Privacy Act of 1974; System of Records, 18070-18073 [2019-08595]

Agencies

• DEPARTMENT OF HOMELAND SECURITY

[Federal Register Volume 84, Number 82 (Monday, April 29, 2019)]
[Notices]
[Pages 18070-18073]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-08595]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2019-0007]


Privacy Act of 1974; System of Records

AGENCY: Department of Homeland Security.

ACTION: Notice of modified 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 modifying a current DHS system of records 
titled, ``DHS/ALL-018 Grievances, Appeals, and Disciplinary Action 
Records System of Records,'' last published October 17, 2008. The 
system of records is now renamed ``DHS/ALL-018 Administrative Grievance 
Records.'' This system of records allows DHS to collect, maintain, and 
store information for current and former DHS employees, except for 
employees of the Office of the Inspector General (OIG), who have 
submitted grievances under DHS's Administrative Grievance System or in 
accordance with a negotiated grievance procedure. This system has been 
modified in an effort to align with other DHS and government-wide 
System of Records Notices (SORN) and to prevent duplication. This 
modified system will be included in DHS's inventory of record systems.

DATES: Submit comments on or before May 29, 2019. This new system will 
be effective upon publication. New or modified routine uses will be 
effective May 29, 2019.

ADDRESSES: You may submit comments, identified by docket number DHS-
2019-0007 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: Jonathan R. Cantor, Acting Chief Privacy Officer, 
Privacy Office, Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number DHS-2019-0007. 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 and privacy questions, 
please contact: Jonathan R. Cantor, (202) 343-1717, [email protected], 
Acting Chief Privacy Officer, Privacy Office, Department of Homeland 
Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    The DHS Administrative Grievance Records System is a system of 
records relating to grievances filed by DHS employees under the 
Administrative Grievance System or under a negotiated grievance 
procedure. The system contains all documents related to each grievance 
in the central personnel or administrative office in DHS Headquarters 
or of the component, or its field offices, where the grievance 
originated. This system of records will create greater consistency 
across the Department in the category of individuals, category of 
records, and routine uses of administrative grievance records. Changes 
to the system of records include name and scope of system of records, 
categories of covered individuals, categories of covered records, 
routine uses, and the schedule for retention and disposal. With respect 
to the last category, a change has been made to establish that all of 
the Department's grievance records are to be disposed of no less than 
four (4) years but less than seven (7) after the closing of a case.
    DHS is modifying and reissuing a current DHS system of records 
titled, ``DHS/ALL-018 Grievances, Appeals, and Disciplinary Action 
Records System of Records.'' The system of records is now renamed 
``DHS/ALL-018 Administrative Grievance Records.'' This system of 
records allows DHS to collect, maintain, and store administrative 
grievance information related to grievances filed by current and former 
DHS personnel. The records are used by the Department to resolve 
employee concerns about working conditions, the administration of 
collective bargaining agreements, employee/supervisor relations, work 
processes, or other similar issues.
    The name and scope of this modified system of records has been 
changed. Further, this system of records has been modified in an effort 
to not duplicate other DHS and government-wide system of records. This 
SORN no longer covers records of disciplinary actions or appeals, which 
could be covered by other SORNs depending on the type of inquiry, 
action, or appeal (e.g., DHS/ALL-020 Department of Homeland Security 
Internal Affairs, OPM/GOVT-1 General Personnel Records; OPM/GOVT-3 
Records of Adverse Actions, Performance Based Reduction in Grade and 
Removal Actions, and Termination

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of Probationers; EEOC/GOVT-1 Equal Employment Opportunity in the 
Federal Government Complaint and Appeal Records; and MSPB/GOVT-1 
Appeals and Case Records). As a result, the categories of individuals 
have been modified by removing current and former DHS personnel about 
whom disciplinary action has been proposed or has occurred, personnel 
who have filed appeals, and personnel suspected of misconduct. The 
categories of records have been updated to include all records relating 
to grievances filed by Department employees under the Administrative 
Grievance System or under a negotiated grievance procedure. These case 
files contain all documents related to each grievance, including the 
grievant's date of birth and contact information; statements of 
witnesses, reports of interviews and hearings, factfinder's and/or 
arbitrator's findings and recommendations, a copy of the original and 
final decision, related correspondence and exhibits, and other 
identifying information depending on the specific nature of the topic 
being grieved.
    The routine uses for this system of records have been updated. A 
new routine use (B) is being added to account for disclosures to 
Congress; a new routine use (C) is being added for records management 
inspections; routine use (E) is being modified and a new routine use 
(F) is being added to conform to Office of Management and Budget 
Memorandum M-17-12; routine use (I) is being modified to account for 
sharing information in order to process the grievance; and a new 
routine use (L) is being added to provide information to officials of 
labor organizations. DHS is re-lettering several of the routine uses to 
align with these changes. DHS is also updating the record retention 
schedule. Records relating to grievances raised by individuals are 
temporary and destroyed no sooner than four years but no less than 
seven years after the case is closed.
    Further, DHS is making non-substantive changes to the text and 
formatting of this SORN to align with previously published DHS SORNs.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/ALL-018 Administrative Grievance Records may be 
shared with 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, DHS 
may share information 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 
modified system will be included in DHS's inventory of record systems.
    Finally, DHS is issuing a final rule to remove all exemptions that 
previously applied to this SORN published elsewhere in this issue of 
the Federal Register. The previously issued final rule for this SORN, 
found at 74 FR 42576 (August 24, 2009), will no longer be in effect 
once that new final rule is issued.

