performing an attack. It is over the course of time and multiple visits that a potential risk becomes clear. Travel records, including historical records, are essential in assisting DHS/CBP officers with their risk-based assessment of travel indicators and identifying potential links between known and previously unidentified terrorist facilitators. Analyzing the records for these purposes allows DHS/CBP to continue to effectively identify suspect travel patterns and irregularities. If the record is linked to active law enforcement lookout records, DHS/CBP matches to enforcement activities, and/or investigations or cases (i.e., specific and credible threats; flights, travelers, and routes of concern; or other defined sets of circumstances), the record will remain accessible for the life of the law enforcement matter to support that activity and other enforcement activities that may become related.

Payment information is not stored in ESTA but is forwarded to Pay.gov and stored in DHS/CBP’s financial processing system, Credit/Debit Card Data system, pursuant to the DHS/CBP-003 Credit/Debit Card Data System of Records Notice, 76 FR 67755 (November 2, 2011). When a VWP traveler’s ESTA data is used for purposes of processing his or her application for admission to the United States, the ESTA data will be used to create a corresponding admission record in the DHS/CBP-016 Non-Immigrant Information System (NIIS), 80 FR 13398 (March 13, 2015). This corresponding admission record will be retained in accordance with the NIIS retention schedule, which is 75 years.

Applicants may access their ESTA information to view and amend their applications by providing their ESTA number, birth date, and passport number. Once they have provided their ESTA number, birth date, and passport number, applicants may view their ESTA status (authorized to travel, not authorized to travel, pending) and submit limited updates to their travel itinerary information. If an applicant does not know his or her application number, he or she can provide his or her name, passport number, date of birth, and passport issuing country to retrieve his or her application number.

In addition, ESTA applicants and other individuals whose information is included on ESTA applications may submit requests and receive information maintained in this system as it relates to data submitted by or on behalf of a person who travels to the United States and crosses the border, as well as, for ESTA applicants, the resulting determination (authorized to travel, pending, or not authorized to travel). However, the Secretary of Homeland Security has exempted portions of this system from certain provisions of the Privacy Act related to providing the accounting of disclosures to individuals because it is a law enforcement system. DHS/CBP will, however, consider individual requests to determine whether information may be released. In processing requests for access to information in this system, DHS/CBP will review the records in the operational system and coordinate with DHS to ensure that records that were replicated on the unclassified and classified networks, are reviewed, and based on this notice provide appropriate access to the information.

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 Headquarters Freedom of Information Act (FOIA) Officer whose contact information can be found at http://www.dhs.gov/foia under "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, D.C. 20528-0655, or electronically at https://www.dhs.gov/freedom-information-act-foia. 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. sec. 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 or 1-866-431-0486. 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.

See "Record Access Procedures" above.

See "Record Access Procedures" above.

Pursuant to 6 CFR Part 5, Appendix C, when this system receives a record from another system exempted in that source system under 5 U.S.C. 552a(j) or (k), 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. For instance, as part of the vetting process, this system may incorporate records from CBP’s ATS, and all of the exemptions for CBP’s Automated Targeting System SORN, described and referenced herein, carry forward and will be claimed by DHS/CBP. As such, law enforcement and other derogatory information covered in this system are exempt from 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, pursuant to 5 U.S.C. 552a(k)(1) and (k)(2): 5 U.S.C. 552a(c)(3); (d)(1), (d)(2), (d)(3), and (d)(4); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).

DHS/CBP is not taking any exemption from subsection (d) with respect to information maintained in the system as it relates to data submitted by or on behalf of a person, as part of the application process, who travels to visit the United States and crosses the border, nor shall an exemption be asserted with respect to the resulting determination (authorized to travel, pending, or not authorized to travel). However, pursuant to 5 U.S.C. 552a(j)(2), DHS/CBP plans to exempt such information in this system from sections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS will claim exemption from section (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to protect this information. CBP will not disclose the fact that a law enforcement or intelligence agency has sought particular records because it may affect ongoing law enforcement activities.

84 FR 30746 (June 27, 2019); 81 FR 60713 (September 2, 2016); 81 FR 39680 (June 17, 2016); 81 FR 8979 (February 23, 2016); 79 FR 65414 (November 4, 2014); 77 FR 44642 (July 30, 2012); 76 FR 67751 (November 2, 2011); 73 FR 32720 (June 10, 2008).

Unclassified.

This computer database is located at the U.S. Customs and Border Protection (CBP) National Data Center. Computer terminals are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of the Department of Homeland Security and other locations at which DHS authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies that have obtained system access pursuant to a Memorandum of Understanding.

Categories of individuals covered by this system are nonimmigrant aliens entering and departing the U.S.

NIIS is a dataset residing on the CBP Information Technology (IT) platform and in paper form. It contains arrival and departure information collected from foreign nationals entering and departing the U.S. on such forms as the I- 94, I-94W, or through interviews with CBP officers. This information consists of the following data elements, where applicable:

• Full Name (first, middle, and last);

• Date of birth;

• E-mail address, as required;

• Travel document type (e.g., passport information, permanent resident card, etc.), number, issuance date, expiration date and issuing country;

• Country of citizenship;

• Date of crossing both into and out of the U.S.;

• Scanned images linked through the platform;

• Airline and flight number;

• City of embarkation;

• Address while visiting the U.S.;

• Admission number received during entry into the U.S.;

• Whether the individual has a communicable disease, physical or mental disorder, or is a drug abuser or addict;

• Whether the individual has been arrested or convicted for a moral turpitude crime, drugs, or has been sentenced for a period longer than five years;

• Whether the individual has engaged in espionage, sabotage, terrorism, or Nazi activity between 1933 and 1945;

• Whether the individual is seeking work in the U.S.;

• Whether the individual has been excluded or deported, or attempted to obtain a visa or enter the U.S. by fraud or misrepresentation;

• Whether the individual has ever detained, retained, or withheld custody of a child from a U.S. citizen granted custody of the child;

• Whether the individual has ever been denied a U.S. visa or entry into the U.S., or had a visa cancelled (if yes, when and where);

• Whether the individual has ever asserted immunity from prosecution; and

• Any change of address while in the U.S.

5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; The legal authority for NIIS comes from 8 U.S.C. 1103, 8 U.S.C. 1184, Intelligence Reform and Terrorism Prevention Act of 2004, Public Law 108-458, The Immigration and Nationality Act, 8 U.S.C. 1354, and the Homeland Security Act of 2002, Public Law 107-296.

NIIS is a repository of records for persons arriving in or departing from the U.S. as nonimmigrant visitors and is used for entry screening, admissibility, and benefits purposes. The system provides a central repository of contact information for such aliens while in the U.S. and also captures arrival and departure information for determination of future admissibility.

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 or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS in his/her official capacity;

3. Any employee of DHS in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS collected the records.

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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the enforcement of civil or criminal laws.

H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or settlement negotiations, or in response to a subpoena from a court of competent jurisdiction.

I. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

J. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.

K. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

L. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations, for purposes of assisting such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or for combating other significant public health threats.

M. To Federal and foreign government intelligence or counterterrorism agencies or components where CBP becomes aware of an indication of a threat or potential threat to national or international security, or where such use is to assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.

N. 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.

O. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems designed to enhance national security or identify other violations of law

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None.

Storage:

The data is stored electronically at the CBP and DHS Data Center for current data and offsite at an alternative data storage facility for historical logs, system backups and in paper form.

These records may be searched on a variety of data elements including name, addresses, place and date of entry or departure, or country of citizenship as listed in the travel documents used at the time of entry to the U.S. An admission number, issued at each entry to the U.S. to track the particular admission, may also be used to identify a database record.

All NIIS records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include all of the following: restricting access to those with a "need to know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data communications.

NIIS information is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This handbook establishes a comprehensive program, consistent with federal law and policy, to provide complete information security, including directives on roles and responsibilities, management policies, operational policies, and application rules, which will be applied to component systems, communications between component systems, and at interfaces between component systems and external systems.

One aspect of the DHS comprehensive program to provide information security involves the establishment of rules of behavior for each major application, including NIIS. These rules of behavior require users to be adequately trained regarding the security of their systems. These rules also require a periodic assessment of technical, administrative and managerial controls to enhance data integrity and accountability. System users must sign statements acknowledging that they have been trained and understand the security aspects of their systems. System users must also complete annual privacy awareness training to maintain current access.

NIIS transactions are tracked and can be monitored. This allows for oversight and audit capabilities to ensure that the data is being handled consistent with all applicable federal laws and regulations regarding privacy and data integrity.

NIIS data is subject to a retention requirement. The information collected and maintained in NIIS is used for entry screening, admissibility, and benefits purposes and is retained for seventy five (75) years from the date obtained. However, NIIS records that are linked to active law enforcement lookout records, CBP matches to enforcement activities, and/or investigations or cases will remain accessible for the life of the law enforcement activities to which they may become related. The current disposition for paper copy is 180 days from date of departure.

Assistant Commissioner, Office of Information Technology, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

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 CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.

When seeking records about yourself from this system of records or any other CBP 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Specify when you believe the records would have been created,

• 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 this bulleted information CBP 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.

See "Notification procedure" above.

See "Notification procedure" above.

The system contains certain data received on individuals, passengers and crewmembers that arrive in, depart from, or transit through the U.S. This system also contains information collected from carriers that operate vessels, vehicles, aircraft and/or trains that enter or exit the U.S. and from the individuals upon crossing the U.S. border.

Basic information is obtained from individuals, the individual’s attorney/representative, CBP officials, and other federal, state, local, and foreign agencies.

No exemption shall be asserted with respect to information maintained in the system that is collected from a person or submitted on behalf of a person, if that person, or his or her agent, seeks access or amendment of such information.

This system, however, may contain information related to an ongoing law enforcement investigation because the information regarding a person’s travel and border crossing was disclosed to appropriate law enforcement in conformance with the above routine uses. As such pursuant to 5 U.S.C. 552 a (j)(2) and (k)(2), DHS will claim exemption from (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information.

Unclassified.

Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC and in field offices.

Categories of individuals covered by this system include importers, brokers, carriers, sureties; officers/owners, employees, associates of customs bonded carriers, drivers of motor vehicles, licensed cartmen, licensed lightermen, individuals and firms who have applied for or hold a license as a bonded cartman or lighterman, individuals employed by cartmen or lightermen, present and past container station operators and warehouse proprietors and their employees, including those who require an investigation, licensed customs brokers, employees of customs brokers, individuals or firms who have applied for a broker’s license, airport and airline employees with access to the CBP controlled area of a terminal, and employees of vessel agents.

Categories of records in this system may include:

• Individual’s name;

• Social security number;

• Date and place of birth;

• Addresses and notification of change of address;

• Personal characteristics;

• Photograph or other biometrics;

• History of past employment;

• Previous five years residences,

• Alias;

• Citizenship;

• Military records;

• Criminal record other than traffic violations;

• Use of narcotic drugs;

• Organization’s name;

• Copies of bonds, entries, bills, and data center listings;

• Location of business records;

• Status reports of individuals’ application including issuance, denial or renewal;

• Copies of incoming and outgoing correspondence relating to persons engaged in international trade in CBP licensed/regulated activities;

• Requests for written approval to employ persons who have been convicted of a felony;

• Applications for cartmen/lightermen licenses and identification cards;

• Applications and approvals/denials of bonds to act as container station operator or warehouse proprietor;

• Reports of investigations;

• Fingerprint cards;

• Information regarding proposed administrative disciplinary action against customs brokers for violation of the regulations governing the conduct of their business; and

• Determinations as to whether CBP issued or did not issue a particular license or permit and the type of license or permit.

