Privacy Act; Redress and Response System of Records, 2294-2298 [07-190]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 72, Number 11 (Thursday, January 18, 2007)]
[Notices]
[Pages 2294-2298]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 07-190]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS 2006-0077]


Privacy Act; Redress and Response System of Records

AGENCY: Privacy Office, Office of the Secretary, 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 (DHS) is giving notice that it proposes to add a new 
system of records to its inventory of record systems, the DHS Redress 
and Response Records System. This system maintains records for the DHS 
Traveler Redress Inquiry Program (TRIP), which is the traveler redress 
mechanism being established by DHS in connection with the Rice-Chertoff 
Initiative, as well as in accordance with other policy and law. As the 
manifestation of the one-stop redress for travelers objective stated in 
the Rice-Chertoff Initiative, DHS TRIP will facilitate the public's 
ability to provide appropriate information to DHS for redress requests 
when they believe they have been denied entry, refused boarding for 
transportation, or identified for additional screening by DHS 
components or programs at their operational locations, including 
airports, seaports, train stations and land borders that may have 
resulted in

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the individual being delayed or inconvenienced. DHS TRIP will create a 
cohesive process to address these redress requests across DHS.

DATES: Written comments must be submitted on or before February 20, 
2007.

ADDRESSES: You may submit comments, identified by Docket Number DHS-
2006-0077 by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Facsimile: 202-572-8727 (not a toll-free number).
     Mail: Hugo Teufel III, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.

FOR FURTHER INFORMATION CONTACT: Please identify by Docket Number DHS-
2006-0077 to request further information by one of the following 
methods:
     Mail: Hugo Teufel III, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
     Facsimile: 866-466-5370.
     E-Mail: privacy@dhs.gov.

SUPPLEMENTARY INFORMATION: The Department of Homeland Security (DHS) is 
establishing a new system of records pursuant to the Privacy Act (5 
U.S.C. 552a), entitled the Redress and Response Records System, DHS/
ALL--005. The system serves as a DHS System of Records for the DHS 
Traveler Redress Inquiry Program (TRIP). On January 17, 2006, DHS 
Secretary Chertoff and Department of State Secretary Rice established 
the Rice-Chertoff Initiative. One objective of this initiative is to 
``accelerate efforts to establish a government-wide traveler screening 
redress process to resolve questions if travelers are incorrectly 
selected for additional screening.'' DHS TRIP realizes this objective 
as the traveler redress program at DHS that will coordinate the redress 
processes for travelers among DHS components and other agencies and 
simplify the process for travelers.
    For example, individuals who believe they have been denied entry, 
refused boarding for transportation, or identified for additional 
screening by DHS components or programs at their operational locations, 
including airports, seaports, train stations and land borders that may 
have resulted in the individual being denied access to transportation 
or entry into the United States or otherwise delayed or inconvenienced 
may submit information through DHS TRIP.
    DHS TRIP collects and maintains information from the individual 
that DHS may use to make an appropriate determination to resolve, if 
possible, the underlying issue regarding the request for redress. The 
information collected will be used to determine which DHS component or 
other agency is most able to address the redress request.
    DHS TRIP will serve as a mechanism to share redress-related 
information across DHS components, to facilitate efficient adjudication 
of redress requests, and to facilitate communication of redress results 
across DHS components. Once the information intake is complete, DHS 
TRIP will facilitate the transfer of or access to this information for 
the DHS components or other agencies redress process, which will 
address the redress request.
    As part of addressing the redress request under DHS TRIP, each DHS 
component or other agency redress process may share information 
provided by individuals seeking redress with other DHS components or 
programs and other Federal agencies, such as the Department of State 
and the Department of Justice, including its Terrorist Screening 
Center, to work toward the possible resolution of the problem for the 
individual.
    In addition, DHS TRIP will maintain a case management system of 
traveler redress requests. This case management function will be 
utilized to track case progress, to provide metrics of redress 
operations, to identify areas in need of additional support, and to 
develop lessons learned regarding the overall DHS traveler redress 
process.
    During the course of an adjudication of a redress request submitted 
through DHS TRIP, records or information, exempt from specific 
requirements of the Privacy Act, as defined by regulation, from another 
system of records may become part of, merged with, or recompiled within 
this system. To the extent this occurs, DHS will claim the same 
exemptions as were claimed in the original system from which the 
recompiled records, material, or information were a part. Such exempt 
records or information are likely to include law enforcement or 
national security investigation records, intelligence-related records, 
law enforcement encounter records, or terrorist screening records. 
These could come from various DHS systems, such as the Treasury 
Enforcement Communications System (TECS) and the Transportation 
Security Information System (TSIS), or from other agency systems. DHS, 
after conferring with the appropriate component or agency, may waive 
applicable exemptions in appropriate circumstances and where it would 
not interfere with or adversely affect the law enforcement or national 
security purposes of the systems from which the information is 
recompiled or in which it is contained.
    Information that is maintained in this System of Records may need 
to be shared under certain circumstances to adjudicate an individual's 
redress request. This ordinarily will occur when, in an effort to 
verify an individual's identification to adjudicate a redress request, 
the redress program exchanges information with another governmental 
entity involved in an operational or informational process associated 
with the individual's redress request. Likewise, information may be 
shared with other Federal agencies where those agencies have 
information that can be used to distinguish the identity of the 
individual seeking redress from that of another individual included on 
a watch list.
    Additionally, limited information may be shared with non-
governmental entities where necessary for the sole purpose of 
effectuating an individual's redress request. For example, if an 
individual has been cleared and distinguished from a known or suspected 
threat to aviation security, that individual's name and appropriate 
associated information can be shared with the airlines to prevent 
future delays and disruptions for that individual while traveling.
    Other types of information sharing that may result from the routine 
uses outlined in this notice include: (1) Disclosure to individuals who 
are not DHS employees but have an agency relationship with DHS to 
accomplish DHS responsibilities; (2) sharing when there appears to be a 
specific violation or potential violation of law, or identified threat 
or potential threat to national or international security, such as 
criminal or terrorist activities, based on individual records in this 
system; (3) sharing with the National Archives and Records 
Administration for proper handling of government records; (4) sharing 
when relevant to litigation associated with the Federal government; and 
(5) sharing to protect the individual who is the subject of the record 
from the harm of identity theft in the case of a data breach affecting 
this system.
    DHS plans on publishing a Privacy Impact Assessment for DHS TRIP 
detailing the use and implementation of this System of Records in order 
to describe in detail specifics, including access procedures.
    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by

