Privacy Act of 1974; Department of Homeland Security Federal Emergency Management Agency-011 Training and Exercise Program Records System of Records, 19107-19110 [2011-8089]

Agencies

• DEPARTMENT OF HOMELAND SECURITY
• Office of the Secretary

[Federal Register Volume 76, Number 66 (Wednesday, April 6, 2011)]
[Notices]
[Pages 19107-19110]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-8089]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0017]


Privacy Act of 1974; Department of Homeland Security Federal 
Emergency Management Agency--011 Training and Exercise Program Records 
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 titled, ``Department of Homeland Security 
Federal Emergency Management Agency--011 Training and Exercise Program 
Records System of Records.'' This system of records will allow the 
Department of Homeland Security/Federal Emergency Management Agency to 
collect and maintain records on its training and exercise programs. 
This system of records will include the 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 others who have 
applied or registered to participate in or who have assisted with 
Federal Emergency Management Agency's training and exercise programs. 
The Department of Homeland Security is issuing a Notice of Proposed 
Rulemaking, to exempt this system of records from certain provisions of 
the Privacy Act, elsewhere in the Federal Register. In addition, in 
accordance with the Privacy Act of 1974 the Department of Homeland 
Security is giving notice that it proposes to consolidate the Privacy 
Act system of records notice titled, Department of Homeland Security/
Federal Emergency Management Agency/National Emergency Training 
Center--017 Student Application and Registration Records system of 
records (October 5, 2004, 69 FR 192) into this system of records. This 
newly established system will be included in the Department of Homeland 
Security's inventory of record systems.

DATES: Submit comments on or before May 6, 2011. This new system will 
be effective May 6, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0017 by one of the following methods:
     Federal e-Rulemaking Portal: https://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 https://www.regulations.gov, 
including any personal information provided.
     Docket: For access to the docket to read background 
documents or comments received go to https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Thomas R. McQuillan (202-646-3323), Privacy Officer, Federal Emergency 
Management Agency, Department of Homeland Security, Washington, DC 
20478. 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) Federal Emergency Management 
Agency (FEMA) proposes to establish a new DHS system of records titled, 
``DHS/FEMA-011 Training and Exercise Program Records System of 
Records.''
    In support of its mission, components within FEMA such as the 
Protection and National Preparedness Bureau, the National Processing 
Service Centers (NPSCs), the United States Fire Administration (USFA), 
and the FEMA Emergency Management Institute (FEMA/EMI) sponsor a wide 
range of training and exercise programs for FEMA's employees and 
contractors and its partners in the first responder and emergency 
management communities.
    Through its training and exercise programs, FEMA brings together 
partners from state, local, tribal, regional, international, and 
nongovernmental/volunteer organizations, as well as the private sector, 
including firefighters, emergency medical services, emergency 
management agencies, law enforcement, and public officials. These 
programs provide FEMA's employees, contractors and partners with the 
opportunity to develop the situational awareness and skills necessary 
to quickly prevent, respond to, or mitigate all hazards affecting the 
people of the United States.
    This system of records notice is being published because FEMA 
collects and maintains personally identifiable information (PII) about 
the individuals who register or apply for its training and exercise 
programs and the organization employing or sponsoring these 
individuals, as well as information used to grant access to IT systems 
that support these programs. FEMA's training and exercise programs also 
maintain information about the trainings and exercise events, such as 
rosters and reports, which may be shared among participants. The type 
and amount of PII FEMA collects from individuals to facilitate their 
participation may vary among programs.
    The purpose of this system is to facilitate registration for, 
participation in, and the completion and documentation of, training and 
exercise programs sponsored by FEMA in support of its mission.
    FEMA collects, uses, and maintains the records within this system 
under the authority of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act; the Federal Fire Prevention and Control Act 
of 1974, as amended; 44 U.S.C. 3101; 6 U.S.C. 748; Homeland Security 
Presidential Directives, and several Executive Orders, as described in 
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. To 
further safeguard individuals' privacy, 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.
    The proposed routine uses are compatible with the purpose of the 
original collection as they ensure that the information within this 
system is

