Privacy Act of 1974; Department of Homeland Security Federal Emergency Management Agency 004 Non-Disaster Grant Management Information Files System of Records, 13404-13407 [2015-05799]

Agencies

• DEPARTMENT OF HOMELAND SECURITY
• Office of the Secretary

[Federal Register Volume 80, Number 49 (Friday, March 13, 2015)]
[Notices]
[Pages 13404-13407]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-05799]



[[Page 13404]]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2015-0006]


Privacy Act of 1974; Department of Homeland Security Federal 
Emergency Management Agency 004 Non-Disaster Grant Management 
Information Files 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--004 Grant Management 
Information Files System of Records'' and rename it, ``Department of 
Homeland Security/Federal Emergency Management Agency--004 Non-Disaster 
Grant Management Information Files System Records.'' This system of 
records allows the Department of Homeland Security/Federal Emergency 
Management Agency to collect and maintain records from points of 
contact for state, local, tribal, territorial, and other entities 
applying for Federal Emergency Management Agency grant programs that 
are not disaster related. The Federal Emergency Management Agency 
collects grant management information to determine eligibility for 
Department of Homeland Security grant awards for non-disaster grants 
and for the issuance of awarded funds. As a result of a biennial review 
of this system, records have been updated within the (1) system name, 
(2) authorities, (3) purpose, and (4) routine uses. 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 April 13, 2015. This updated system 
will be effective April 13, 2015.

ADDRESSES: You may submit comments, identified by DHS-2015-0006 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 go to 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, Washington, DC 20472. For privacy issues please 
contact: Karen L. Neuman (202) 343-1717, Chief Privacy Officer, Privacy 
Office, U.S. 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, rename, and reissue a current DHS 
system of records titled, ``DHS/FEMA--004 Grant Management Information 
Files System of Records.'' As part of the Department's process for 
reviewing and streamlining compliance documentation and to increase 
transparency, DHS/FEMA is proposing to: 1) update the system of records 
to include only non-disaster grant programs and FEMA assistance to 
state, local, tribal, territorial, or other entities; and 2) rename the 
system of records notice to DHS/FEMA--004 Non-Disaster Grant Management 
Information Files System of Records.
    The goal of FEMA's non-disaster related grant programs is to 
provide funding to enhance the capacity of state, local, tribal, and 
territorial emergency responders to prevent, respond to, and recover 
from a weapon of mass destruction terrorism incident involving 
chemical, biological, radiological, nuclear, explosive devices, and 
cyber-attacks. FEMA's non-disaster grant programs currently provide 
funds to all 50 states, the District of Columbia, the Commonwealth of 
Puerto Rico, American Samoa, the Commonwealth of Northern Mariana 
Islands, Guam, the U.S. Virgin Islands, certain types of non-profit 
organizations, and some private entities. FEMA non-disaster related 
grant programs are directed at a broad spectrum of state and local 
emergency responders, including firefighters, emergency medical 
services, emergency management agencies, law enforcement, and public 
officials. The source of the information collected by FEMA generally 
comes from state, local, tribal and territorial governments, port 
authorities, transit authorities, non-profit organizations, and private 
companies seeking grant funding. The nature of data collected by FEMA 
includes basic public information about the agency or organization, the 
organization's financial information, and the organization's 
demonstrated need for the non-disaster grant funds.
    Many of FEMA's non-disaster related grant programs implement 
objectives addressed in the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act; a series of post 9/11 laws as outlined in the 
Authorities Section; the post-Katrina Emergency Management Reform Act 
(PKEMPRA) of 2006; and Homeland Security Presidential Directives 
(HSPD).
    As part of the biennial review process for DHS/FEMA systems or 
records, DHS has updated and reissued this system of records as 
described below:
    First, DHS/FEMA changed the system name to reflect the focus of the 
system of records on non-disaster-related grants. Second, DHS/FEMA 
streamlined the legal authorities to remove the reference to the 
National Flood Insurance Act and to add authorities under the 
Implementing Recommendations of the 9/11 Commission Act of 2007. Third, 
the purpose removes references to FEMA disaster related grants such as 
Public Assistance because these grants are part of the DHS/FEMA-009 
Hazard Mitigation, Disaster Public Assistance, and Disaster Loan 
Programs system of records. Fourth, DHS/FEMA modified routine use (A) 
to include former employees of DHS and to eliminate redundant language; 
updated routine use (C) to specify that information may be shared with 
the General Services Administration (GSA); and modified routine uses 
(D) and (E) for clarification and non-substantive grammatical changes. 
Lastly, DHS/FEMA modified the record source categories to specifically 
reference the points of contact for the respective grant applicant 
organizations as a source of the information described in this notice.
    Consistent with DHS's information-sharing mission, information 
stored in the DHS/FEMA-004 Non-Disaster Grant Management Information 
Files System of 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

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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.
    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-004 Non-Disaster Grant 
Management Information Files 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)-004.

System name:
    DHS/FEMA-004 Non-Disaster Grant Management Information Files.

Security classification:
    Unclassified.

System location:
    DHS/FEMA maintains records at FEMA Headquarters in Washington, DC, 
and field offices. Additionally, DHS/FEMA maintains records in FEMA 
information technology systems such as the FEMA Non-Disaster (ND) 
Grants and Assistance to Firefighters Grants (AFG) systems.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include the 
respective points of contact (POC) for grant applications and awardees 
of grant funds. Awardees of grant funds include state, local, tribal, 
and territorial governments, port authorities, transit authorities, 
non-profit organizations, and private companies (in rare instances).