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which the U.S. Government collects, maintains, uses, and discloses 
personally identifiable information. 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 a name of an individual or by 
some identifying number, symbol, or other identifying particular 
assigned to the individual. Individuals may request 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 that each agency publish in the Federal 
Register a description of 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 recordkeeping 
practices transparent, to notify individuals about the use made of 
personally identifiable information, and to assist the individual to 
more easily find files within the agency.
    In accordance with 5 U.S.C. 552a(r), a report on this system has 
been sent to Congress and the Office of Management and Budget.
DOCKET NUMBER DHS-2006-0077

System name:
    DHS/ALL-005.
    DHS Redress and Response Records System.

System Classification:
    Unclassified.

System location:
    Records are maintained by the Department of Homeland Security at 
the DHS Data Center in Washington, DC and at a limited number of remote 
locations where DHS components or programs maintain secure facilities 
and conduct DHS's mission.

Categories of individuals covered by the system:
    Categories of individuals covered by this notice consist of:
    A. All individuals who submit information through the DHS Traveler 
Redress Inquiry Program (TRIP).
    B. All individuals whose records have been referred to a DHS 
component or program redress process by other components, programs, or 
agencies in connection with DHS TRIP.
    C. Attorneys or other persons representing individuals submitting 
such requests and appeals and individuals who are the subjects of such 
requests.
    D. DHS personnel or contractors assigned to handle such requests or 
appeals.

Categories of records in the system:
    DHS Redress and Response Records System may contain:
    A. Individual's name; date of birth; contact information; phone 
number; e-mail address; address; flight or travel information; 
application information, including the date of request and a 
description of the circumstances that led to the request of the redress 
form; passport number; appropriate immigration documents; documents 
used to support application for entry; correspondence from individuals 
regarding their redress requests; records of contacts made by or on 
behalf of individuals; documents submitted to verify identity or 
otherwise support the request for redress; and any other document 
relevant and appropriate to the particular redress program.
    B. For those requesting redress as representatives of affected 
individuals, representative name, contact information, phone number, e-
mail address, relationship to the affected individuals, and power of 
attorney.
    C. The name of the DHS component, DHS program, or other Federal 
agency, which will be responsible for addressing the incoming redress 
request as well as supporting components or agencies.
    D. Administrative and contact information concerning DHS employees, 
contractors, or other agency representatives associated with the 
processing and/or adjudication of requests submitted to the redress 
process.
    E. Appropriate information to reflect the resolution of a 
particular redress request, information determined during adjudication 
of the case, and sensitive information relevant to the redress process 
for the individual.

