Privacy Act of 1974; Department of Homeland Security/Federal Emergency Management Agency-011 Training and Exercise Program Records System of Records, 3241-3245 [2015-00941]

Agencies

• DEPARTMENT OF HOMELAND SECURITY
• Office of the Secretary

[Federal Register Volume 80, Number 14 (Thursday, January 22, 2015)]
[Notices]
[Pages 3241-3245]
From the Federal Register Online via the Government Printing 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: https://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 https://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received, please visit https://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

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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

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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 https://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, https://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]
BILLING CODE 9110-17-P