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

DEPARTMENT OF HOMELAND SECURITY

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

Page Range		48645-48647
FR Document		2018-20876

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 Issue 187 (Wednesday, September 26, 2018)

[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, Privacy@hq.dhs.gov, 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, cio@hq.dhs.gov, 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

Document Created: 2018-09-26 00:46:29
Document Modified: 2018-09-26 00:46:29

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of a modified system of records.
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.
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.
FR Citation		83 FR 48645