Authority for maintenance of the system:

5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive Order 9373; 19 U.S.C. 1484, 1485, 1498, 1499, 1509, 1551, 1551a, 1555, 1556, 1565, 1624, and 1641; 19 CFR parts 19, 111, 112, 113, 141, 142, 148, and 163..

The purpose of this system is to collect and maintain records on persons engaged in international trade in CBP licensed/regulated activities. These records include identifying information as well as the results of background checks or official vetting performed to ensure that CBP’s approval of the individuals’ right to perform the licensed or regulated activity is appropriate.

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 of 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 or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS or any component in his/her official capacity;

3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS or CBP collected the records.

B. To a congressional office 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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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 or CBP suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;

2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS or CBP, 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/CBP officers and employees.

G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the enforcement of civil or criminal laws.

H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena form a court of competent jurisdiction.

J. To third parties during the course of a law enforcement investigation or background check to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

K. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records are retrieved by individual’s name or organization’s name.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

• Carrier records are retained by CBP for six years after the death of the licensee or revocation in accordance with the CBP, Records Control Manual, Schedule 6, Custody of Merchandise, Item 2.

• Broker files and records of broker’s employees are retained by CBP for six years after the death of the licensee or revocation in accordance with the CBP, Records Control Manual, Schedule 6, Custody of Merchandise, Item 2. These files are periodically updated and removed to an inactive file, as necessary.

• Cartmen and lightermen files are reviewed annually at which time cancelled identification cards are removed. Closed CBP Form 3078s (Application for Identification Card) may also be removed, but normally are held for approximately three years in case a new application is received from the same company or transferred to another company after investigation.

• Container station operator files are disposed of in accordance with the CBP Records Control Manual, Schedule 6, Custody of Merchandise Records, Item 10.

• Records on warehouse proprietor and vessel agent employees are maintained by the organization for the duration of the individual’s employment and retained by CBP for six years after the death of the licensee or revocation in accordance with the CBP, Records Control Manual, Schedule 6, Custody of Merchandise, Item 2.

• Records on drivers are maintained in an active file until revoked or cancelled. After revocation or cancellation, the information folder is placed in an inactive file for five years, and then disposed of in accordance with the General Services Administration Disposal Manual.

• Information on proprietor bonded warehouse operators and employees is retained on file until Customs bonded operations cease and are discontinued, and then maintained in an inactive file for three years. Final disposition is in accordance with the General Services Administration Disposal Manual.

• Files on brokers, carriers, and sureties are maintained for six years after death of licensee or revocation in accordance with the CBP Records Control Manual. In accordance with the Records Control Manual, Schedule 9 Entry Processing, files on importers are maintained in connection with the respective entry of merchandise for eight years after liquidation of the entry, which is the final determination of classification and duty relating to the imported merchandise by CBP.

Executive Director, Commercial Targeting and Enforcement, Office of International Trade, U.S. Customs and Border Protection, Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.

The Secretary of Homeland Security has exempted this system from certain aspects of the notification, access, and amendment requirements of the Privacy Act. CBP will review each request to determine whether or not notification, access, or amendment should be provided. 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 CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.

When seeking records about yourself from this system of records or any other CBP 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Specify when you believe the records would have been created,

• 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 this bulleted information CBP 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained by authorized Customs forms or electronic formats from individuals and/or companies incidental to the conduct of foreign trade and required by the Customs Service in administering the tariff laws and regulations of the United States. Individuals; organizations; DHS/CBP; correspondence; investigation reports and supporting materials; applications for bonds and licenses, and other DHS/CBP memoranda.

The Secretary of Homeland Security has exempted this system pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (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 has exempted this system pursuant to 5 U.S.C. 552a(k)(2) of the Privacy Act from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).

Unclassified; Law Enforcement Sensitive.

This computer database is located at the U.S. Customs and Border Protection National Data Center in the Washington DC area. TECS will be migrated to other DHS Datacenters. Computer terminals are located at CBP sites and ports throughout the United States and at CBP Headquarters, Washington, DC, as well as appropriate facilities under the jurisdiction of the U.S. Department of Homeland Security (DHS) and other locations at which officers of DHS may be posted or operate to facilitate DHS’s mission of homeland security. Terminals may also be located at appropriate facilities for other participating government agencies pursuant to agreement.

• Violators or suspected violators of laws enforced or administered by DHS (some of whom have been apprehended by officers of DHS);

• Individuals who are suspected of, or who have been arrested for, thefts from international commerce;

• Convicted violators of laws enforced or administered by DHS and/or drug laws in the United States and foreign countries;

• Persons with outstanding warrants--Federal or state;

• Victims of any violation of the laws enforced or administered by DHS;

• Owners, operators and/or passengers of vehicles, vessels or aircraft traveling across U.S. borders or through other locations where CBP maintains an enforcement or operational presence;

• Persons traveling across U.S. borders or through other locations where CBP maintains an enforcement or operational presence and who are determined to be related to a law enforcement context;

• Persons identified by Center for Disease Control (CDC), U.S. Health and Human Services as "No Boards " because of a highly contagious communicable disease through the Advance Passenger Information System in connection with trying to board an aircraft to travel internationally;

• Individuals who have been issued a CBP detention or warning;

• Individuals who may pose a threat to the United States; and

• Individuals who have been given access to TECS for authorized purposes.

Various types of information from a variety of Federal, state, local, and foreign sources, which contribute to effective law enforcement and counterterrorism efforts, may be maintained in this system of records. Records include, but are not limited to, records pertaining to known or suspected violators, wanted persons, persons of interest for law enforcement and counterterrorism purposes, reference information, regulatory and compliance data. Information about individuals includes, but is not limited to full name, alias, date of birth, address, physical description, various identification numbers (e.g., social security number, alien number, I-94 number, seizure number), details and circumstances of a search, arrest, or seizure, case information such as merchandise and values, methods of theft.

Section 5 U.S.C. 301; Homeland Security Act of 2002, Pub. L. 107-296; the Tariff Act of 1930, as amended; Title 18, United States Code, Chapter 27; the Immigration and Nationality Act.

The purpose of this system is to track individuals who have violated or are suspected of violating a law or regulation that is enforced or administered by CBP, to provide a record of any inspections conducted at the border by CBP, to determine admissibility into the United States, and to record information regarding individuals, firms, and organizations to whom DHS/CBP has issued detentions and warnings. Additionally, this system of records covers individuals who have been given access to TECS for authorized purposes.

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 or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS or any component in his/her official capacity;

3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS or CBP collected the records.

B. To a congressional office 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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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 or CBP suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;

2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS or CBP, 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/CBP officers and employees.

G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the enforcement of civil or criminal laws.

H. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or settlement negotiations, or in response to a subpoena from a court of competent jurisdiction.

I. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

J. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.

K. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

L. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations, for purposes of assisting such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or for combating other significant public health threats.

M. To Federal and foreign government intelligence or counterterrorism agencies or components where CBP becomes aware of an indication of a threat or potential threat to national or international security, or where such use is to assist in anti-terrorism efforts and disclosure is appropriate in the proper performance of the official duties of the person making the disclosure;

N. To the news media and the public, with the approval of the DHS Chief Privacy Officer in consultation with counsel, as appropriate, 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 CBP or is necessary to demonstrate the accountability of CBP’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.

O. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

Disclosure to consumer reporting agencies:

None.

Storage:

The data is stored electronically at the National Data Center and other DHS Data Centers for current data and offsite at an alternative data storage facility for historical logs and system backups.

The data is retrievable by name, address, unique identifiers or in association with an enforcement report or other system document.

All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include all of the following: restricting access to those with a "need to know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data communications.

TECS also monitors source systems for changes to the source data. The system manager, in addition, has the capability to maintain system back-ups for the purpose of supporting continuity of operations and the discrete need to isolate and copy specific data access transactions for the purpose of conducting security incident investigations. TECS information is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This handbook establishes a comprehensive information security program.

Access to TECS is controlled through a security subsystem, which is used to grant access to TECS information on a "need-to-know" basis.

The majority of information collected in TECS is used for law enforcement and counterterrorism purposes. Records in the system will be retained and disposed of in accordance with a records schedule to be approved by the National Archives and Records Administration.

The retention period for information maintained in TECS is seventy-five (75) years from the date of the collection of the information or for the life of the law enforcement matter to support that activity and other enforcement activities that may become related. TECS collects information directly from authorized users.

Assistant Commissioner, Office of Information Technology, Passenger Systems Program Office, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, CBP will consider individual requests to determine whether or not information may be released. Thus, 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 CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

When seeking records about yourself from this system of records or any other CBP 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Specify when you believe the records would have been created,

• 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 this bulleted information CBP 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.

See "Notification procedure" above.

See "Notification procedure" above.

This system contains investigatory material compiled for law enforcement and counterterrorism purposes whose sources need not be reported.

Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (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). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). In addition, to the extent a record contains information from other exempt systems of records, CBP will rely on the exemptions claimed for those systems.

Unclassified.

Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, D.C. and in field offices.

Categories of individuals covered by this system include individuals involved in incidents or disturbances related to a DHS/CBP inspection while attempting to enter the U.S.

Categories of records in this system include:

• Individual’s name;

• Date of Birth;

• Citizenship;

• Port of entry;

• Method of entry, including vehicle information;

• Date of entry;

• Time of entry;

• Search records, including the incident that required a secondary inspection, and items found during the inspection; and

• Audio-video cassette recording of the persons being escorted into, inside, and out of the secondary areas of the port of entry.

5 U.S.C. 301; and the Federal Records Act, 44 U.S.C. 3101; 41 CFR Part 102; Homeland Security Act of 2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (November 25, 2002); the immigration laws, including 8 U.S.C. 1222- 1225 and 1357; the customs laws, including 19 U.S.C. 2, 482, 1433, 1434, 1459, 1461, 1484, 1499, 1581, 1582; 6 U.S.C 202, 231; the agriculture laws, including 7 U.S.C. 8303, 8304, 8307.

The purpose of this system is to record individuals who are sent to secondary when attempting to enter the U.S., or who are involved in an incident or disturbance while within CBP controlled space at the border. This record system will allow DHS/CBP to videotape persons being escorted within a port of entry.

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 of 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 or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS or any component in his/her official capacity;

3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS or CBP collected the records.

B. To a congressional office 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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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 or CBP suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;

2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS or CBP, 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/CBP officers and employees.

G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the enforcement of civil or criminal laws.

H. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

I. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems designed to enhance national security or identify other violations of law.

J. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS or component decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit when disclosure is appropriate to the proper performance of the official duties of the person making the request.

K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

L. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

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 or when disclosure is necessary to preserve confidence in the integrity of DHS or any component or is necessary to demonstrate the accountability of DHS or a component’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records are retrieved by individual’s name or date and time of the recording.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to this 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.

All recordings with incidents are retained for six months. Those on which some action may be taken are retained for one year or until the close of the case. The electronic media used to make recording can be reused. Therefore, after the above stated retention period, CBP may reuse the electronic media and thus erase the previous recording.

Port Directors, U.S. Customs and Border Protection, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.

The Secretary of Homeland Security has exempted this system from certain aspects of the notification, access, and amendment requirements of the Privacy Act. CBP will review each request to determine whether or not notification, access, or amendment should be provided. 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 CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229.

When seeking records about yourself from this system of records or any other CBP 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe CBP would have information on you,

• Specify when you believe the records would have been created,

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual verifying that individual’s identity and certifying his/her agreement for you to access his/her records.

Without this bulleted information CBP 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.

See "Notification procedure" above.

See "Notification procedure" above.

Audio-video recording of persons being escorted within the port of entry.

Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (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). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f).

Unclassified.