Authority for maintenance of the system:
    Privacy Act of 1974, 5 U.S.C. 552a, as amended; Intelligence Reform 
and Terrorism Prevention Act of 2004, section 4012, 49 U.S.C. 114(f); 
19 U.S.C. 482, 1461, 1496, and 1581-1582; 8 U.S.C. 1357; Title VII of 
Public Law 104-208; 49 U.S.C. 44909; and others.

Purpose(s):

    This system maintains records in support of DHS TRIP that: (1) 
Coordinates DHS traveler redress programs to create a more efficient, 
effective, and easier process for individuals who believe they have 
been denied entry, refused boarding for transportation, or identified 
for additional screening at DHS component or program operational 
locations, including airports, seaports, train stations and land 
borders that may result in the individual being delayed or 
inconvenienced; and (2) stores information submitted by and collected 
from the individual or an individual's representative and information 
recompiled from or created from information from other DHS components 
and program and other government agencies, in order to address the 
individual's redress request.

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):
    A. To a Federal, State, territorial, tribal, local, international, 
or foreign government agency or entity for the purpose of consulting 
with that agency or entity: (1) To assist in making a determination 
regarding redress for an individual in connection with the operations 
of a DHS component or program; (2) for the purpose of verifying the 
identity of an individual seeking redress in connection with the 
operations of a DHS component or program; or (3) for the purpose of 
verifying the accuracy of information submitted by an individual who 
has requested such redress on behalf of another individual.
    B. To a Federal agency or entity that furnished a record or 
information for the purpose of permitting that agency or entity to make 
a decision regarding access to or correction of the record or 
information or to a Federal agency or entity that has information 
relevant to the redress request for purposes of obtaining guidance, 
additional information, or advice from such Federal agency or entity 
regarding the handling of this particular redress request.
    C. To third parties lawfully authorized in connection with a 
Federal Government program, which is authorized by law, regulation, or 
rule, but only the information necessary and relevant to effectuate or 
to carry out a particular redress result for an individual and 
disclosure is appropriate to enable these third parties to carry out 
their responsibilities related to the Federal Government program, such 
as when the name and appropriate associated information about an 
individual who has been cleared and distinguished from a known or

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suspected threat to aviation security, is shared with the airlines to 
prevent future delays and disruptions for that individual while 
traveling.
    D. To contractors, grantees, experts, consultants, and others 
performing or working on a contract, service, grant, cooperative 
agreement, or otherwise have an agency relationship with DHS, when the 
disclosure is necessary and relevant to the operation of the DHS TRIP 
program or the redress process of a DHS component or program in 
compliance with the Privacy Act, 5 U.S.C. 552a, as amended, including 5 
U.S.C. 552a(m), in the case of the operation of all or a portion of 
this system of records on behalf of DHS.
    E. To an appropriate Federal, State, territorial, 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, 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 disclosure is appropriate to the proper 
performance of the official duties of the person receiving the 
disclosure.
    F. To an appropriate Federal, State, territorial, tribal, local, 
international, or foreign government intelligence entity, 
counterterrorism agency, or other appropriate authority charged with 
investigating threats or potential threats to national or international 
security or assisting in counterterrorism efforts, where a record, 
either on its face or in conjunction with other information, identifies 
a threat or potential threat to national or international security, 
which includes terrorist activities, and disclosure is appropriate to 
the proper performance of the official duties of the person receiving 
the disclosure.
    G. To a Congressional office, for 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.
    H. 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.
    I. To the United States Department of Justice (DOJ) (including 
United States Attorney offices) or another 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) The United States, or any department or agency thereof; 
(2) any employee of DHS in his or her official capacity; or (3) any 
employee of DHS in his or her individual capacity where DOJ has agreed 
to represent said employee.
    J. To appropriate agencies, entities, and persons when: (1) It is 
suspected or 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 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) that rely upon the compromised information; and (3) the 
disclosure is made to such agencies, entities, and persons who are 
reasonably necessary to assist in connection with the DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.