[[Page 19108]]

shared in association with individuals' registration and participation 
in FEMA's training and exercise programs, and otherwise ensure that the 
sharing of information in this system is consistent with that of other 
DHS systems.
    FEMA collects, uses, and maintains information about the 
individuals who register or apply for its training and exercise 
programs, including DHS employees and contractors, other Federal 
employees, volunteers and members of the first responder and emergency 
management communities, to foster the development of mission critical 
skills among them through participation in these training and exercise 
programs. FEMA's training and exercise programs may share information 
with state, local, tribal, international, nongovernmental/volunteer 
organizations, and private sector organizations. FEMA shares this 
information to facilitate the development of training and exercise 
programs, coordinate, facilitate, and track participation in training 
and exercise programs, and for statistical purposes. FEMA's sharing of 
information with education institutions for transcript purposes will 
only take place upon the request of the student. In accordance with the 
Privacy Act of 1974 the Department of Homeland Security is giving 
notice that it proposes to consolidate the Privacy Act system of 
records notice titled, Department of Homeland Security/Federal 
Emergency Management Agency/National Emergency Training Center--017 
Student Application and Registration Records system of records (October 
5, 2004, 69 FR 192) into the this system of records.
    Additionally, DHS is issuing a Notice of Proposed Rulemaking 
elsewhere in the Federal Register to exempt this system of records from 
certain provisions of the Privacy Act in order to preserve the 
objectivity and fairness of testing and examination material, elsewhere 
in the Federal Register. This newly established 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 the U.S. 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 U.S. 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.
    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
    DHS/FEMA-011

System name:
    DHS/FEMA-011 Training and Exercise Program Records.

Security classification:
    Sensitive But Unclassified.

System location:
    Records are maintained at the FEMA Headquarters in Washington, DC 
and field offices.

Categories of individuals covered by the system:
    Any individual who has applied for, participated in, or assisted 
with a training or exercise program recommended, sponsored, or operated 
by FEMA including current and former employees of DHS, any other 
federal employee, volunteers and contractors, and private individuals 
such as state, local, tribal, international, and non-profit/
nongovernmental personnel; 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;
     Alternate unique number assigned in lieu of an SSN;
     Sex;
     Race and ethnicity;
     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;
     Time Zone;
     Organization type/Jurisdiction (e.g. federal agency, state 
or local government, etc.);
     Organization identification number;
     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:
     Pub. L. 93-288, Robert T. Stafford Disaster Relief and 
Emergency Assistance Act as amended; Pub. L. 93-498, Federal Fire 
Prevention and Control Act of 1974, as amended; Pub. L. 93-579, 44 
U.S.C. 3101-3106; 6 U.S.C. 748; Homeland Security Presidential 
Directive 8; Homeland Security Presidential Directive 5; the Homeland 
Security Act of 2002; the E-Government Act of 2002; the Reorganization 
Plan No.3 of 1978, 5 U.S.C. 301; 31 U.S.C. 3716, Administrative offset; 
31 U.S.C. 321, General authority of the Secretary;

[[Page 19109]]

Executive Order 13111; Executive Order 12148; Executive Order 12127; 
Executive Order 9397; Title VI of the Civil Rights Act of 1964; Section 
504 of the Rehabilitation Act of 1973; Presidential Memorandum, 
``Electronic Government's Role in Implementing the President's 
Management Agenda,'' July 10, 2002, 15 U.S.C. 2206, 44 U.S.C. 3101; 50 
U.S.C. App. 2253 and 2281; CFO Bulletin, Financial and Acquisition 
Management Division, Number 117, June 23, 2003. Subject: Invitational 
Travel. Executive Order 9397 authorizes the collection of the social 
security number.

Purpose(s):
    The purpose of this system is to facilitate registration for, 
participation in, and the completion and documentation of training and 
exercise programs sponsored by FEMA in support of its mission. Records 
in this system will be used to: determine eligibility for, and the 
effectiveness of, FEMA training and exercise programs; facilitate 
housing for and reimbursements to students of FEMA Training Programs/
Conferences; promote a collaborative environment for participants in 
FEMA's training and exercise programs; and facilitate the compilation 
of statistical information about FEMA's training and exercise programs. 
FEMA uses the Social Security Number to ensure the accuracy of academic 
records, for stipend reimbursement of funds to registered students, and 
to distinguish the identity of individuals with identical names and 
birth dates.

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 U.S. 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 U.S. 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 (NARA) 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. 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) 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 a federal, State, territorial, tribal, local, international, 
or foreign 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 a Federal, State, local, tribal, territorial, foreign, or 
international 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 a Federal, State, local, tribal, territorial, foreign, or 
international 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 a physician(s) in order to provide information from the 
application for students who become ill or are injured during courses 
and are unable to provide the information.
    L. To members of the NFA and EMI Boards of Visitors Federal 
advisory committees for the purpose of evaluating NFA's and EMI's 
programmatic statistics.
    M. To sponsoring States, local officials, or state 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/conference related 
expenses.
    O. To Federal, State, local and tribal educational institutions for 
the maintenance/updating of student academic records such as 
transcripts.
    P. To the news media and the public, with the approval of the Chief 
Privacy

[[Page 19110]]

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:
    Records may be retrieved by an individual's name, social security 
number, or unique user ID.

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 being 
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:
    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 are 
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:
    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 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 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:
    Records are obtained 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 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)(6).

    Dated: March 3, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-8089 Filed 4-5-11; 8:45 am]
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