[Federal Register Volume 76, Number 45 (Tuesday, March 8, 2011)]
[Notices]
[Pages 12745-12749]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-5100]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2010-0055]


Privacy Act of 1974; Department of Homeland Security Office of 
Operations Coordination and Planning--002 National Operations Center 
Tracker and Senior Watch Officer Logs System of Records

AGENCY: Privacy Office, DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to establish a new Department of Homeland 
Security system of records notice titled, ``Department of Homeland 
Security Office of Operations Coordination and Planning--002 National 
Operations Center Tracker and Senior Watch Officer Logs System of 
Records.'' This system of records consists of a National Operations 
Center and Senior Watch Officer Tracker Logs. The Senior Watch Officer 
Tracker Log is a synopsis, in the form of a word document, that records 
all significant information received and actions taken by the Senior 
Watch Officer during the shift. The National Operations Center Tracker 
Log is the underlying cumulative repository of responses to all-threats 
and all-hazards, man-made disasters and acts of terrorism, and natural 
disasters, and requests for information that require a National 
Operations Center tracking number. The National Operations Center 
tracker numbers are used in a wide variety of products originated by 
the Department or external sources. They are shared

[[Page 12746]]

inside and outside of the Department and serve as shorthand for tying 
data, used in internal and external reports, and agency actions to the 
event that caused them. The National Operations Center Tracker Log 
contains a copy of all documents and information that is requested, 
shared, and/or researched between all National Operations Center Watch 
Officer Desks. Because of the depth and breadth of information that the 
NOC receives, categories of individuals and records are broad so as to 
cover the possibility of this personally identifiable information 
entering this Privacy Act system of records within the NOC.
    Some of the records in this system are in part transferred from the 
Department of Homeland Security/Information Analysis and Infrastructure 
Protection--001 Homeland Security Operations Center Database system of 
records, April 15, 2005, with the overall intent of narrowing the focus 
of these records to the specific purpose outlined in this system of 
records notice. It is the Department's intent, after all records are 
transferred into this and other system of records, to retire the 
Department of Homeland Security/Information Analysis and Infrastructure 
Protection--001 Homeland Security Operations Center Database system of 
records.
    The Department of Homeland Security has issued a Notice of Proposed 
Rulemaking consistent with this system of records elsewhere in the 
Federal Register. This newly established system will be included in the 
Department of Homeland Security's inventory of record systems.

DATES: Submit comments on or before April 7, 2011. This new system will 
be effective April 7, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2010-0055 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 703-483-2999.
     Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
     Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change to http://www.regulations.gov, 
including any personal information provided.
     Docket: For access to the docket to read background 
documents or comments received go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Michael Page (202-357-7626), Privacy Point of Contact, Office of 
Operations Coordination and Planning, Department of Homeland Security, 
Washington, DC 20528. For privacy issues please contact: Mary Ellen 
Callahan (703-235-0780), Chief Privacy Officer, Privacy Office, 
Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION: 