Categories of records in the system:
    Categories of records in this system include:
     Name of Organization's Designated POC;
     POC Title;
     Grant applicant organization POC's office mailing address;
     Grant applicant organization POC's office phone number;
     Grant applicant organization POC's office cellphone 
number;
     Grant applicant organization POC's office fax number;
     Grant applicant organization POC's work email address;
     Organization Name;
     Organization's Federal Employer Identification Number 
(EIN);
     Organization's Dun & Bradstreet (B&D) Data Universal 
Numbering System (DUNS) Number (a unique nine digit numeric identifier 
assigned to each organization's location);
     Organization's Bank Routing Number; and
     Organization's Bank Account Number.

Authority for maintenance of the system:
    Section 614 of the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act (42 U.S.C. 5196c), as amended by Section 202, Title II 
of the Implementing Recommendations of the 9/11 Commission Act of 2007 
(Pub. L. 110-053); Section 1809 of the Homeland Security Act of 2002 (6 
U.S.C. 571 et seq.), as amended by Section 301(a) Title III of the 
Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. 
L. 110-053); Section 2003(a) of the Homeland Security Act of 2002 (6 
U.S.C. 101 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-053); Section 2004(a) of the Homeland Security Act of 2002 (6 
U.S.C. 101 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-053); Section 2004 of the Homeland Security Act of 2002 (6 
U.S.C. 605 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. No. 110-53); Section 2005 of the Homeland Security Act of 2002 (6 
U.S.C. 606 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. No. 110-53); the Post-Katrina Emergency Management Reform Act of 
2006 (6 U.S.C. 723); Title III of Division D of the Consolidated 
Security, Disaster Assistance, and Continuing Appropriations Act, 2009 
(Pub. L. 110-329); Title III of Division E of the Consolidated 
Appropriations Act, 2008 (Pub. L. 110-161); Section 1406, Title XIV of 
the Implementing Recommendations of the 9/11 Commission Act of 2007 
(Pub. L. 110-053); Section 1513, Title XV of the Implementing 
Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053); 
Section 1532(a), Title XV of the Implementing Recommendations of the 9/
11 Commission Act of 2007 (Pub. L. 110-053); 46 U.S.C. 70107; the 
Federal Financial Assistance Management Improvement Act of 1999 (Pub. 
L. 160-107); and National Historic Preservation Act of 1966, as 
amended, Pub. L. 89-665, Sec.  102, 16 U.S.C. 470.

Purpose(s):
    The purpose of this system is to assist in determining eligibility 
of awards for non-disaster related grants and for the issuance of 
awarded funds and allow DHS to contact individuals to ensure 
completeness and accuracy of grants and applications.

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/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.

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    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, or 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 
and 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, 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 an individual's employer or affiliated organization to the 
extent necessary to verify employment or membership status.
    I. 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:
    DHS/FEMA stores records in this system electronically or on paper 
in secure facilities in a locked drawer behind a locked door. The 
records are stored on magnetic disc, tape, and digital media.

Retrievability:
    DHS/FEMA retrieves records may by the contact person covered by 
this system or the name of organization.

Safeguards:
    DHS/FEMA safeguards records in this system in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. DHS/FEMA imposes strict controls 
to minimize the risk of compromising the information that is being 
stored. DHS/FEMA limits access to the computer system containing the 
records in this system 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:
    DHS/FEMA retains grant application information for audit, oversight 
operations, and appeal purposes.
    In accordance with Government Records Schedule (GRS) 3, Item 14, 
FEMA destroys grant administrative records and hard copies of 
unsuccessful grant applications files after two years. In accordance 
with GRS 3, Item 13, FEMA stores electronically received and processed 
copies of unsuccessful grant application files for 3 years from the 
date of denial and then deleted.
    In accordance with National Archives and Records Administration 
(NARA) Authority N1-311-95-001, Item 1, FEMA maintains grant project 
records for three years after the end of the fiscal year that the grant 
or agreement is finalized or when no longer needed, whichever is 
sooner.
    In accordance with NARA Authority N1-311-95-001, Item 3, FEMA 
retires grant final reports to the Federal Records Center (FRC) three 
years after cutoff and transfers them to NARA 20 years after cutoff. In 
accordance with NARA Authority N1-311-95-001, Item 2; N1-311-01-008, 
Item 1; and N1-311-04-001, Item 1, FEMA stores all other grant records 
for six years and three months from the date of closeout (when closeout 
is the date FEMA closes the grant in its financial system) and final 
audit and appeals are resolved and then deleted.
    The customer service assessment forms that have been filled out and 
returned by disaster assistance applicants are temporary records that 
are destroyed upon transmission of the final report, per NARA Authority 
N1-311-00-001, Item 1.
    The statistical and analytical reports resulting from these 
assessments are temporary records that are retired three years after 
the final report cutoff and destroyed 20 years after the report cutoff 
per NARA Authority N1-311-00-001, Item 2. The assessment results 
database are temporary records that are destroyed when no longer needed 
for analysis purposes, per NARA Authority N1-311-00-001, Item 3.

System Manager and address:
    Deputy Assistant Administrator, Grant Program Directorate, FEMA, 
500 C Street SW., Washington, DC 20472.

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 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

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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,
     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; and
     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) will 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:
    DHS/FEMA obtains records from grantees, applicants for award, grant 
applicants' points of contact, and grant program monitors.

Exemptions claimed for the system:
    None.

    Dated: February 20, 2015.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2015-05799 Filed 3-12-15; 8:45 am]
BILLING CODE 9110-17-P