This computer database is located at the U.S. Customs and Border Protection National Data Center in the Washington, DC area. Computer terminals are located at CBP sites and ports throughout the United States and at CBP Headquarters, Washington, DC as well as appropriate facilities under the jurisdiction of the U.S. Department of Homeland Security (DHS) and other locations at which officers of DHS may be posted or operate to facilitate DHS’s mission of homeland security. Terminals may also be located at appropriate facilities for other participating government agencies pursuant to agreement. Records are maintained at the U.S. Customs and Border Protection Headquarters in Washington, DC and in field offices.

Categories of individuals covered by this system include current and former violators and alleged or otherwise suspected violators of Custom, immigration, agriculture or other laws and regulations administered or enforced by DHS/CBP, and related parties involved in, or affected by, an inquiry concerning the violation of Customs, immigration, agriculture or other law enforced or administered by DHS/CBP. This system includes:

• Persons who are believed to be involved in activities which constitute, or may develop into, possible violation of Customs, immigration, agriculture or other laws administered or enforcement by DHS/CBP.

• Persons who smuggle, or are suspected of smuggling, merchandise or contraband, including narcotics and other illegal drugs, into the U.S.;

• Vessels, aircraft and other conveyances that have been used in connection or with or found in violation of Customs, immigration, agriculture or other laws and regulations enforced or administered by DHS/CBP;

• Individuals and businesses fined, penalized, or forced to forfeit merchandise because of violations of Customs, immigration, agriculture and/or other laws administered or enforced by DHS/CBP;

• Individuals and businesses who have filed false invoices, documents, or statements that result in a violation of Customs, immigration, agriculture or other laws and regulations administered or enforced by DHS/CBP;

• Individuals and businesses who have filed supplemental petitions for relief from fines, penalties, and forfeitures assessed for violations of the laws and regulations administered or enforced by DHS/CBP;

• Owners, claimants, and other interested parties to seized property;

• Purchasers of forfeited property;

• Individuals to whom prohibited merchandise is addressed; and

• Individuals who assist in the enforcement of customs, navigation, immigration, agriculture and other laws administered or enforced by DHS/CBP.

Categories of records in this system may include:

• Individual’s name;

• Business name;

• Aliases;

• Social security number;

• Physical description of the individual;

• Addresses;

• Telephone numbers;

• Occupation;

• Violator’s previous record;

• Driver’s license;

• Passport number;

• Entry documentation;

• Personal identifying number, such as informant number;

• Case number or seizure number;

• Vessel name, including registration number;

• Aircraft name and tail number;

• License Plate Number;

• Type of violation/suspected violation;

• Description of violation/alleged violation, including circumstances surrounding the violation/alleged violation, including section of law violated or alleged to have been violated;

• Date and place of violation/alleged violation;

• On-site disposition actions, such as whether a seizure was made, an item was detained, or inspection occurred;

• Sender of the seized or detained goods;

• Intended recipient of the seized or detained goods;

• Parties entitled to legal notice or who are legally liable;

• Bond information;

• Notices;

• Investigative reports and disposition of fines, penalties, and forfeitures;

• Memoranda;

• Petitions and supplemental petitions;

• Recommendations pertaining to litigation;

• Referrals to Department of Justice;

• Notes from officers related to a DHS/CBP action;

• Case information pertaining to violation;

• Actions taken by DHS/CBP;

• Documents relating to the internal review and consideration of the request for relief and decision thereon;

• Property description;

• Estimated foreign value of merchandise;

• Duty;

• Domestic value of merchandise;

• CBP Port code;

• Delivery to seizure clerk; and

• Applicants for awards of compensation and determination of such applications.

5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; the immigration laws, including 8 U.S.C. 1221, 1321- 1328, 8 CFR parts 270, 274, 280; the Customs laws, including 18 U.S.C. 542, 545 and 19 U.S.C. 66, 1436, 1497, 1509, 1592, 1593a, 1594, 1595a, 1618, 1619, 1624, 1703 and, 19 CFR parts 1623, 171 and 172; the agriculture laws, including 7 U.S.C. 8303, 8304, 8307; Executive Order 9373.

The purpose of this system is to (1) document individuals and businesses who violated, or are alleged to have violated, Custom, immigration, agriculture and other laws and regulations enforced or administered by DHS/CBP; (2) collect and maintain records on fines, penalties, and forfeitures; and (3) collect and maintain records of individuals who have provided assistance with respect to identifying or locating individuals who have or are alleged to have violated Customs, immigration, agriculture and other laws and regulations enforced or administered by DHS/CBP.

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 of 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 or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee of DHS or any component in his/her official capacity;

3. Any employee of DHS or any component in his/her individual capacity where DOJ or DHS has agreed to represent the employee; or

4. The U.S. or any agency thereof, is a party to the litigation or has an interest in such litigation, and DHS or CBP determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DHS or CBP collected the records.

B. To a congressional office 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 or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual 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 or CBP suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;

2. DHS or CBP has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS, CBP, or another agency or entity) or harm to the individual who relies upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS or CBP’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DHS or CBP, 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/CBP officers and employees.

G. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or treaty where DHS determines that the information would assist in the enforcement of civil or criminal laws.

H. To an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

J. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

K. To a consumer reporting agency in accordance with section 3711(3) of Title 31.

L. 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 any component is necessary to demonstrate the accountability of DHS or a component’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.

M. To appropriate Federal, State, local, tribal, or foreign governmental agencies or multilateral governmental organizations where DHS is aware of a need to utilize relevant data for purposes of testing new technology and systems designed to enhance national security or identify other violations of law.

N. To a Federal, State, or local agency, or other appropriate entity or individual, or through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

Disclosure to consumer reporting agencies:

Yes, when appropriate and in accordance with section 3711(3) of Title 31.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Records are retrieved by individual’s name; business name; vessel name; aircraft name; case number; year and CBP port code; identification codes; identifying number; date of violation; type of violation; name of the person to which seized items are addressed; case or seizure number by fiscal year; and phone number.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated system security access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records related to a law enforcement action; or that are linked to an alleged violation of law or regulation, or are matches or suspected matches to enforcement activities, investigations or cases (i.e., administrative penalty actions or criminal prosecutions), will remain accessible until the conclusion of the law enforcement matter and any other enforcement matters or related investigative, administrative, or judicial action to which it becomes associated plus five years. Records associated with a law enforcement matter, where all applicable statutes of limitation have expired prior to the conclusion of the matter, will be retained for two years following the expiration of the applicable statute of limitations.

Customs and Border Protection, Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.

The Secretary of Homeland Security has exempted this system from notification, access, and amendment because of the law enforcement nature of the information. However, CBP will review requests on a case by case and release information as appropriate. 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 CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229. Specific FOIA contact information can be found at http://www.dhs.gov/foia under "contacts."

When seeking records about yourself from this system of records or any other CBP 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 Director, Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the following:

• An explanation of why you believe the Department would have information on you,

• Specify when you believe the records would have been created,

• 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 this bulleted information CBP 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.

See "Notification procedure" above.

See "Notification procedure" above.

Individuals, including individuals petitioning for relief of fines, penalties, and forfeitures; DHS/CBP employees, including DHS/CBP employees who prepare Customs Form 5955a (Notice of Penalty or liquidated Damages Incurred and Demand for Payment) and Customs Form 151 (Search/Arrest/Seizure Report) at the time and place where the violation occurred; Information and representations supplied by importers, brokers and other agents pursuant to the entry and processing of merchandise or in the clearing of individuals or baggage through Customs. Also included is information gathered pursuant to DHS/CBP investigations of suspected or actual violations of Customs, immigration, agriculture and other laws enforced or administered by DHS/CBP, regulations, recommendations, and information supplied by other agencies; Port Director of CBP who has jurisdiction over fines, penalties, and forfeitures; penalty notices; Search/Arrest/Seizure Reports transmitted to the Fines, Penalties, and Forfeitures Office by ports and stations within the area; and mail shipments.

Pursuant to exemption 5 U.S.C. 552a(j)(2) of the Privacy Act, portions of this system are exempt from 5 U.S.C. 552a(c)(3) and (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). Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). In addition, to the extent a record contains information from other exempt systems of records, CBP will rely on the exemptions claimed for those systems.

Unclassified.

Records are maintained in the Regulatory Audit Management Information System (RAMIS) located at the U.S. Customs and Border Protection Headquarters in Washington, D.C. and field offices.

Categories of individuals covered by this system include importers and other parties engaged in international trade activities that are the subject of a regulatory audit or are identified in and related to the scope of an audit report.

Categories of individuals covered by this system include:

•Individual’s name, including names of officers of customs broker firms or other business entities engaged in international trade and identified as a subject of an audit or related to the scope of an audit;

•Importer of Record (IR) Number;

•Dun and Bradstreet, Inc. DUN numbers;

•Business records associated with the audit;

•Email address;

•Phone number;

•Employer Identification Number (EIN) or Social Security number (SSN), also known as Federal Taxpayer Identifying Number;

•Audit reports of subject accounts and records;

•Correspondence with the subject of the audits and related parties:

•Congressional inquiries concerning customs brokers or other audit subjects and disposition made of such inquiries; and

•License and permit numbers and dates issued and district or port covered.

6 U.S.C. 115(a)(1) and 213(b)(2); 19 U.S.C. ch. 4; 19 U.S.C. 1508, 1509, 1592, and 1641; 19 CFR parts 24.5, 111, 143, 149.3, 163; 31 U.S.C. 3729; and E.O. 9397, as amended by E.O. 13478.

The purpose of this system is to collect and maintain records on the regulatory audits of customs brokers, licensed by CBP pursuant to 19 U.S.C. 1641, to act as agents for importers in the entry of merchandise and payment of duties and fees, and other persons or business entities engaged in international trade.

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 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 the security or confidentiality of information in the system of records has been compromised;

2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 an appropriate Federal, State, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit and disclosure is appropriate to the proper performance of the official duties of the person making the request.

I. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in response to a subpoena from a court of competent jurisdiction.

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, 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.

Storage:

DHS/CBP 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.

DHS/CBP may retrieve records by name or other (alphanumeric) personal identifier.

DHS/CBP safeguards records in this system according in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. DHS/CBP 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.

DHS/CBP maintains regulatory audit records in accordance with N1-36-86-1 approved by NARA on November 9, 1989. CBP maintains regulatory reports and company findings on-site for one year and then transfers the records to the Federal Records Center (FRC), which destroys the records after ten (10) years. CBP maintains regulatory audit subject records on-site for one year and transfers the files to the FRC, which destroys the records after three years.

Executive Director, Regulatory Audit, U.S. Customs and Border Protection, 1717 H Street – 6th Floor, Washington, D.C. 20229.

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 DHS Chief Freedom of Information Act (FOIA) Officer or CBP’s FO IA 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, D.C. 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 Office at 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.

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 or 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.

See "Notification procedure" above.

See "Notification procedure" above.

The information contained in this system of records originates in connection with customs broker audits and audits of other persons engaged in international commerce conducted by the regulatory audit staffs. The audits may be supplemented with information furnished by the Office of the Chief Counsel or its field offices, Office of International Trade - Regulations and Rulings, and the Office of Investigations, U.S. Immigration and Customs Enforcement. These audits include examination of records pertaining to brokers and importers (including their clients), and other persons engaged in international trade activities.

DHS/CBP is not requesting an exemption with respect to information maintained in the system as it relates to data submitted by or on behalf of a subject of an audit. Information in the system may be shared pursuant to the exceptions under the Privacy Act (5 U.S.C. 552a(b)) and the above routine uses. The Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that a law enforcement or intelligence agency has sought particular records may affect ongoing law enforcement activity. Therefore, pursuant to 5 U.S.C. 552a(k)(2), DHS will claim exemption from sec. (c)(3) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information.

