[Federal Register Volume 80, Number 14 (Thursday, January 22, 2015)]
[Notices]
[Pages 3241-3245]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-00941]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2014-0081]
Privacy Act of 1974; Department of Homeland Security/Federal
Emergency Management Agency-011 Training and Exercise Program Records
System of Records
AGENCY: Privacy Office, Department of Homeland Security.
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 update and reissue a current Department
of Homeland Security system of records titled, ``Department of Homeland
Security/Federal Emergency Management Agency-011 Training and Exercise
Program Records System of Records.'' This system of records allows the
Department of Homeland Security/Federal Emergency Management Agency to
collect and maintain records on its training and exercise programs.
This system of records includes personally identifiable information of
current and former Federal Emergency Management Agency employees and
contractors, current and former members of the first responder and
emergency management communities, and other individuals who have
applied or registered to participate in training and exercise programs
or who have assisted with Federal Emergency Management Agency's
training and exercise programs. As a result of a biennial review of
this system, DHS updated the (1) security classification, (2) system
location, (3) purpose, and (4) routine uses of information. The Final
Rule to exempt this system of records from certain provisions of the
Privacy Act has not been changed and remains in effect. Additionally,
this notice includes non-substantive changes to simplify the formatting
and text of the previously published notice. This updated system will
be included in the Department of Homeland Security's inventory of
record systems.
DATES: Submit comments on or before February 23, 2015. This updated
system will be effective February 23, 2015.
ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0081 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: Karen L. Neuman, 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, please visit http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Eric M. Leckey, (202) 212-5100, Privacy Officer, Federal Emergency
Management Agency, Department of Homeland Security, Washington, DC
20478. For privacy questions, please contact: Karen L. Neuman, (202)
343-1717, 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)/Federal Emergency Management
Agency (FEMA) proposes to update and reissue a current DHS system of
records titled, ``DHS/FEMA-011 Training and Exercise Program Records
System of Records.''
In support of its mission, FEMA's Office of Protection and National
Preparedness (PNP), the National Processing Service Centers (NPSC), the
United States Fire Administration (USFA), the Federal Insurance
Mitigation Administration (FIMA), and the Mission Support program
offices sponsor a wide range of training and exercise programs for
FEMA's employees and contractors as well as its partners in the first
responder, emergency management, and flood insurance communities. FEMA
provides training to first responder and emergency management personnel
from federal, state, local, tribal, territorial, foreign, or
international government agencies such as fire, medical, emergency
management, and law enforcement professionals. FEMA also provides
training to nongovernmental and volunteer disaster relief
organizations, as well as certain private sector professionals such as
flood insurance representatives. These programs train participants on
situational awareness and emergency management skills necessary to
effectively prevent, respond to, recover from, and mitigate all
hazards.
FEMA established this system of records in order to collect and
maintain personally identifiable information (PII) on individuals who
apply or register for FEMA training and exercise programs and
information about the organizations employing or sponsoring these
individuals. FEMA uses this information to facilitate an individual's
participation and determine eligibility for training, housing, and
stipend reimbursement programs. FEMA also uses this information to
compile statistical information, administer, and measure effectiveness
of FEMA training and exercise programs. FEMA uses the
[[Page 3242]]
Social Security number (SSN) to ensure accuracy of academic records,
reimburse funds to registered students, and to distinguish the identity
of individuals with identical names and birth dates. The type and
amount of PII FEMA collects varies depending on the programs. FEMA
collects this information through paper forms and electronically
through information technology (IT) systems.
As a result of a biennial review of this system, FEMA updated the
following categories within this system of records. First, the security
classification was updated to include classified information. Second,
FEMA updated the system location to include records that may be located
in IT systems. Third, FEMA amended the purpose to include expense
reimbursements to program participants. Finally, FEMA updated routine
use (C) to specify that FEMA may share information with the General
Services Administration (GSA); modified routine uses (D) and (E) for
clarity; and added routine use (P) to allow information to be shared
with other federal agencies when DHS/FEMA has an agreement to use
another federal agency's IT system for purposes consistent with the
original collection of the information as detailed in this system of
records notice.
The purpose of this system is to facilitate registration for,
participation in, and completion and documentation of training and
exercise programs sponsored by FEMA in support of its mission.
FEMA collects, uses, maintains, retrieves, and disseminates the
records within this system under the authority of the Robert T.
Stafford Disaster Relief and Emergency Assistance Act, as amended, 42
U.S.C. 5121; the Federal Fire Prevention and Control Act of 1974, as
amended, 15 U.S.C. 2201; 44 U.S.C. 3101; 6 U.S.C. 748; Homeland
Security Presidential Directives, and several Executive Orders, as
described in the authorities section of this notice. This updated
system of records strengthens privacy protections and provides greater
transparency regarding FEMA's training and exercise records by
encompassing the full range of the Agency's training and exercise
programs into a single system of records. FEMA limits access to the
information in this system by verifying the status and ``need to know''
of individuals registering for and participating in the Agency's
training and exercise programs to further safeguard individuals'
privacy.
