83 FR 48645 - Privacy Act of 1974; System of Records

DEPARTMENT OF HOMELAND SECURITY

Federal Register Volume 83, Issue 187 (September 26, 2018)

In accordance with the Privacy Act of 1974, the Department of Homeland Security (DHS) proposes to modify a current DHS system of records titled, ``DHS/All-016 Correspondence Records System of Records.'' This system of records allows the Department to collect and maintain correspondence records. The Department is updating this system of records to reflect changes to the categories of individuals, categories of records, and routine uses. Specifically, these changes include expanding the categories of individuals to include third party subjects of correspondence who may not be the sender or recipient. The Department is also expanding the categories of records to permit the collection of an individual's phone number, call and customer service center records, receipt number, case numbers relevant to the correspondence, and account IDs associated with correspondence between the Department and the responding party. DHS is updating routine use (E) and adding routine use (F) to comply with new policies pertaining to data breach procedures. The Department is making non-substantive edits to the routine uses to align with previously published Department systems of records notices (SORNs). Lastly, this notice includes non- substantive changes to simplify the formatting and text of the previously published notice. This modified system will be included in the DHS inventory of record systems.

[Federal Register Volume 83, Number 187 (Wednesday, September 26, 2018)]
[Notices]
[Pages 48645-48647]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-20876]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2018-0029]


Privacy Act of 1974; System of Records

AGENCY: Department of Homeland Security.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to modify a current DHS system of 
records titled, ``DHS/All-016 Correspondence Records System of 
Records.'' This system of records allows the Department to collect and 
maintain correspondence records. The Department is updating this system 
of records to reflect changes to the categories of individuals, 
categories of records, and routine uses. Specifically, these changes 
include expanding the categories of individuals to include third party 
subjects of correspondence who may not be the sender or recipient. The 
Department is also expanding the categories of records to permit the 
collection of an individual's phone number, call and customer service 
center records, receipt number, case numbers relevant to the 
correspondence, and account IDs associated with correspondence between 
the Department and the responding party. DHS is updating routine use 
(E) and adding routine use (F) to comply with new policies pertaining 
to data breach procedures. The Department is making non-substantive 
edits to the routine uses to align with previously published Department 
systems of records notices (SORNs). Lastly, this notice includes non-
substantive changes to simplify the formatting and text of the 
previously published notice. This modified system will be included in 
the DHS inventory of record systems.

DATES: Submit comments on or before October 26, 2018. This modified 
system will be effective upon publication. New or modified routine uses 
will become effective October 26, 2018.

ADDRESSES: You may submit comments, identified by docket number DHS-
2018-0029 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Philip S. Kaplan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528-0655.
    Instructions: All submissions received must include the agency name 
and docket number DHS-2017-0029. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general and privacy questions, 
please contact: Philip S. Kaplan, [email protected], 202-343-1717, 
Chief Privacy Officer, Privacy Office, Department of Homeland Security, 
Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    DHS is updating this Department-wide SORN under the Privacy Act for 
DHS correspondence records. DHS will use this system to collect and 
maintain correspondence records submitted by the general public, DHS 
personnel, and others. This SORN does not apply to correspondence 
related to Freedom of Information Act (FOIA) or Privacy Act requests, 
or to correspondence received in the course of standard immigration 
benefit application processes. This SORN also does not cover the 
underlying records associated with a response to correspondence.
    This system allows DHS to collect and maintain incoming information 
and responses to inquiries, comments, or complaints made to the 
Department. Categories of individuals, categories of records, and 
routine uses of this system of records notice have been updated to 
better reflect the Department's correspondence record systems. This 
system modification will expand the categories of individuals to cover 
third parties whose information is submitted by the sender or recipient 
through an inquiry, comment, or complaint. DHS may collect and respond 
to this information from a third party. However, any investigations or 
awards initiated as a consequence of a third party's correspondence 
would not be covered under this SORN. DHS is also expanding the 
categories of records to permit the collection of an individual's phone 
number, call and customer service center records, receipt number, and 
case or account number associated or referenced in the correspondence. 
DHS is modifying routine use (E) and adding routine use (F) to conform 
to Office of Management and Budget (OMB) Memorandum M-17-12, 
``Preparing for and Responding to a Breach of Personally Identifiable 
Information'' (Jan. 3, 2017). All following routine uses are being re-
lettered to account for the additional routine use. Non-substantive 
language changes have been made to additional routine uses to clarify 
disclosure policies that are standard across DHS and to align with 
previously published DHS SORNs. This modified system will be included 
in DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which Federal Government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. Additionally, the Judicial Redress Act (JRA) 
provides a statutory right to covered persons to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to OMB and to Congress.
SYSTEM NAME AND NUMBER:
    Department of Homeland Security (DHS)/ALL-016 Department of 
Homeland Security Correspondence Records System of Records.

SECURITY CLASSIFICATION:
    Unclassified.

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

[[Page 48646]]

SYSTEM MANAGER(S):
    For DHS Headquarters, the System Manager is the Chief Information 
Officer, [email protected], 202-447-3735, Department of Homeland Security, 
Washington, DC 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.''

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to manage all correspondence 
including incoming information and responses to inquiries, comments, or 
complaints made to DHS.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
     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.

RECORD SOURCE CATEGORIES:
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including Offices of the 
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

[[Page 48647]]

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.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, and digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by individual name and date of 
correspondence.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS safeguards records in this system according to applicable rules 
and policies, including all applicable DHS automated systems security 
and access policies. DHS has imposed strict controls to minimize the 
risk of compromising the information that is being stored. Access to 
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.

RECORD ACCESS PROCEDURES:
    Individuals seeking access to and notification of any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Chief Privacy Officer and 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, DC 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. 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.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, see 
``Record Access Procedures'' above, and 6 CFR part 5.

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    73 FR 66657.

Philip S. Kaplan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2018-20876 Filed 9-25-18; 8:45 am]
 BILLING CODE 9110-9B-P