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

Records are maintained in the operational system at CBP Headquarters in Washington, D.C. and at CBP field offices. Records are replicated from the operational system and maintained on the DHS unclassified and classified networks. This computer database is located at the U.S. Customs and Border Protection (CBP) National Data Center. Computer terminals are located at customhouses, border ports of entry, airport inspection facilities under the jurisdiction of the Department of Homeland Security and other locations at which DHS authorized personnel may be posted to facilitate DHS’s mission. Terminals may also be located at appropriate facilities for other participating government agencies that have obtained system access pursuant to a Memorandum of Understanding.

Categories of individuals covered by this system are nonimmigrant aliens entering and departing the United States.

The Nonimmigrant and Immigrant Information System (NIIS) is a dataset residing on the CBP Information Technology (IT) platform and in paper form. It contains arrival and departure information collected from foreign nationals entering and departing the United States on such forms as the I-94 and I-94W, or through interviews with CBP officers. This information consists of the following data elements, as applicable:

Full Name (first, middle, and last);

Date of birth;

Email address, as required;

Travel document type (e.g., passport information, permanent resident card), number, issuance date, expiration date and issuing country;

Country of citizenship;

Date of crossing both into and out of the United States;

Scanned images linked through the platform;

Airline and flight number;

City of embarkation;

Address while visiting the United States;

Admission number received during entry into the United States;

Whether the individual has a communicable disease, physical or mental disorder, or is a drug abuser or addict;

Whether the individual has been arrested or convicted for a moral turpitude crime, drugs, or has been sentenced for a period longer than five years;

Whether the individual has engaged in espionage, sabotage, terrorism, or Nazi activity between 1933 and 1945;

Whether the individual is seeking work in the United States;

Whether the individual has been excluded or deported, or attempted to obtain a visa or enter the United States by fraud or misrepresentation;

Whether the individual has ever detained, retained, or withheld custody of a child from a U.S. citizen granted custody of the child;

Whether the individual has ever been denied a U.S. visa or entry into the U.S., or had a visa cancelled (if yes, when and where);

Whether the individual has ever asserted immunity from prosecution; and

Any change of address while in the United States.

The legal authority for NIIS comes from the Immigration and Nationality Act, 8 U.S.C. 1103, 1184, 1354; the Intelligence Reform and Terrorism Prevention Act of 2004, Public Law 108-458; the Homeland Security Act of 2002, Public Law 107-296; 5 U.S.C. 301; and the Federal Records Act, 44 U.S.C. 3101.

NIIS is a repository of records for persons arriving in or departing from the United States as nonimmigrant visitors and is used for entry screening, admissibility, and benefits purposes. The system provides a central repository of contact information for such aliens while in the United States and also captures arrival and departure information for determination of future admissibility.

DHS maintains a replica of some or all of the data in the operating system on the unclassified and classified DHS networks to allow for analysis and vetting consistent with the above stated purposes and this published notice.

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 Attorney 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 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 the security or confidentiality of information in the system of records has been compromised;

2. The Department has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena, or in connection with criminal law proceedings.

I. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate to the proper performance of the official duties of the officer making the disclosure.

J. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property.

K. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant and necessary to a requesting agency's decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant and necessary to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit and when disclosure is appropriate to the proper performance of the official duties of the person making the request.

L. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations, for the purpose of protecting the vital interests of a data subject or other persons, (e.g., to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk).

M. To federal and foreign government intelligence or counterterrorism agencies or components when CBP becomes aware of an indication of a threat or potential threat to national or international security, or when such use is to assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.

N. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS is aware of a need to use relevant data for purposes of testing new technology and systems designed to enhance national security or identify other violations of law.

O. 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 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.

Storage:

DHS/CBP stores records in this system electronically in the operational system as well as on the unclassified and classified network or on paper in secure facilities in a locked drawer behind a locked door. DHS/CBP stores the records on magnetic disc, tape, digital media, and CD-ROM. The data is stored electronically at the CBP and DHS Data Center for current data and offsite at an alternative data storage facility for historical logs, system backups, and in paper form.

These records may be searched on a variety of data elements including name, addresses, place and date of entry or departure, or country of citizenship as listed in the travel documents used at the time of entry to the United States. An admission number, issued at each entry to the United States to track the particular admission, may also be used to identify a database record.

All NIIS records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include all of the following: restricting access to those with a "need to know"; using locks, alarm devices, and passwords; compartmentalizing databases; auditing software; and encrypting data communications.

NIIS information is secured in full compliance with the requirements of the DHS IT Security Program Handbook. This handbook establishes a comprehensive program, consistent with federal law and policy, to provide complete information security, including directives on roles and responsibilities, management policies, operational policies, and application rules, which will be applied to component systems, communications between component systems, and at interfaces between component systems and external systems.

One aspect of the DHS comprehensive program to provide information security involves the establishment of rules of behavior for each major application, including NIIS. These rules of behavior require users to be adequately trained regarding the security of their systems. These rules also require a periodic assessment of technical, administrative, and managerial controls to enhance data integrity and accountability. System users must sign statements acknowledging that they have been trained and understand the security aspects of their systems. System users must also complete annual privacy awareness training to maintain current access.

NIIS transactions are tracked and can be monitored. This allows for oversight and audit capabilities to ensure that the data is being handled consistent with all applicable federal laws and regulations regarding privacy and data integrity.

NIIS data is subject to a retention requirement. The information collected and maintained in NIIS is used for entry screening, admissibility, and benefits purposes and is retained for seventy-five (75) years from the date obtained. However, NIIS records that are linked to active law enforcement lookout records, CBP matches to enforcement activities, and/or investigations or cases will remain accessible for the life of the law enforcement activities to which they may become related. The current disposition for paper copy is 180 days from date of departure. Records replicated on the unclassified and classified networks will follow the same retention schedule.

Assistant Commissioner, Office of Information Technology, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue, NW, Washington, D.C. 20229.

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 CBP’s FOIA Officer, 1300 Pennsylvania Avenue, NW, Washington, D.C. 20229.

When seeking records about yourself from this system of records or any other CBP 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 Director, Disclosure and FOIA, http://www.dhs.gov 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.

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 this bulleted information CBP 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.

In processing requests for access to information in this system, CBP will review not only the records in the operational system but also the records that were replicated on the unclassified and classified networks, and based on this notice provide appropriate access to the information.

See "Notification procedure" above.

See "Notification procedure" above.

The system contains certain data received on individuals, passengers and crewmembers that arrive in, depart from, or transit through the United States. This system also contains information collected from carriers that operate vessels, vehicles, aircraft, and/or trains that enter or exit the United States and from the individuals upon crossing the U.S. border.

Basic information is obtained from individuals, the individual's attorney/representative, CBP officials, and other federal, state, local, and foreign agencies.

No exemption shall be asserted with respect to information maintained in the system that is collected from a person or submitted on behalf of a person, if that person, or his or her agent, seeks access or amendment of such information.

This system, however, may contain information related to an ongoing law enforcement investigation because the information regarding a person’s travel and border crossing was disclosed to appropriate law enforcement in conformance with the above routine uses. As such pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), DHS will claim exemption from (c)(3); (e)(8); and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information.

Unclassified, Sensitive Security Information, law enforcement sensitive.

Records are maintained at CBP Headquarters in Washington, D.C. and field offices, in the CTPAT Portal, and in a CBP collaborative intranet.

CTPAT Director, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW, Washington, D.C. 20229; (202) 344-3969. For CTPAT in general, contact Industry.Partnership@cbp.dhs.gov. For CTPAT Trade Compliance, contact ctpattradecompliance@cbp.dhs.gov.

This system and program are authorized by 6 U.S.C. sec. 901 note (Security and Accountability for Every Port Act of 2006 (SAFE Port Act)), including 6 U.S.C. secs. 961-973. Pilot programs enhancing secure supply chain practices related to CTPAT are also authorized by Presidential Policy Directive/PPD-8, "National Preparedness" (March 30, 2011).

The purpose of this system is to verify the identity of CTPAT partners, determine enrollment level, and provide identifiable "low risk" entities with fewer random checks and facilitated processing. The information will be cross-referenced with data maintained in CBP’s other cargo and enforcement databases and will be shared with other law enforcement systems, agencies or foreign entities, as appropriate, when related to ongoing investigations or operations. Information will be used to analyze, measure, monitor, report, and enhance business supply chains to permit facilitated processing of CTPAT partner shipments by CBP.

Individuals, including Points of Contact, owners, and others associated with prospective, ineligible, current, or former CTPAT business entities; individuals associated with the supply chain of such CTPAT business entities; and individuals associated with business entities in foreign governments’ secure supply chain programs that have been recognized by CBP, through harmonization, a mutual recognition arrangement (MRA), or comparable arrangement, as being compatible with the CTPAT Program.

At the application level, information is collected from the applicant about itself and those members of its international supply chain. Pre-set fields of business-identifying information within the company profile portion of the online application include:

• Business Entity Type;

• Application Exception Token;

• Legal Business Name;

• Other Name(s) by which the Business is known (i.e., "Doing Business As"), if applicable;

• Business Telephone;

• Business Fax;

• Business Website Address;

• Business History;

• Physical Address(es);

• Mailing Address(es);

• Owner Type (e.g., Corporation\Partnership\Sole Proprietor);

• Years in Business;

• Number of Employees;

• Business Points of Contacts;

• First Name;

• Last Name;

• Date of Birth;

• Country of Birth;

• Country of Citizenship;

• Travel Document number (e.g., visa or passport number);

• Alien Registration Number

• Naturalization number;

• Driver’s license information (e.g., state and country of issuance, number, date of issuance/expiration);

• Trusted Traveler membership type and number (e.g., FAST/NEXUS/SENTRI/Global Entry ID);

• Registro Federal de Contribuventes (RFC) Persona Fisica (needed for Mexican Foreign Manufacturers, Highway Carriers, and Long Haul Carriers Only);

• Title;

• Email Address (also used to log in to the Security Link Portal);

• Password;

• Telephone Number;

• Contact Type;

• U.S. Social Security numbers;

• Internal Revenue Service Business Identification Numbers;

• Customs assigned identification numbers (e.g., Importers of Record (IOR) number; Manufacturer Identification Numbers (MID) and Broker/Filer codes);

• Issue Papers, including information regarding whether the applicant is eligible for CTPAT membership or source record numbers for such information;

• Narrative description of supply chain security procedures for applicant and other entities in applicant’s supply chain;

• Validation supporting documentation (e.g., bills of lading; audits—internal and external; proof of background checks; contractual obligations; via a letter from a senior business partner officer attesting to compliance; statements demonstrating compliance with CTPAT security criteria or an equivalent World Customs Organization accredited security program administered by a foreign customs authority; importer security questionnaire); and

• Account Status.

• Information received from and confirmed to countries with which CBP has a Mutual Recognition Arrangement (MRA) includes:

• Legal Business Name;

• Other Name(s) by which the Business is known (i.e., "Doing Business As"), if applicable;

• Company Type;

• Date Partner Certified;

• Account Status;

• Vetting Status;

• Date Validation Completed;

• CBP Supply Chain Security Specialist (SCSS) Name;

• Office Assigned Name;

• Mutual Recognition Country;

• Business identifying numbers, e.g.:

o Standard Carrier Alpha Code (SCAC);

o IOR; and

o MID.

• By Applicant request, information received from, and forwarded to, foreign secure supply chain programs pursuant to a harmonization program may include:

• Legal Name;

• Doing Business As;

• Telephone Number;

• Fax Number;

• Web site;

• Owner Type;

• Business Start Date;

• Number of Employees;

• Brief Company History;

• Primary Address (Type, Name, Country, Street Address, City, State/Province, Zip/Postal Code);

• Mailing Address (Type, Name, Country, Street Address, City, State/Province, Zip/Postal Code);

Primary Contact:

o Email Address;

o Type;

o Salutation;

o First Name;

o Last Name;

o Date of Birth;

o Title; and

o Telephone Number.