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. Additionally, the Judicial Redress Act (JRA) 
provides covered persons with a statutory right to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    Below is the description of the DHS/All-018 Administrative 
Grievance 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 NAME AND NUMBER
    Department of Homeland Security (DHS) ALL-018 Administrative 
Grievance Records System of Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained at the DHS Headquarters in Washington, DC, 
and/or component offices of DHS, in both Washington, DC, and their 
field offices.

SYSTEM MANAGER(S):
    For Headquarters and components of DHS, the System Manager is the 
Director of Departmental Disclosure, Department of Homeland Security, 
Washington, DC 20528.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 1302, 3301, 3302, and 7121; 3 CFR part 335; 5 CFR part 
771; and Executive Orders (E.O.) 10988, 11491, 13837, as amended or 
revoked, if applicable.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system of records is to collect, maintain, and 
store information related to administrative grievances filed by current 
and former DHS personnel. The records are used by the Department to 
resolve employee concerns about working conditions, the administration 
of collective bargaining agreements, employee/supervisor relations, 
work processes, or other similar issues.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current or former DHS employees, except OIG employees, who have 
filed grievances in accordance with the Agency's Administrative 
Grievance System or pursuant to a negotiated grievance procedure.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains records relating to grievances filed by current 
and former agency employees within all components of the Department. 
These records contain all documents related to the grievance, 
including:
     Individual's name;
     Date of birth;
     Social Security number (SSN);
     Phone numbers;
     Email addresses;
     Addresses;
     Statements of witnesses;
     Reports of interviews and hearings;
     Examiner's findings and recommendations;
     A copy of the original and final decision;
     Related correspondence and exhibits;
     Additional records of contact information for witnesses, 
interviewers, examiners and employee representatives of the grievant;
     Other identifying information dependent upon the specific 
nature of the topic being grieved and may involve the collection of 
personal data from the grievant or other individuals involved.

RECORD SOURCE CATEGORIES:
    Records are obtained from individuals who file a grievance; the 
individual on whom the record is maintained; testimony of witnesses, 
agency officials, grievance examiners, or arbitrator; and by related 
correspondence from organizations or persons.

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ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND 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 the U.S. Attorneys 
Offices, or other federal agencies conducting litigation or 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, only 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 there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (including 
its information systems, programs, and operations), the Federal 
Government, or national security; 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 
breach or to prevent, minimize, or remedy such harm.
    F. To another Federal agency or Federal entity, when DHS determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    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 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.
    I. To any source from which additional information is requested in 
the course of processing a grievance, to the extent necessary to 
identify the individual, inform the source of the purpose(s) of the 
request, and identify the type of information requested.
    J. To a Federal agency, in response to its request, in connection 
with the hiring or retention of an individual, the issuance of a 
security clearance, the conducting of a security or suitability 
investigation of an individual, the classifying of jobs, the letting of 
a contract, or the issuance of a license, grant, or other benefit by 
the requesting agency, to the extent that the information is relevant 
and necessary to requesting the agency's decision on the matter.
    K. To the Merit Systems Protection Board, the Office of the Special 
Counsel, the Federal Labor Relations Authority and its General Counsel, 
the Equal Employment Opportunity Commission, or the Office of Personnel 
Management when requested in performance of their authorized duties.
    L. To appropriate labor organizations acting in their official 
capacity as a representative of the grievant or affected employees 
under 5 U.S.C. Chapter 71, when relevant and necessary to their duties 
of representation concerning personnel policies, practices, and matters 
affecting work conditions.
    M. 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, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines that release of the 
specific information in the context of a particular case would 
constitute a clearly unwarranted invasion of personal privacy.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS 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.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by the names of the individuals on whom 
they are maintained or by other personal identifier.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records relating to grievances filed by individuals, whether 
through formal or informal administrative grievance processes, are 
temporary and destroyed no sooner than four years but less than seven 
years after the case is closed. OPM has determined that agencies may 
decide how long (within the range of four to seven years) 
administrative grievance records need to be retained, but must select 
one fixed retention period and publish that retention period in the 
agency's records disposition manual. This retention period follows 
National Archives and Records Administration (NARA) General Records 
Schedule (GRS) 2.3, Item 60 (DAA-GRS-2015-0007-0017).

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS safeguards records in this system according to applicable rules 
and policies, including all applicable DHS automated systems security 
and access policies. DHS has imposed strict controls 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

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information for the performance of their official duties and who have 
appropriate clearances or permissions.

RECORD ACCESS PROCEDURES:
    Individuals seeking access to and notification of any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Chief Privacy Officer and 
Headquarters or component's FOIA Officer, whose contact information can 
be found at https://www.dhs.gov/foia under ``Contact Information.'' 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, Washington, DC 20528-0655. Even if 
neither the Privacy Act nor the Judicial Redress Act provide a right of 
access, certain records about the individual may be available under the 
Freedom of Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform to the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
the request, and the individual's 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, an individual 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, 
the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department the 
individual believes may have the information;
     Specify when the individual believes 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.
    If an individual's request is seeking records pertaining to another 
living individual, the first individual must include a statement from 
the second individual certifying his/her agreement for the first 
individual to access his/her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered Judicial Redress 
Act records, see ``Record Access Procedures'' above.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    DHS/ALL-018 Grievances, Appeals, and Disciplinary Action Records, 
73 FR 61882 (October 17, 2008).

Jonathan R. Cantor,
Acting Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2019-08595 Filed 4-26-19; 8:45 am]
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