The updated routine uses are compatible with the purpose for
original collection of the information; FEMA shares exercise
information with a federal agency when FEMA needs to use the recipient
agency's IT system is for registration and participation in FEMA's
training and exercise programs.
FEMA also collects, uses, maintains, retrieves, and disseminates
information about individuals who register or apply for training and
exercise programs, including DHS employees and contractors, other
federal government employees, and volunteers or members of the first
responder or emergency management communities. FEMA conducts and hosts
training and exercise programs to foster the development of mission
critical skills among these communities through participation in
programs. FEMA shares exercise and training information with federal,
state, local, tribal, territorial, foreign, or international government
agencies, nongovernmental/volunteer organizations, and private sector
organizations when necessary to facilitate the development of training
and exercise programs, coordinate, facilitate, and track participation
in training and exercise programs, and for statistical purposes. FEMA
also shares academic records such as transcripts with educational
institutions; however, FEMA's information sharing with education
institutions for transcript purposes only takes place if it is
requested by the student.
FEMA updated the security classification to include classified
information. FEMA's exercises may involve classified locations or
information to fully test the nation's disaster preparedness and
response capability. Additionally, FEMA may use other federal agency's
IT systems for exercises that may be categorized unclassified and
classified.
Consistent with DHS's information-sharing mission, information
stored in the DHS/FEMA-011 Training and Exercise Program Records may be
shared with other DHS components that have a need to know the
information to carry out their national security, law enforcement,
immigration, intelligence, or other homeland security functions. In
addition, information may be shared with appropriate federal, state,
local, tribal, territorial, foreign, or international government
agencies consistent with the routine uses set forth in this system of
records notice.
Additionally, the Final Rule to exempt this system of records from
certain provisions of the Privacy Act remains unchanged and in effect.
This updated 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. As a matter of policy, DHS extends administrative
Privacy Act protections to all individuals when systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors.
Below is the description of the DHS/FEMA-011 Training and Exercise
Program Records 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
Department of Homeland Security (DHS)/Federal Emergency Management
Agency (FEMA)-011
System name:
DHS/FEMA-011 Training and Exercise Program Records.
Security classification:
Classified and Unclassified.
System location:
Records are maintained at the FEMA Headquarters in Washington, DC
and field offices. Additionally, records are maintained in various FEMA
training and exercise information technology (IT) systems such as the
National Emergency Training Center (NETC) Admissions System, the Center
for Domestic Preparedness (CDP) Learning Management System, the
Independent Study Database System (ISDBS), the FEMA Employee Knowledge
Center (FEKC), and the Radiological Emergency Preparedness Program
Online Operation Center.
Categories of individuals covered by the system:
Any individual who has applied for, participated in, been named as
a reference for, or assisted with a training or exercise program
recommended, sponsored, or operated by FEMA. This
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includes current and former employees of DHS, any other federal
government employee or contractor, volunteers, other federal, state,
local, tribal, territorial, foreign, or international government
agencies, and non-profit/non-governmental personnel. The categories of
individuals also include individuals from the private sector and other
participants in FEMA training and exercise programs such as
instructors, developers, observers, and interpreters.
Categories of records in the system:
Individual's name (First, Middle, Last, Suffix);
Date of birth;
Social Security number (SSN);
Alternate unique number assigned in lieu of an SSN (if the
individual does not have a SSN or doesn't know his or her SSN);
Sex;
Race and ethnicity (for statistical purposes only);
U.S. Citizenship;
City and country of birth (collected for non-U.S.
citizens);
Information related to disabilities requiring special
assistance;
Phone numbers;
Email addresses;
Addresses;
Military Rank/Prefix;
Unique user ID (for IT system registration);
Individual's password (for IT system access; only
accessible by the individual; disclosed as part of the authentication
process);
Individual's security questions and answers (for IT system
access);
Individual's employer or organization being represented;
Individual's employment status;
Individual's position title;
Individual's professional certifications;
Category of position;
Years of experience;
Type of experience;
Primary responsibility;
Reason for applying/registering for training/exercise;
Reference point of contact name;
Reference point of contact phone number;
Reference point of contact addresses;
Relationship of individual to the reference point of
contact;
Organization type/Jurisdiction (e.g., federal, state,
local, tribal, territorial, foreign, or international government
agencies);
Organization identification number (non-proprietary);
Number of staff in the organization;
Size of population served by the organization;
Nomination forms;
Registration/Application forms;
Training/Exercise rosters and sign-in sheets;
Training instructor and exercise role lists;
Training/exercise schedules, including location and venue,
type, target capabilities, and mission;
Financial information, such as bank routing and account
number;
Payment records, including financial, travel, and related
expenditures;
Examination and testing materials;
Grades and student evaluations;
Course and instructor critiques; and
Reports pertaining to and resulting from training and
exercises.