• Partner Notifications;

• Number of Entries;

• U.S. Department of Transportation (DOT) Issued Number;

• U.S. National Motor Freight Traffic Association Issued;

• SCAC;

• Dun & Bradstreet Number;

• Services Offered;

• Driver Sources;

• Entries related to harmonization country;

• Account Status;

• Vetting Status;

• Minimum Security Requirements/Security Profile Status;

• Validation Status; and

• Harmonization Status.

The CTPAT Security Profile includes:

• Account Number;

• Risking Status;

• Minimum Security Requirements (MSR) Status;

• Validation Type;

• Validation Closed Date;

• Validation Status;

• Validation Type Verification (Government Contact);

• Verification Type Start Date;

• Verification Type: (phone, visit, mutual recognition);

• Verification Visit address;

• Business Type; and

• Harmonization Host Program.

The records pertaining to the Trade Compliance Application Process:

• Trade Compliance Questionnaire:

o Company name;

o Business address;

o Phone number;

o Company Website;

o Company type—public or private;

o Company contact: name, date of birth, title, phone number and email address; and

o Responses pertaining to Forced Labor.

• Memorandum of Understanding; and

• Annual Notification Letter (ANL);

o Company Information: Organizational and/or Personnel Changes;

o Import Activity Change records;

o Internal Control Adjustments and Change records;

o Risk Assessment Results;

o Periodic Testing Results; and

o Prior Disclosures.

Records are obtained from the CTPAT applicant business; from CBP systems, including TECS, the Automated Targeting System (ATS), the Automated Commercial Environment (ACE); and from public sources. Information is also collected by the SCSS from the CTPAT applicant and other businesses during the course of validating the business’s supply chain and from foreign governments and multilateral governmental organizations with which CBP has entered into MRAs or other arrangements. To the extent a CTPAT partner applies for the CTPAT Trade Compliance program, CBP regulatory audit personnel collect information from the applicant as part of the Application Review Meeting.

In addition to those disclosures generally permitted under 5 U.S.C. 5 sec. 52a(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. sec. 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 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 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 foreign governmental agencies or multilateral governmental organizations pursuant to an arrangement between CBP and a foreign government or multilateral governmental organization regarding supply chain security.

J. To an appropriate federal, state, local, territorial, tribal, or foreign governmental agencies or multilateral governmental organizations or other appropriate authority or entity when necessary to vet a CTPAT applicant or validate a CTPAT partner.

K. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS reasonably believes there to be a threat or potential threat to national or international security for which the information may be relevant in countering the threat or potential threat.

L. To a federal, state, tribal, or local agency, or other appropriate entity or individual, or foreign governments, in order to provide relevant information related to intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

M. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or when the information is relevant and necessary to the protection of life or property.

N. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation.

O. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant to a requesting agency’s decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.

P. To a federal, state, local, tribal, or foreign governmental agency or multilateral governmental organization for the purpose of consulting with that agency or entity: (1) to assist in making a determination regarding redress for an individual in connection with the operations of a DHS component or program; (2) for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS component or program; or (3) for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.

Q. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital health interests of a data subject or other persons (e.g., to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk).

R. 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.

DHS/CBP stores records in this system of records 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.

Records may be retrieved by any of the information listed in the categories of records above.

The following records retention schedule for CTPAT is pending approval by NARA: information stored in CTPAT will be retained for the period during which the application is pending decision by CBP and for the period of active membership of the business entity, plus 20 years after membership has ended in the Program. Where information regarding the possible ineligibility of an applicant for CTPAT membership is found, it will be retained in the CTPAT system for 20 years from the date of denial to assist with future vetting, or consistent with the applicable retention period for the system of records from which such information was derived, whichever is longer.

DHS/CBP safeguards records in this system according to applicable rules and policies, including all applicable DHS automated systems security and access policies. DHS/CBP 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.

The CTPAT Portal provides access to those applicants or partners who have submitted information in the portal. The CTPAT partner interface allows participants to access and change the information they have provided at any time by accessing their business identifying information and CTPAT profile through secure login procedures. CTPAT partners access the CTPAT Portal via https://ctpat.cbp.dhs.gov.

CTPAT partners have the ability to communicate with their assigned SCSS if they believe CBP has acted upon inaccurate or erroneously provided information. If this method is unsuccessful and CTPAT facilitated processing is denied or removed, the entity may make written inquiry regarding such denial or removal. The applicant should provide as much identifying information as possible regarding the business, in order to identify the record at issue. CTPAT participants may provide CBP with additional information to ensure that the information maintained by CBP is accurate and complete. The submitter will receive a written response to each inquiry. If CTPAT partnership is suspended or removed, the business may appeal this decision to CBP HQ, to the attention of the Executive Director, Cargo and Conveyance Security, U.S. Customs and Border Protection, 1300 Pennsylvania Avenue NW, Room 2.2A, Washington, D.C. 20229.

The Secretary of Homeland Security has exempted this system from the notification, access, and amendment procedures of the Privacy Act, and the Judicial Redress Act if applicable, because it is a law enforcement system. However, DHS/CBP will consider individual requests to determine whether 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 CBP Freedom of Information Act 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 Freedom of Information Act Officer, U.S. Department of Homeland Security, Washington, D.C. 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. sec. 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 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 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.

For records covered by the Privacy Act or covered JRA 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.

See "Record Access Procedures" above.

No exemption shall be asserted with respect to information requested from and provided by the CTPAT Program applicant including company profile, supply chain information, and other information provided during the application and validation process. CBP will not assert any exemptions for an individual’s application data and final membership determination in response to an access request from that individual. However, the Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that a law enforcement agency has sought particular records may affect ongoing law enforcement activities. As such, pursuant to 5 U.S.C. sec. 552a(j)(2), DHS will claim exemption from sections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS will claim exemption from section (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. sec. 552a(k)(2) as is necessary and appropriate to protect this information.

Pursuant to exemption 5 U.S.C. sec. 552a(j)(2) of the Privacy Act, all other CTPAT Program data, including information regarding the possible ineligibility of an applicant for CTPAT membership discovered during the vetting process and any resulting issue papers, are exempt from 5 U.S.C. secs. 552a(c)(3) and (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). Pursuant to 5 U.S.C. sec. 552a(k)(2), information regarding the possible ineligibility of an applicant for CTPAT Program membership discovered during the vetting process and any resulting issue papers are exempt from 5 U.S.C. secs. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). In addition, to the extent a record contains information from other exempt systems of records, CBP will rely on the exemptions claimed for those systems.

78 FR 15962 (March 13, 2013).

Unclassified, sensitive, and law enforcement sensitive.

Records are maintained at the Air and Marine Operations Center (AMOC) in Riverside, California.

AMOSS contains information on aircraft owners who have registered their aircraft with the Federal Aviation Administration (FAA), as well as airport managers. AMOSS contains information about individuals suspected of violating the law or presenting a threat to the United States. AMOSS also contains information about individuals mentioned in tips from members of the public who call in to report suspicious activity to a tip line or from law enforcement, as well as contact information for those members of the public or law enforcement.

The records in AMOSS are comprised of the following information:

FAA DATA:

• Aircraft registration (ownership) information on U.S. registered aircraft, including registrant name and address, aircraft type, and aircraft identification numbers;

• Airport information, including manager name and contact information;

• Runway information;

• Flight plan/route information;

• Special use airspace identification; and

• Navigation aids identification.

EVENT AND OPERATIONS DATA:

• Watch log records of operational activities on the floor of the AMOC;

• Event tracking log information on suspects, including: Names, addresses, phone numbers, drivers licenses, Social Security Numbers, TECS case numbers, information identifying conveyances (including vehicle type, tail numbers, license plate numbers, etc.) and remarks by Detection Enforcement Officers (DEO);

• Event tracking log information on members of the public who call in to a tip line, including: Names, and phone numbers.

The collection of information in AMOSS is authorized by the following authorities: 6 U.S.C. 202; the Tariff Act of 1930, as amended, including 19 U.S.C. 1590; 19 U.S.C. 2075(b)(2)(B)(3); the Immigration and Nationality Act ("INA"), 8 U.S.C. 1101, et seq., including 8 U.S.C. 1103, 1225, and 1324; the Illegal Immigration Reform and Immigrant Responsibility Act of 1996, Public Law 104-208, Division C; Presidential Directive 47/Homeland Security Presidential Directive 16 (NSPD-47/HSPD-16); and DHS Delegation No. 7010.3 (May 11, 2006).

Information in AMOSS is used to assist CBP in identifying aircraft, vessels, or vehicles illegally entering or attempting to enter the United States, making suspicious movements, or otherwise participating in the smuggling or transshipment of narcotics, illegal contraband, illegal aliens, illegal currency, terrorist activities, or other suspected or confirmed violations of U.S. customs and/or immigration laws. Information in AMOSS is also used to assist other foreign, federal, state, and local agencies for law enforcement and general aviation security purposes.

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 U.S. Attorney Offices, or other federal agency conducting litigation or in proceedings before any court, adjudicative, or administrative body, when it is relevant or necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DHS or any component thereof;

2. Any employee 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 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 the security or confidentiality of information in the system of records has been compromised;

2. DHS has determined that as a result of the suspected or confirmed compromise, there is a risk of identity theft or fraud, harm to economic or property interests, harm to an individual, or harm to the security or integrity of this system or other systems or programs (whether maintained by DHS or another agency or entity) that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DHS’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 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 to assist in anti-terrorism efforts.

I. To an organization or person in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or when the information is relevant to the protection of life, property, or other vital interests of a person.

J. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation.

K. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil or criminal discovery, litigation, or settlement negotiations, or in response to a subpoena from a court of competent jurisdiction.

L. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when CBP is aware of a need to use relevant data for purposes of testing new technology and systems designed to enhance border security or identify other violations of law.

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 or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are stored on magnetic disc, tape, digital media and DVD/CD-ROM.

Records may be retrieved by name or other (alphanumeric) personal identifier.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

CBP has established a 15-year retention schedule beginning on the last date of the record entry or update, and plans to submit this schedule to NARA for approval.

Director, Information Systems, U.S. Customs and Border Protection, Office of Air and Marine, Air and Marine Operations Center, Riverside, California.

The Secretary of Homeland Security has exempted portions of AMOSS from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. CBP will, however, consider individual requests to determine whether or not information may be released. Moreover, no exemption shall be asserted with respect to information maintained in the system as it relates to aircraft data collected from the FAA, aside from the accounting of disclosures with law enforcement and/or intelligence agencies pursuant to the routine uses in this SORN. Thus, 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 CBP FOIA Officer, whose contact information can be found at http://www.dhs.gov/foia under "contacts." If an individual believes more than one component maintains Privacy Act records concerning him or her the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, 245 Murray Drive SW., Building 410, STOP-0655, Washington, DC 20528.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 6 CFR part 5. You must first verify your identity, meaning that you must provide your full name, current address, and date and place of birth. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Privacy Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you 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.

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 this bulleted 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.

See "Notification procedure" above.

See "Notification procedure" above.

Records containing PII are obtained from the following sources:

(1) Aircraft registration and owner information from the publicly available FAA Registration Database;

(2) Airport manager contact information, which is contained in a larger download of airport and aeronautical navigation data obtained from the FAA National Flight Data Center;

(3) Suspect information entered into the AMOC watch or event track logs received from other CBP personnel or law enforcement agencies; and

(4) Information from members of the public who call in to report suspicious activity to a tip line.