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) Office of Operations Coordination 
and Planning (OPS) proposes to establish a new DHS system of records 
titled, ``DHS/OPS--002 National Operations Center Tracker and Senior 
Watch Officer Logs System of Records.''
    The primary role of the Senior Watch Officer (SWO) and the Watch 
Officer Desks, is to provide technical assistance directly in support 
of the DHS core missions to provide situational awareness and establish 
a common operating picture for Federal, State, local, Tribal, and 
territorial agencies and organizations; foreign governments and 
international organizations; domestic security and emergency management 
officials; and private sector entities or individuals as it relates to 
all-threats and all-hazards, man-made disasters and acts of terrorism, 
and natural disasters, and ensure that information reaches government 
decision-makers.
    The SWO Tracker Log is a synopsis, in the form of a word document, 
that records all significant information received and actions taken 
during a shift. The NOC Tracker Log is the underlying cumulative 
repository of all NOC responses to threats, incidents, significant 
activities and Requests for Information (RFI) that require a NOC 
tracking number. The NOC Tracker Log contains a copy of all documents 
and information that is requested, shared, and/or researched between 
all NOC watch stander desks.
    The purpose of this system is to tie together the high volume of 
information, requests and responses for information, and data 
collection relevant to discreet events and issues as they arise, and 
making that information easily accessible in an organized form should a 
future event benefit from previously gathered information. The tracker 
numbers are used in a wide variety of products originated by the DHS/
OPS NOC. They are shared inside and outside of DHS and serve as 
shorthand for tying data, use in internal and external reports, and 
agency actions to the event that caused them. DHS is authorized to 
implement this program primarily through 5 U.S.C. 301, 552, 552a; 44 
U.S.C. 3101; 6 U.S.C. 121; Sections 201 and 514 of the Homeland 
Security Act of 2002, as amended; Section 520 of the Post Katrina 
Emergency Management Reform Act; 44 U.S.C. 3101; Executive Order (E.O.) 
12958; E.O. 9397; E.O. 12333; E.O. 13356; E.O. 13388; and Homeland 
Security Presidential Directive 5. This system has an effect on 
individual privacy that is balanced by the need to fuse information 
together and tracking homeland security information coming into and 
going out of OPS, including the NOC. Routine uses contained in this 
notice include sharing with the Department of Justice (DOJ) for legal 
advice and representation; to a congressional office at the request of 
an individual; to the National Archives and Records Administration 
(NARA) for records management; to contractors in support of their 
contract assignment to DHS; to appropriate Federal, State, Tribal, 
local, international, foreign agency, or other appropriate entity 
including the privacy sector in their role aiding OPS in their mission; 
to agencies, organizations or individuals for the purpose of audit; to 
agencies, entities, or persons during a security or information 
compromise or risk; to an agency, organization, or individual when 
there could potentially be a risk to an individual; and to the news 
media in the interest of the public. None of the information collected 
by this system is done so under the Paperwork Reduction Act (PRA).
    Consistent with DHS's information sharing mission, information 
stored in the DHS/OPS--002 National Operations Center and Senior Watch 
Officer Tracker Log System of Records may be shared with other DHS 
components, as well as appropriate Federal, State, local, Tribal, and 
territorial agencies and organizations; foreign governments and 
international organizations; domestic security and emergency management 
officials; and private sector entities or individuals. This sharing 
will only take place after DHS determines that the receiving component 
or agency has a need to know the information to carry out national 
security, law enforcement, immigration, intelligence, or other 
functions consistent with the routine uses set forth in this system of 
records notice. DHS has issued a Notice of Proposed Rulemaking 
consistent with this system of records elsewhere in the Federal 
Register. This newly established system will be included in DHS's 
inventory of record systems.

[[Page 12747]]

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses, and disseminates 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 for 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 United States citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of DHS by complying with DHS Privacy Act regulations, 6 CFR 
Part 5.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, and the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses to 
which their records are put, and to assist individuals to more easily 
find such files within the agency. Below is the description of the DHS/
OPS--002 National Operations Center and Senior Watch Officer Tracker 
Log System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
System of Records
DHS/OPS--002

System name:
    DHS/OPS--002 National Operations Center Tracker and Senior Watch 
Officer Logs System of Records.

Security classification:
    Unclassified, For Official Use Only, Law Enforcement Sensitive, and 
Classified.

System location:
    Records are maintained at the Department of Homeland Security (DHS) 
Office of Operations Coordination and Planning (OPS) National 
Operations Center (NOC) Headquarters in Washington, DC and field 
locations.

Categories of individuals covered by the system:
    May include any individual whose interactions with OPS or the NOC 
are tracked by the NOC or the Senior Watch Officer. Those individuals 
may include: Federal, State, local, Tribal, and territorial officials; 
foreign government and international officials; domestic security and 
emergency management officials; private sector individuals; and members 
of the general public or international community.