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

Storage:

    Records are stored electronically at the DHS Data Center in a 
secure facility. In addition, the records may be stored on a local 
system, magnetic disc, tape, CD-ROM, and other digital media, and may 
also be retained in hard copy format in secure file folders at the 
location of the DHS component or program for which the redress process 
exists.

Retrievability:

    Data are retrievable by the individual's name or other identifier, 
such as case number, as well as non-identifying information.

Safeguards:

    Information in this system is safeguarded in accordance with 
applicable laws, rules, and policies, including the DHS Information 
Technology Security Program Handbook. The Redress and Response Records 
System security protocols will meet applicable NIST Security Standards, 
from Authentication to Certification and Accreditation. Records in the 
system will be maintained in a secure, password-protected electronic 
system that will utilize security hardware and software to include 
multiple firewalls, active intruder detection, and role-based access 
controls. Additional safeguards will vary by component and program. All 
records are protected from unauthorized access through appropriate 
administrative, physical, and technical safeguards. These safeguards 
include restricting access to authorized personnel who have a need-to-
know, using locks, and password protection identification features. DHS 
file areas are locked after normal duty hours and the facilities are 
protected from the outside by security personnel.

Retention and disposal:

    DHS TRIP handles both information collected directly from the 
individual and information collected from DHS components and other 
agencies. DHS is working on a retention schedule with its Senior 
Records Officer for information collected directly from the individual. 
It is anticipated that the retention period for these records will be 
up to seven years. To the extent information is collected from other 
systems, data is retained in accordance with the record retention 
requirements of those systems.

System manager(s) and address:

    The System Manager is the Program Manager, DHS TRIP, U.S. 
Department of Homeland Security, Washington, DC 20528.

Notification procedure:

    Any individual who wants to know whether this system of records 
contains a record about him or her may contact the System Manager, 
noted above. An e-mail address and fax number will be provided to the 
individual after the submission of the redress request that may also be 
used.

Record access procedures:

    Requests for access should be submitted to the System Manager when 
an individual seeks to access his or her information. Requesters will 
be required to provide adequate identification, such as a driver's 
license, employee identification card, or other identifying document. 
Additional identification procedures may be required in some instances 
in accordance with various adjudication procedures related to the 
redress processing by DHS components or other agencies.

Contesting record procedures:

    Requests for correction or amendment must identify the information 
to be changed and the corrective action sought. Requests must be 
submitted to the System Manager as provided above.

Record source categories:

    Any person, including citizens and representatives of Federal, 
State or local governments; businesses; and industries. Any Federal 
system with

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records appropriate and relevant to the redress process.

Exemptions claimed for the system:

    No exemption shall be asserted with respect to information 
submitted by and collected from the individual or the individual's 
representative in the course of any redress process associated with 
this System of Records.
    This system, however, may contain records or information recompiled 
from or created from information contained in other systems of records, 
which are exempt from certain provisions of the Privacy Act. For these 
records or information only, in accordance with 5 U.S.C. 552a(j)(2), 
(k)(1), (k)(2), and (k)(5), DHS will also claim the original exemption 
for these records or information from subsections (c)(3) and (4); 
(d)(1), (2), (3), and (4); (e)(1), (2), (3), (4)(G) through (I), (5), 
and (8); (f); and (g) of the Privacy Act of 1974, as amended, as 
necessary and appropriate to protect such information. Such exempt 
records or information may be law enforcement or national security 
investigation records, law enforcement activity and encounter records, 
or terrorist screening records.
    These records could come from various DHS systems, such as the 
Treasury Enforcement Communications System (TECS) and the 
Transportation Security Information System (TSIS), or from third agency 
systems. DHS, after conferring with the appropriate component or 
agency, may waive applicable exemptions in appropriate circumstances 
and where it would not appear to interfere with or adversely affect the 
law enforcement or national security purposes of the systems from which 
the information is recompiled or in which it is contained. As required 
under the Privacy Act, DHS will issue a rule to describe more fully the 
needs and requirements for taking such exemptions on such information.

    Dated: January 12, 2007.
Hugo Teufel III,
Chief Privacy Officer.
[FR Doc. 07-190 Filed 1-12-07; 8:45 am]
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