No exemption shall be asserted with respect to aircraft data collected from the FAA that is maintained in AMOSS. However, this FAA data may be shared with law enforcement and/or intelligence agencies pursuant to the above routine uses. The Privacy Act requires DHS maintain an accounting of the disclosures made pursuant to all routine uses. Disclosing the fact that a law enforcement or intelligence agency has sought particular records may affect ongoing law enforcement or intelligence activity. As such, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim an exemption from subsections (c)(3); (e)(8); and (g)(1) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS will claim exemption from subsection (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(k)(2) as is necessary and appropriate to protect this information.

The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(j)(2), has exempted all other AMOSS data (non- FAA source data) from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3) and (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)(2), has exempted this non-FAA source data in AMOSS 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 a record received from another system has been 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.

Unclassified.

Records are maintained at the CBP Headquarters in Washington, D.C., and field offices.

The categories of individuals covered by the system are DHS or CBP employees and individuals who process and ensure the compliance of goods exported from the United States. Those individuals who process and ensure the compliance of exported goods include: the filer or transmitter of the information; the exporter or U.S. Principal Party in Interest (USPPI); the freight forwarder, or other U.S. authorized agent filing for the USPPI; the shipper; the intermediate consignee, who is the agent for the exporter in the foreign country; the ultimate consignee, who is the person, party, or designee located abroad that will receive the export shipment; and individuals related to the specific commodity (e.g., for hazardous material, an emergency point of contact).

EIS contains records that include the following information:

Information about the filer, exporter, USPPI, ultimate consignee, or authorized U.S. agent, which may include:

Full name;

Tax Identification Number (TIN) or other trade identifiers;

Telephone numbers;

Email addresses;

Addresses and zip codes;

Certificate or license numbers (including licenses issued by various federal agencies);

Signatures; and

License certifier or other registration numbers.

Information about the DHS/CBP employee annotating the record or ensuring compliance with export control regulations, which may include:

Full Name;

Identification number or badge number.

Shipment information:

Mode of transportation;

Carrier;

Origin, port of export, port of unlading, and destination;

Date of export; and

Hazardous material indicator.

Commodity information:

Description, which may include the make, model, serial number, caliber, manufacturer, or hazardous material description;

Quantity;

Value;

Weight;

License, certification document, export license, or Kimberly Process Certificate numbers; ₁

₁A Kimberly Process Certificate number is a control number issued on each Kimberly Diamond Process certificate pursuant to the Clean Diamond Trade Act (2003), Pub. L. 108-19, 117 Stat. 631, 19 U.S.C. 3901-3913.

Vehicle title numbers;

Vehicle identification number (VIN);

Certificate or license registrant’s number; and

Hazardous material emergency contact name and telephone number.

Pursuant to 19 U.S.C. 482, 1467, 1581(a) and the Security and Accountability for Every (SAFE) Port Act of 2006, Pub. L. 109-347, 120 Stat. 1884 (Oct. 13, 2006); CBP has the authority to board vessels or vehicles and conduct searches of cargo; pursuant to 46 U.S.C. 60105, vessels must obtain clearance from CBP prior to departing from the United States for a foreign port or place; and pursuant to 19 U.S.C. 1431, CBP collects and reviews data for outbound cargo in EIS to ensure compliance with laws CBP is charged with enforcing. Subsection (a) of Section 343 of the Trade Act of 2002 mandated that the Secretary of Homeland Security (formerly the Secretary of Treasury) collect cargo information "through an electronic data interchange system," prior to the departure of the cargo from the United States. See 19 U.S.C. 2071 note and 19 C.F.R. 192.14. EIS includes the data collected in AES/ACE and from paper forms and documents, as CBP moves from paper to an entirely electronic collection process.

The export laws CBP enforces include:

The Tariff Act of 1930, as amended, 19 U.S.C. Chapter 4;

13 U.S.C. 301-307 (Collection and Publication of Foreign Commerce and Trade Statistics) of 1962, Pub. L. 87-826, 76 Stat. 951, as amended;

The Prosecutorial Remedies and Other Tools to End the Exploitation of Children Today (PROTECT) Act of 2003, Pub. L. 108-21, 117 Stat. 650, as amended, 18 U.S.C. 2251-2256; and 18 U.S.C. §§ 1461, 1463, 1465, and 1466 (relating to obscenity and child pornography);

The Anti Car Theft Act of 1992, Pub. L. 102-519, 106 Stat. 3384, 19 U.S.C. 1646b, 1646c;

The Clean Diamond Trade Act (2003), Pub. L. 108-19, 117 Stat. 631, 19 U.S.C. 3901-3913;

The Federal Food, Drug, and Cosmetic Act (1938), Pub. L. 75-717, 52 Stat. 1040, as amended, 21 U.S.C. 301-399;

The Controlled Substances Import and Export Act (1970), Pub. L. 91-513, 84 Stat. 1236, as amended, 21 U.S.C. 953;

The Arms Export Control Act of 1979, Pub. L. 90-629, 82 Stat. 1320, as amended, 22 U.S.C. 2778, 2780, and 2781;

The Currency and Foreign Transactions Reporting Act of 1970 (commonly referred to as the Bank Secrecy Act), Pub. L. 91-508, 84 Stat. 1122, as amended, 31 U.S.C. 5311, et seq.;

The Atomic Energy Act of 1954, Pub. L. 83-703, 68 Stat. 919, as amended, 42 U.S.C. 2011, 2077, 2122, 2131, 2138, 2155-2157;

The Trading With the Enemy Act of 1917, Pub. L. 65-91, 40 Stat. 411, as amended, 50 U.S.C. App. 1-44;

The International Emergency Economic Powers Act (1977), Pub. L. 95-223, 91 Stat. 1628, as amended, 50 U.S.C. §§ 1701-1706;

The Export Administration Regulations, 15 C.F.R. Parts 730-744

The Lanham Act (Trademark Act of 1946), Pub. L. 79-489, 60 Stat. 427, as amended, 15 U.S.C. § 1051, et seq.; and

The Endangered Species Act of 1973, Pub. L. 93-205, 87 Stat. 884, as amended, 16 U.S.C. § 1531, et seq.

The purpose of EIS is to be the central point through which CBP collects and maintains export data and related records to facilitate DHS’s law enforcement and border security missions. DHS uses EIS as a tool to further its mission to ensure the safety and security of cargo, prevent smuggling, and enforce export and other applicable U.S. laws.

Consistent with the purposes noted above, or as otherwise authorized by law, and 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. Attorney, 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 or her official capacity;

3. Any employee or former employee of DHS in his or her individual capacity 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 pursuant to a written Privacy Act waiver 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’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 who are 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 appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, license, or treaty when DHS believes the information would assist the enforcement of civil or criminal laws.

H. To the Department of Commerce, U.S. Census Bureau to fulfill its statutory mandate of collecting international trade statistics.

I. To federal agencies, pursuant to the International Trade Data System Memorandum of Understanding, consistent with the receiving agency’s legal authority to collect information pertaining to or regulating transactions to ensure cargo safety and security, or to prevent smuggling.

J. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations when DHS reasonably believes there to be a threat or potential threat to national or international security and for which the information may be relevant in countering the threat or potential threat.

K. To a federal, state, tribal, or local agency, or other appropriate entity or individual, or foreign governments, in order to provide relevant information related to intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

L. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, or when the information is relevant and necessary to the protection of life or property.

M. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law proceedings;

N. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation.

O. To a former employee of DHS, in accordance with applicable regulations, for purposes of responding to an official inquiry by a federal, state, or local government entity or professional licensing authority; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes when DHS requires information or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility;

P. To an appropriate federal, state, local, tribal, foreign, or international agency, if the information is relevant to a requesting agency's decision concerning the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit, or if the information is relevant to a DHS decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.

Q. To appropriate federal, state, local, tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital health interests of a data subject or other persons (e.g., to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats). Appropriate notice will be provided of any identified health threat or risk.

R. To the public, certain outbound manifest information, including the name and address of the shipper; general character, size, weight, and description of the cargo; the name of the vessel or carrier; the port of exit; the port of destination; and country of destination; and which may be made public pursuant to 19 U.S.C. 1431, 46 U.S.C. 60105, and 19 C.F.R. 103.31.

S. To organizations engaged in theft prevention activities regarding certain outbound manifest information regarding vehicles, as authorized pursuant to 19 U.S.C. 1627a.

T. To the news media and the public, with the approval of the Chief Privacy Officer in consultation with counsel, when there exists a legitimate public interest in the disclosure of the information or when disclosure is necessary to preserve confidence in the integrity of DHS or is necessary to demonstrate the accountability of DHS’s officers, employees, or individuals covered by the system, except to the extent it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

CBP 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, digital media, and CD-ROM.

CBP retrieves records by name, address, telephone number, search terms, or TIN.

CBP safeguards records in this system in accordance with applicable rules and policies, including all applicable DHS automated systems security and access policies. CBP imposes strict controls to minimize the risk of compromising the information it stores. CBP 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.

CBP retains EIS data, including AES/ACE data, in an active status for five years. The data is retained for an additional ten years to meet any requirements of a controlling U.S. Government agency for licensed shipments or for law enforcement purposes. The data is archived after five years and deleted after the additional ten year period, in conformance with the EIS retention procedures. CBP retains information beyond fifteen years when specific EIS data is needed for the duration of a law enforcement investigation or judicial proceeding, when the investigation or proceeding continues beyond fifteen years.

Chief, Export Control Branch, Office of Field Operations, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue NW, Washington, D.C. 20229.

The Secretary of Homeland Security has exempted this system from the notification, access, accounting, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DHS/CBP will consider individual requests to determine whether or not information may be released. 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 Headquarters or component’s Freedom of Information Act 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 FOIA Officer, Department of Homeland Security, 245 Murray Drive, S.W., Building 410, STOP-0655, Washington, D.C. 20528.

When individuals seek records about themselves from this system of records or any other Departmental system of records, their requests must conform with the Privacy Act regulations set forth in 6 C.F.R. Part 5. They must first verify their identities, meaning that they must provide their full names, current addresses, and dates and places of birth. They must sign their requests, and each of their signatures must either be notarized or be 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, they may obtain forms for this purpose from the Chief Privacy Officer and Chief FOIA Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, they should:

Explain why the Department would have information about them;

Identify which component(s) of the Department would have the information;

Specify when 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 individuals’ requests seek records pertaining to another living person, they must include a statement from that individual certifying his/her agreement for them to have access to his/her records.

Without the above information the component(s) may not be able to conduct an effective search and a request may be denied due to lack of specificity or lack of compliance with applicable regulations.

See "Notification procedure" above.

See "Notification procedure" above.

CBP obtains records from individuals who participate in exporting goods from the United States and other federal agencies, as required to administer the export laws of the United States.

DHS/CBP is not requesting an exemption with respect to information maintained in the system as it relates to data submitted by or on behalf of an individual. Information in the system may be shared pursuant to the exceptions under the Privacy Act (5 U.S.C. 552a(b)) and the above routine uses. The Privacy Act requires DHS to maintain an accounting of the disclosures made pursuant to all routines uses. Disclosing the fact that a law enforcement or intelligence agency has sought particular records may affect ongoing law enforcement activity. Therefore, pursuant to 5 U.S.C. 552a(j)(2), DHS will claim exemption from sections (c)(3), (e)(8), and (g)(1) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. In addition, pursuant to 5 U.S.C. § 552a(k)(2), DHS will claim exemption from section (c)(3) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information.

Unclassified.

CBP maintains ADIS data at DHS/CBP Headquarters in Washington, D.C., DHS/CBP data centers in Mississippi and Virginia, and in field offices that receive access to limited data.