Categories of records in the system:
     Full name;
     Date and place of birth;
     Social Security number (many State, local, Tribal, 
territorial, domestic security, emergency management, and private 
sector individuals, organizations and agencies collect/use SSN's as an 
identifier and may be shared with the Department);
     Citizenship;
     Contact information including phone numbers, e-mail 
addresses, and address;
     Physical description including height, weight, eye and 
hair color;
     Distinguishing marks including scars, marks, and tattoos;
     Automobile registration information;
     Watch list information;
     Medical records;
     Financial information;
     Results of intelligence analysis and reporting;
     Ongoing law enforcement investigative information;
     Historical law enforcement information;
     Information systems security analysis and reporting;
     Public source data including commercial databases, media, 
newspapers, and broadcast transcripts;
     Intelligence information including links to terrorism, law 
enforcement and any criminal and/or incident activity, and the date 
information is submitted;
     Intelligence and law enforcement information obtained from 
Federal, State, local, Tribal, and territorial agencies and 
organizations, foreign governments and international organizations; law 
enforcement, domestic security and emergency management officials; and 
private sector entities or individuals;
     Information provided by individuals, regardless of the 
medium, used to submit the information;
     Information obtained from the Federal Bureau of 
Investigation's (FBI) Terrorist Screening Center (TSC), or on terrorist 
watchlists, about individuals known or reasonably suspected to be 
engaged in conduct constituting, preparing for, aiding, or relating to 
terrorism;
     Data about the providers of information, including the 
means of transmission of the data; (e.g. where it is determined that 
maintaining the identity of the source of investigative lead 
information may be necessary to provide an indicator of the reliability 
and validity of the data provided and to support follow-on 
investigative purposes relevant and necessary to a legitimate law 
enforcement or homeland security matter, such data may likely warrant 
retention. Absent such a need, no information on the provider of the 
information would be maintained);
     National disaster threat and activity information;
     The date and time national disaster information is 
submitted, and the name of the contributing/submitting individual or 
agency;
     Limited data concerning the providers of information, 
including the means of transmission of the data may also be retained 
where necessary. Such information on other than criminal suspects or 
subjects is accepted and maintained only to the extent that the 
information provides descriptive matters relevant to a criminal subject 
or organization and has been deemed factually accurate and relevant to 
ongoing homeland security situational awareness and monitoring efforts;
     Name of the contributing or submitting agency, 
organization, or individual.

Authority for maintenance of the system:
    5 U.S.C. 301, 552, 552a; 44 U.S.C. 3101; 6 U.S.C. 121; Sections 201 
and 514 of the Homeland Security Act of 2002, as amended; Section 520 
of the Post Katrina Emergency Management Reform Act; 44 U.S.C. 3101; 
Executive Order (E.O.) 12958; E.O. 9397; E.O. 12333; E.O. 13356; E.O. 
13388; and Homeland Security Presidential Directive 5.

Purpose(s):
    The purpose of the system, including the NOC Tracker Log, the SWO 
Log, their corresponding tracker numbers, and the Incident Tracking 
Index is to tie together the high volume of information, requests and 
responses for information, and data collection relevant to discreet 
events and issues as they arise, and to make that information easily 
accessible in an organized form should a future event benefit from 
previously gathered information. The tracker numbers are

[[Page 12748]]

used in a wide variety of products originated by the DHS/OPS NOC.

Routine uses of records maintained in the system, including categories 
of users and the 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 (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 
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 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
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.

Retrievability:
    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, some personal information is captured. Personal 
data may be retrieved by NOC or SWO tracker numbers, name, social 
security number and other identifiers listed under the Categories of 
Records Section. Most information is stored as free text and any word, 
phrase, or number is searchable.

Safeguards:
    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.

Retention and disposal:
    In accordance with NARA approved records schedule N1-563-08-23, 
files are maintained through the end of the calendar year in which the 
data is no longer needed for current operational use and deleted or 
destroyed 20 years after.

System Manager and address:
    Director, Office of Operations Coordination and Planning, National 
Operations Center, Department of Homeland Security, Washington, DC 
20528.

Notification procedure:
    The Secretary of Homeland Security is proposing to exempt this 
system from the notification, access, and amendment procedures of the 
Privacy Act because it is a law enforcement system. However, DHS/OPS 
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 OPS FOIA 
Officer, whose 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 Departmental system of records your request must conform with 
the Privacy

[[Page 12749]]

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.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Information contained in this system is obtained from subject 
individuals, other Federal, State, local and Tribal agencies and 
organizations, domestic and foreign media, including periodicals, 
newspapers, and broadcast transcripts, public and classified data 
systems, reporting individuals, intelligence source documents, 
investigative reports, and correspondence.

Exemptions claimed for the system:
    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) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3).

    Dated: March 2, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-5100 Filed 3-7-11; 8:45 am]
BILLING CODE 9110-9A-P