Authority for maintenance of the system:
42 U.S.C. 5196; Federal Fire Prevention and Control Act of 1974, as
amended, 15 U.S.C. 2201; 44 U.S.C. 3101-3106; 6 U.S.C. 748; Homeland
Security Presidential Directive 8; Homeland Security Presidential
Directive 5; the Reorganization Plan No. 3 of 1978, 5 U.S.C. 301; 31
U.S.C. 3716; 31 U.S.C. 321, Executive Order No. 13111; Executive Order
No. 12148; Executive Order No. 12127; 15 U.S.C. 2206; Chief Financial
Officer Bulletin, Financial and Acquisition Management Division, Number
117, June 23, 2003, Subject: Invitational Travel; Executive Order No.
9397 amended by Executive Order No. 13478; and 31 U.S.C. 7701 (1996)
Authorize the Collection of the Social Security number.
Purpose(s):
The purpose of this system is to facilitate registration,
participation, completion, and documentation of FEMA's training and
exercise programs, including participant housing and stipend
reimbursement programs.
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 (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. 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, local, tribal, territorial,
foreign, or international government agency, law enforcement agency, or
other appropriate authority charged with investigating or prosecuting a
violation
[[Page 3244]]
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, state, local, tribal, territorial, foreign, or
international government agency or entity for the purpose of consulting
with that agency or entity (a) to assist in making a determination
regarding access to or amendment of information, or (b) 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 federal, state, local, tribal, territorial, foreign, or
international government agency, if necessary to obtain information
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.
J. To federal, state, local, tribal, territorial, foreign, or
international government agency, in response to its request, in
connection with the hiring of a prospective employee or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, the issuance
of a license, grant, or other benefit by the requesting agency, or for
general inquiries by a state agency or state entity in connection with
monitoring status and activities of its employees, to the extent that
the information is relevant and necessary to the requesting agency's
role and authority on such decisions and matters.
K. To physician(s) in order to provide information about a student
or participant in need of medical care and are unable to provide the
information him- or herself.
L. To members of the National Fire Academy (NFA) and Emergency
Management Institute (EMI) Boards of Visitors federal advisory
committees for the purpose of evaluating NFA's and EMI's programmatic
statistics.
M. To sponsoring federal, state, local, tribal, territorial,
foreign, or international government agencies to update/evaluate
statistics on participation in FEMA-sponsored educational programs.
N. To the Department of Treasury for the processing and issuance of
stipend payments to reimburse training, exercise, or conference related
expenses.
O. To federal, state, local, tribal, territorial, foreign, or
international government agencies educational institutions for the
maintenance/updating of student academic records (such as transcripts).
P. To other federal agencies that support FEMA's training and
exercise efforts through use of IT system(s).
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.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
FEMA stores records in this system electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
may be stored on magnetic disc, tape, and digital media.
Retrievability:
Records may be retrieved by an individual's name, SSN, or unique
user ID.
Safeguards:
FEMA safeguards records in this system in accordance with
applicable rules and policies, including all applicable DHS automated
systems security and access policies. FEMA imposes strict controls to
minimize the risk of compromising the information it stores. 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:
FEMA's training and exercise records retention is generally covered
under General Records Schedule (GRS) 1A-29a, 1-29a(2), and 1-29b; NARA
Authority N1-311-08-2 1a, and NARA Authority N1-311-88-2 2. Under GRS
1, records are maintained for up to five years after the cutoff date
and then destroyed. Under NARA Authority N1-311-08-2 1a, records
retired to the Federal Records Center (FRC) five years after the cutoff
and destroyed after forty years. Under NARA Authority N1-311-88-2 2,
records are maintained for six years and three months after the cutoff
and then destroyed.
System Manager and address:
Privacy Officer, Federal Emergency Management Agency, Department of
Homeland Security, Washington, DC 20478.
Notification procedure:
The Secretary of Homeland Security has exempted this system from
the notification, access, and amendment procedures of the Privacy Act
because it is a testing and evaluation system. However, DHS/FEMA will
consider individual requests to determine whether or not information
may be released. Individuals seeking notification of or access to any
record contained in this system of records, or seeking to contest its
content, may submit a request in writing to the FEMA 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/foia or 1-866-431-0486. In addition, you should:
Explain why you believe the Department would have
information on you;
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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 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.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Records are obtained on paper and through IT systems directly from
all individuals who have registered for, applied for, participated in,
or assisted with FEMA's training or exercise programs including FEMA
employees and contractors, volunteers, other federal employees and
other participants such as instructors, course developers, observers,
and interpreters.
Exemptions claimed for the system:
The Secretary of Homeland Security, pursuant to 5 U.S.C. 552a(k)(6)
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).
Dated: December 30, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-00941 Filed 1-21-15; 8:45 am]
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