Categories of individuals consist of aliens who have applied for entry, entered, or departed from the United States at any time. Although this system primarily consists of records pertaining to alien immigrants (including lawful permanent residents) and non-immigrants, some of these individuals may change status and become United States citizens.

Information contained in this system of records includes, but is not limited to:

•Biographic data, such as:

• Name;

• Date of birth;

• Nationality;

• Social Security number (SSN), when available; and

• Other personal descriptive data.

• Biometric indicator data, which includes, but is not limited to:

• Fingerprint identification numbers (FIN);¹ and

¹ Currently, DHS assigns a Fingerprint identification number (FIN) to collected iris images.

• Encounter identification numbers (EID).

• System-generated identification numbers: ADIS holds data from other DHS and federal agency systems, and identifies/points to the source systems of these records.

• Encounter data, such as:

• Encounter location;

• Arrival and departure dates;

• Flight information;

• Immigration status changes;

• Document types;

• Document numbers;

• Document issuance information;

• Address while in the United States; and

• Narrative information entered by immigration enforcement officers, such as references to:

• Active criminal immigration enforcement investigations;

• Immigration enforcement investigations;

• Immigration status information; and

• Details from law enforcement or security incidents or encounters.

• Entry or exit data collected by foreign governments in support of their respective entry and exit processes. Generally, records collected from foreign governments relate to individuals who have entered or exited the United States at some time, but in some instances there is no pre-existing ADIS record for the individual.

6 U.S.C. 202; 8 U.S.C. 1103, 1158, 1201, 1225, 1324, 1357, 1360, 1365a, 1365b, 1372, 1373, 1379, and 1732.

The purpose of this system is to serve as the primary repository for tracking entry and exit data throughout the immigrant and non-immigrant pre-entry, entry, status management, and exit processes. This data is collected by DHS or other federal or foreign government agencies and is used in connection with DHS missions such as national security, law enforcement, immigration, intelligence, and other DHS mission-related functions. Data is also used to provide associated testing, training, management reporting, planning and analysis, or other administrative purposes. Similar data may be collected from multiple sources to verify or supplement existing data and to ensure a high degree of data accuracy.

Specifically, DHS/CBP uses ADIS data to: (1) identify lawfully admitted non-immigrants who remain in the United States beyond their period of authorized stay (which may have a bearing on an individual’s right or authority to remain in the country, ability to receive or renew a U.S. visa, or to receive governmental benefits); (2) assist DHS in supporting immigration inspection at ports of entry (POE) by providing quick retrieval of biographic and biometric indicator data on individuals who may be inadmissible to the United States; and (3) facilitate the investigation process of individuals who may have violated their immigration status or may be subjects of interest for law enforcement or intelligence purposes.

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 consistent with 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 of the system 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’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, 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 appropriate federal, state, tribal, local, international, or foreign law enforcement agencies or other appropriate authorities charged with investigating or prosecuting a violation of or enforcing or implementing a law, rule, regulation, or order, when CBP believes the information would assist enforcement of applicable civil and criminal laws, and such disclosure is proper and consistent with the official duties of the person making the disclosure.

H. To appropriate federal, state, local, tribal, foreign, or international governmental agencies seeking information on the subjects of wants, warrants, or lookouts, or any other subject of interest, for purposes related to administering or enforcing the law, national security, or immigration, when consistent with a DHS mission-related function as determined by DHS.

I. To appropriate federal, state, local, tribal, foreign, or international government agencies charged with national security, law enforcement, immigration, intelligence, or other DHS mission-related functions in connection with the hiring, retention, or vetting by such an agency of an employee, contractor, or visitor; the issuance of a security clearance; the granting of clearance to access a secure facility; the auditing of compliance with any terms of employment or clearance; the reporting of an investigation of such an employee; the letting of a contract; or the issuance of a license, grant, loan, or other benefit by the requesting agency.

J. To an actual or potential party or to his or her attorney for the purpose of negotiation or discussion on such matters as settlement of a case or matter, or discovery proceedings.

K. To federal, state, local, tribal, foreign or international 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 assist in anti-terrorism efforts and disclosure is appropriate to the proper performance of the official duties of the person making the disclosure.

L. To approved federal, state, and local government agencies for any legally mandated purpose in accordance with an authorizing statute and when an approved Memorandum of Agreement or Computer Matching Agreement (CMA) is in place between DHS and the agency.

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 an unwarranted invasion of personal privacy.

Disclosure to consumer reporting agencies:

None.

Storage:

DHS/CBP stores records 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.

DHS/CBP retrieves records using a variety of data elements including, but not limited to, name, place and date of arrival or departure, document number, and fingerprint identification number.

DHS/CBP safeguards records in this system according to applicable rules and policies, including all applicable DHS automated systems security and access policies. DHS/CBP imposes 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.

The following proposal for retention and disposal is pending approval with the CBP Records Office and the NARA: Testing and training data will be purged when the data is no longer required. Electronic records for which the statute of limitations has expired for all criminal violations or that are older than 75 years, whichever is longer, will be purged.

ADIS System Manager, CBP, U.S. Department of Homeland Security, Washington, D.C. 20229-1038.

The Secretary of Homeland Security exempted this system from the notification, access, and amendment procedures of the Privacy Act because it may contain records from a law enforcement system. However, DHS/CBP will consider individual requests to determine whether or not information may be released. Thus, 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 CBP 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 FOIA Officer, Department of Homeland Security, 245 Murray Drive S.W., Building 410, STOP-0655, Washington, D.C. 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 FOIA 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.

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.

See "Notification procedure" above.

See "Notification procedure" above.

DHS/CBP obtains records about individuals covered by this system directly and by other federal, state, local, tribal, or foreign governments; private citizens; and public and private organizations.

ADIS data may be derived from records related to entry or exit data of foreign countries collected by foreign governments in support of their respective entry and exit processes. Generally, records collected from foreign governments relate to individuals who have entered or exited the United States at some time, but in some instances there is no pre-existing ADIS record for the individual.

The Secretary of Homeland Security exempted this system from 5 U.S.C. 552a(c)(3) and (4); (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8); (f); and (g) pursuant to 5 U.S.C. 552a(j)(2). In addition, the Secretary of Homeland Security has exempted portions of this system from 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H); and (f) pursuant to 5 U.S.C. 552a(k)(2). These exemptions apply only to the extent that records in the system are subject to exemption pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).

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 claim any additional exemptions set forth here.

Unclassified and classified. The unclassified 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.

Records are maintained at DHS/CBP Headquarters in Washington, D.C., and in field offices. Records are replicated from the operational system and maintained on the DHS unclassified and classified networks to allow for analysis and vetting consistent with the stated uses, purposes, and routine uses published in this notice.

Director, EVUS Program Management Office, evus@cbp.dhs.gov, U.S. Customs and Border Protection Headquarters, 1300 Pennsylvania Avenue NW, Washington, D.C. 20229.

Title IV of the Homeland Security Act of 2002, 6 U.S.C. 201 et seq., the Immigration and Naturalization Act, as amended, including secs. 103 (8 U.S.C. 1103), 214 (8 U.S.C. 1184), 215 (8 U.S.C. 1185), and 221 (8 U.S.C. 1201) of the Immigration and Nationality Act (INA), and 8 CFR part 2 and 8 CFR part 215; and the Travel Promotion Act of 2009, Pub. L. 111-145, 22 U.S.C. sec. 2131.

EVUS provides a mechanism through which DHS/CBP may obtain information updates from nonimmigrants who hold a passport issued by an identified country containing a U.S. nonimmigrant visa of a designated category. EVUS provides for greater efficiencies in the vetting of certain nonimmigrants by allowing DHS/CBP to identify subjects of potential interest before they depart for the United States, thereby increasing security and reducing traveler delays upon arrival at U.S. ports of entry. EVUS aids DHS/CBP in facilitating legitimate travel while also ensuring public safety and national security.

When DHS/CBP imposes a fee for EVUS enrollment, the tracking number associated with the payment information provided to Pay.gov will be stored in the Credit/Debit Card Data System (CDCDS). CDCDS is covered by DHS/CBP-003 Credit/Debit Card Data System (CDCDS), 76 FR 67755, November 2, 2011, and is used to process EVUS and third-party administrator fees and to reconcile issues regarding payment between EVUS, CDCDS, and Pay.gov. Payment information will not be used for vetting purposes and is stored separately from the EVUS enrollment data.

DHS maintains a replica of some or all of the data in EVUS on the unclassified and classified DHS networks to allow for analysis and vetting consistent with the above stated uses, purposes, and this published notice.

Categories of individuals covered by this system include: (1) nonimmigrants who hold a passport issued by an identified country containing a U.S. nonimmigrant visa of a designated category; and (2) persons, including U.S. citizens and lawful permanent residents, whose information is provided by the applicant in response to EVUS enrollment questions.

Individuals who hold a passport issued by an identified country containing a U.S. nonimmigrant visa of a designated category to obtain the required travel authorization by electronically submitting an enrollment consisting of biographic and other data elements via the EVUS website. The categories of records in EVUS include:

Full name (first, middle, and last);

Other names or aliases, if available;

Date of birth;

City and country of birth;

Gender;

Email address;

Social media identifiers, such as usernames(s) and platform(s) used, if voluntarily provided;

Telephone number (home, mobile, work, other);

Home address (address, apartment number, city, State/region);

Internet protocol (IP) address from which the EVUS application was submitted;

EVUS enrollment number;

Global Entry Program Number;

Country of residence;

Passport number;

Passport issuing country;

Passport issuance date;

Passport expiration date;

Department of Treasury Pay.gov payment tracking number (i.e., confirmation of payment; absence of payment confirmation will result in a "not cleared" determination);

Country of citizenship;

Other citizenship (country, passport number);

National identification number, if available;

Address while visiting the United States (number, street, city, State);

Emergency point of contact information (name, telephone number, email address);

U.S. point of contact (name, address, telephone number);

Parents’ names;

Current job title;

Current or previous employer name;

Current or previous employer street address; and

Current or previous employer telephone number.

The categories of records in EVUS also include responses to the following questions:

History of mental or physical disorders, drug abuse or addiction, and current communicable diseases, fevers, and respiratory illnesses;

Past arrests, criminal convictions, or illegal drug violations;

Previous engagement in terrorist activities, espionage, sabotage, or genocide;

History of fraud or misrepresentation;

Previous unauthorized employment in the United States;

Past denial of visa, or refusal or withdrawal of application for admission at a U.S. port of entry;

Previous overstay of authorized admission period in the United States;

Travel history and information relating to prior travel to or presence in Iraq or Syria, a country designated as a state sponsor of terrorism, or another country or area of concern to determine whether travel to the United States poses a law enforcement or security risk; and,

Citizenship and nationality information, with additional detail required for nationals of certain identified countries of concern.

Records are obtained from applicants and representatives (e.g., friend, relative, travel industry professional) through the online EVUS enrollment at https://www.cbp.gov/EVUS. The passport and visa information provided by the applicant and/or representative is originally derived from the U.S. Department of State.

In addition to those disclosures generally permitted under 5 U.S.C. sec. 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. sec. 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 their official capacity;

3. Any employee or former employee of DHS in their 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. sec. 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, where CBP believes the information would assist enforcement of applicable civil or criminal laws 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 is aware of a need to use relevant data, that relate to the purpose(s) stated in this System of Records notice, for purposes of testing new technology.

J. To appropriate Federal, State, local, Tribal, or foreign governmental agencies or multilateral governmental organizations for the purpose of protecting the vital health interests of a data subject or other persons (e.g., to assist such agencies or organizations in preventing exposure to or transmission of a communicable or quarantinable disease or to combat other significant public health threats; appropriate notice will be provided of any identified health threat or risk).

K. To third parties during the course of a law enforcement investigation to the extent necessary to obtain information pertinent to the investigation, provided disclosure is appropriate in the proper performance of the official duties of the officer making the disclosure.

L. To a Federal, State, Tribal, local, international, or foreign government agency or entity for the purpose of consulting with that agency or entity: (1) to assist in making a determination regarding redress for an individual in connection to a program; (2) for the purpose of verifying the identity of an individual seeking redress in connection with the operations of a DHS Component or program; or (3) for the purpose of verifying the accuracy of information submitted by an individual who has requested such redress on behalf of another individual.

M. To a Federal, State, Tribal, local, international, or foreign government agency or entity in order to provide relevant information related to intelligence or counterterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directives.

N. To the Department of State in the processing of petitions or applications for benefits under the Immigration and Nationality Act, and all other immigration and nationality laws including treaties and reciprocal agreements.

O. To an organization or individual in either the public or private sector, either foreign or domestic, when there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life or property.

P. To the carrier transporting an individual to the United States, prior to travel, in response to a request from the carrier, to verify an individual’s travel authorization status.

Q. To the Department of Treasury’s Pay.gov, for payment processing and payment reconciliation purposes.

R. To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in connection with criminal law proceedings.

S. To a Federal, State, local agency, Tribal, Territorial, or other appropriate entity or individual, through established liaison channels to selected foreign governments, in order to provide intelligence, counterintelligence, or other information for the purposes of intelligence, counterintelligence, or antiterrorism activities authorized by U.S. law, Executive Order, or other applicable national security directive.

T. To a Federal, State, local, Tribal, Territorial, or other foreign government agency or organization, or international organization, lawfully engaged in collecting law enforcement intelligence information, whether civil or criminal, or charged with investigating, prosecuting, enforcing or implementing civil or criminal laws, related rules, regulations or orders, to enable these entities to carry out their law enforcement responsibilities, including the collection of law enforcement intelligence.

U. To the Department of Treasury's Office of Foreign Assets Control (OFAC) for inclusion on the publicly issued List of Specially Designated Nationals and Blocked Persons (SDN List) of individuals and entities whose property and interests in property are blocked or otherwise affected by one or more OFAC economic sanctions programs, as well as information identifying certain property of individuals and entities subject to OFAC economic sanctions programs.

V. 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.

DHS/CBP stores records in this system electronically or on paper in secure facilities in a locked drawer behind a locked door. The records are safeguarded with passwords and encryption and may be stored on magnetic disc, tape, and digital media.

DHS/CBP may retrieve records by any of the data elements supplied by the applicant/representative.

Enrollment information submitted to EVUS is retained for 15 years. DHS/CBP ingests EVUS enrollment data into other DHS/CBP systems for vetting purposes and is stored in accordance with the other systems’ respective retention periods. For example, EVUS is ingested into the Automated Targeting System and is retained for 15 years and is also ingested into TECS where it is retained for 75 years, consistent with those systems’ retention schedules. These retention periods are based on DHS/CBP’s historical encounters with suspected terrorists and other criminals, as well as the broader expertise of the law enforcement and intelligence communities. Travel records, including historical records, are essential in assisting DHS/CBP officers with their risk-based assessment of travel indicators and identifying potential links between known and previously unidentified terrorist facilitators. Analyzing these records for these purposes allows DHS/CBP to continue to effectively identify suspect travel patterns and irregularities. If the record is linked to active law enforcement lookout records, DHS/CBP matches to enforcement activities, and/or investigations or cases (i.e., specific and credible threats; flights, travelers, and routes of concern; or other defined sets of circumstances), the record will remain accessible for the life of the law enforcement matter to support that activity and other enforcement activities that may become related.

Records replicated on the unclassified and classified networks will follow the same retention schedule.

Payment information will not be stored in EVUS but will be forwarded to Pay.gov and stored in CBP’s financial processing system, pursuant to the DHS/CBP-003 Credit/Debit Card Data System of Records notice, 76 FR 67755, November 2, 2011. When a traveler’s EVUS data is used for purposes of processing their application for admission to the United States, the EVUS data will be used to create a corresponding admission record that is covered in the DHS/CBP-016 Non-Immigrant Information System (NIIS) System of Records notice, 80 FR 13398, March 13, 2015. This corresponding admission record will be retained in accordance with the NIIS retention schedule, which is 75 years.

DHS/CBP safeguards records in this system according to applicable rules and policies, including all applicable DHS automated systems security and access policies. DHS/CBP 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.

Applicants may access their EVUS information to view and amend their enrollment by providing their EVUS enrollment number and/or name, date of birth, and visa/passport number through the EVUS website. EVUS applicants have the ability to view their EVUS status (successful enrollment, unsuccessful enrollment, pending) and submit limited updates to their travel itinerary information.

In addition, EVUS applicants and other individuals whose information is included on EVUS enrollment may submit requests and receive information maintained in this system as it relates to data submitted by or on behalf of a person who travels to the United States and crosses the border, as well as, for EVUS applicants, the resulting determination (successful enrollment, pending, unsuccessful enrollment). However, the Secretary of Homeland Security has exempted portions of this system from certain provisions of the Privacy Act of 1974 related to providing the accounting of disclosures to individuals because it is a law enforcement system. DHS/CBP will consider individual requests to determine whether information may be released. In processing requests for access to information in this system, DHS/CBP will review not only the records in the operational system but also the records that were replicated on the unclassified and classified networks and based on this notice provide appropriate access to the information.

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 Headquarters Freedom of Information Act (FOIA) Officer, whose contact information can be found at http://www.dhs.gov/foia under "Contact Information." If an individual believes more than one component maintains Privacy Act records concerning them, the individual may submit the request to the Chief Privacy Officer and Chief Freedom of Information Act Officer, Department of Homeland Security, Washington, D.C. 20528-0655, or electronically at https://www.dhs.gov/freedom-information-act-foia. 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 themself 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 their identity, meaning that the individual must provide their 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. sec. 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 or 1-866-431-0486. In addition, the individual should:

Explain why they believe the Department would have information being requested;

Identify which component(s) of the Department they believe 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 an individual’s request is seeking records pertaining to another living individual, the first individual must include a statement from that individual certifying their agreement for the first individual to access their 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.

See "Record Access Procedures" above.

See "Record Access Procedures" above.

Pursuant to 6 CFR part 5, appendix C, law enforcement and other derogatory information covered in this system is exempt from 5 U.S.C. 552a(c)(3) and (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (e)(5), and (8); (f); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Additionally, the Secretary of Homeland Security has exempted this system from the following provisions of the Privacy Act, pursuant to 5 U.S.C. 552a (k)(1) and (k)(2): 5 U.S.C. 552a(c)(3); (d)(1), (d)(2), (d)(3), and (d)(4); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f).

Despite the exemptions taken on this system of records, DHS/CBP is not taking any exemption from subsection (d) with respect to information maintained in the system as it relates to data submitted by or on behalf of a person who travels to visit the United States and crosses the border, nor shall an exemption be asserted with respect to the resulting determination (authorized to travel, pending, or not authorized to travel). However, pursuant to 5 U.S.C. sec. 552a(j)(2), DHS/CBP plans to exempt such information in this system from sections (c)(3), (e)(8), and (g) of the Privacy Act of 1974, as amended, as is necessary and appropriate to protect this information. Further, DHS will claim exemption from sec. (c)(3) of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. sec. 552a(k)(2) as is necessary and appropriate to protect this information. CBP will not disclose the fact that a law enforcement or intelligence agency has sought particular records because it may affect ongoing law enforcement activities.

When this system receives a record from another system exempted in that source system under 5 U.S.C. sec. 552a(j) or (k), DHS/CBP 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. For instance, as part of the vetting process, this system may incorporate records from DHS/CBP’s Automated Targeting System, and all exemptions for DHS/CBP’s Automated Targeting System of Records notice, described and referenced herein, carry forward and will be claimed by DHS/CBP.

84 FR 30751 (June 27, 2019); 81 FR 60371 (September 1, 2016).

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

DHS/CBP primarily maintains records at the CBP Headquarters offices in Washington, D.C. and at Office of Border Patrol Sector and Station locations. BPER are primarily collected and or maintained within three information technology systems (E3 Portal, U.S. Immigration and Customs Enforcement (ICE) EID, and the ICAD database), however these records may also be stored locally by Sector or Station offices, checkpoints, mobile information collection devices, and border surveillance technologies. This system of record notice encompasses the categories of information currently input and or maintained in E3, EID, and ICAD. On behalf of CBP, DHS stores BPER biometric records in the DHS biometrics repository, OBIM IDENT.

DHS/CBP also replicates records from these operational systems and maintains them on other DHS unclassified and classified systems and networks.

Categories of individuals covered by this system of records include:

1. Individuals encountered, apprehended, detained, or removed in relation to border crossings, checkpoint operations, law enforcement actions and investigations, inspections, patrols, examinations, legal proceedings, or other operations that implement and enforce the Immigration and Nationality Act (INA) (8 U.S.C. 1101 et seq.) and related treaties, statutes, orders, and regulations;

2. Individuals wanted by other law enforcement agencies, including federal, state, local, tribal, foreign, and international, or individuals who are the subject of inquiries, lookouts, or notices by another agency or a foreign government; and

3. Individuals who contact DHS/CBP with complaints, tips, leads, or other information regarding a violation, or potential violation, of laws enforced by DHS/CBP.

Categories of records in this system include:

1. Biographic, descriptive, historical, and other identifying data, including but not limited to: names; aliases; fingerprint identification number (FIN) or other biometric identifying numbers; date and place of birth; passport and other travel or identification document information; nationality; aliases; Alien Registration Number (A-Number); Social Security number (SSN); contact or location information (e.g., known or possible addresses, phone numbers); employment, educational, immigration, and criminal history; marital status; occupation; height, weight, eye color, hair color, and other unique physical characteristics (e.g., scars and tattoos). Identifying information also includes vehicle, vessel, and aircraft identifying information, such as license plate numbers, even if not directly related to an individual at the time of collection.

2. Biometric data including: fingerprints, iris scans, blood type, and photographs. Biometric information is obtained directly from individuals, and from matches against other Government biometric databases. Biometric data is not normally collected for individuals under the age of 14.

3. Geolocation imagery and coordinates including: sensor alerts and camera images of individuals, vehicles, vessels, or aircraft and the time, date, and location of the image.

4. Enforcement-related data including: case number, record number, and other data describing an event involving alleged violations of criminal, immigration, or other laws (location, date, time, event category, types of criminal or immigration law violations alleged, types of property involved, use of violence, weapons, or assault against DHS personnel or third parties, attempted escape, and other related information); CBP encounter management information, including: category (event categories describe broad categories of criminal law enforcement, such as smuggling and human trafficking), agent or officer, location of officer or officer’s vehicle, date/time initiated, date/time completed, assets used for encounter (bike, horse, vehicle, etc.), results of the encounter, and any agent or officer notes and comments.

5. Data on aliens in custody or detained, including: transportation information, identification numbers, custodial actions (such as meals, conditions of detainee cell, overall detainee care information), custodial property, information related to detainers, book-in/book-out date and time, and other alerts.

6. Limited health information gathered during a temporary detention in a CBP facility or otherwise relevant to transportation requirements.

7. Contact, biographical, and identifying data of relatives, associates of an alien (which may include information for individuals such as an attorney), or witnesses to an encounter, but not limited to: name, date of birth, place of birth, address, telephone number, and business or agency name.

8. Alerts, typically containing biographic but occasionally biometric information, concerning individuals who are the subject of inquiries, lookouts, or notices by another federal agency, state, local, tribal, territorial, or foreign government.