DHS/ALL-016 Correspondence Records SORN

Federal Register / Vol. 83, No. 187 / Wednesday, September 26, 2018 / Notices
Affairs, New Executive Office Building,
Room 10102, Washington, DC 20503.
Summer King,
Statistician.
[FR Doc. 2018–20887 Filed 9–25–18; 8:45 am]
BILLING CODE 4162–20–P

DEPARTMENT OF HOMELAND
SECURITY
[Docket No. DHS–2018–0029]

Privacy Act of 1974; System of
Records
Department of Homeland
Security.
ACTION: Notice of a modified system of
records.
AGENCY:

In accordance with the
Privacy Act of 1974, the Department of
Homeland Security (DHS) proposes to
modify a current DHS system of records
titled, ‘‘DHS/All-016 Correspondence
Records System of Records.’’ This
system of records allows the Department
to collect and maintain correspondence
records. The Department is updating
this system of records to reflect changes
to the categories of individuals,
categories of records, and routine uses.
Specifically, these changes include
expanding the categories of individuals
to include third party subjects of
correspondence who may not be the
sender or recipient. The Department is
also expanding the categories of records
to permit the collection of an
individual’s phone number, call and
customer service center records, receipt
number, case numbers relevant to the
correspondence, and account IDs
associated with correspondence
between the Department and the
responding party. DHS is updating
routine use (E) and adding routine use
(F) to comply with new policies
pertaining to data breach procedures.
The Department is making nonsubstantive edits to the routine uses to
align with previously published
Department systems of records notices
(SORNs). Lastly, this notice includes
non-substantive changes to simplify the
formatting and text of the previously
published notice. This modified system
will be included in the DHS inventory
of record systems.
DATES: Submit comments on or before
October 26, 2018. This modified system
will be effective upon publication. New
or modified routine uses will become
effective October 26, 2018.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2018–0029 by one of the following
methods:

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SUMMARY:

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• Federal e-Rulemaking Portal: http://
www.regulations.gov. Follow the
instructions for submitting comments.
• Fax: 202–343–4010.
• Mail: Philip S. Kaplan, 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–2017–0029. All
comments received will be posted
without change to http://
www.regulations.gov, including any
personal information provided.
Docket: For access to the docket to
read background documents or
comments received, go to http://
www.regulations.gov.

and case or account number associated
or referenced in the correspondence.
DHS is modifying routine use (E) and
adding routine use (F) to conform to
Office of Management and Budget
(OMB) Memorandum M–17–12,
‘‘Preparing for and Responding to a
Breach of Personally Identifiable
Information’’ (Jan. 3, 2017). All
following routine uses are being relettered to account for the additional
routine use. Non-substantive language
changes have been made to additional
routine uses to clarify disclosure
policies that are standard across DHS
and to align with previously published
DHS SORNs. This modified system will
be included in DHS’s inventory of
record systems.

For
general and privacy questions, please
contact: Philip S. Kaplan, Privacy@
hq.dhs.gov, 202–343–1717, Chief
Privacy Officer, Privacy Office,
Department of Homeland Security,
Washington, DC 20528–0655.
SUPPLEMENTARY INFORMATION:

II. Privacy Act

FOR FURTHER INFORMATION CONTACT:

I. Background
DHS is updating this Departmentwide SORN under the Privacy Act for
DHS correspondence records. DHS will
use this system to collect and maintain
correspondence records submitted by
the general public, DHS personnel, and
others. This SORN does not apply to
correspondence related to Freedom of
Information Act (FOIA) or Privacy Act
requests, or to correspondence received
in the course of standard immigration
benefit application processes. This
SORN also does not cover the
underlying records associated with a
response to correspondence.
This system allows DHS to collect and
maintain incoming information and
responses to inquiries, comments, or
complaints made to the Department.
Categories of individuals, categories of
records, and routine uses of this system
of records notice have been updated to
better reflect the Department’s
correspondence record systems. This
system modification will expand the
categories of individuals to cover third
parties whose information is submitted
by the sender or recipient through an
inquiry, comment, or complaint. DHS
may collect and respond to this
information from a third party.
However, any investigations or awards
initiated as a consequence of a third
party’s correspondence would not be
covered under this SORN. DHS is also
expanding the categories of records to
permit the collection of an individual’s
phone number, call and customer
service center records, receipt number,

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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 a statutory
right to covered persons 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.
In accordance with 5 U.S.C. 552a(r),
DHS has provided a report of this
system of records to OMB and to
Congress.
SYSTEM NAME AND NUMBER:

Department of Homeland Security
(DHS)/ALL–016 Department of
Homeland Security Correspondence
Records System of Records.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Records are maintained at several
Headquarters locations and in
component offices of the Department of
Homeland Security, in both
Washington, DC and field locations.

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Federal Register / Vol. 83, No. 187 / Wednesday, September 26, 2018 / Notices

SYSTEM MANAGER(S):

For DHS Headquarters, the System
Manager is the Chief Information
Officer, [email protected], 202–447–3735,
Department of Homeland Security,
Washington, DC 20528. For components
of DHS, the System Managers are their
respective Chief Information Officers.
Links to component contact information
can be found at https://www.dhs.gov/
direct-contact-information under
‘‘Contact information for DHS
Components.’’
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 31 U.S.C. 1115(b)(6), 44
U.S.C. 3101, 44 U.S.C. 3506, 40 U.S.C.
11313, E.O. 13571.
PURPOSE(S) OF THE SYSTEM:

The purpose of this system is to
manage all correspondence including
incoming information and responses to
inquiries, comments, or complaints
made to DHS.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who submit inquiries,
complaints, comments, or other
correspondence to DHS, excluding
Privacy Act or FOIA requests, or
standard immigration applications;
individuals who are the subject of the
correspondence; and any responding
individual on behalf of DHS are covered
by this SORN.

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CATEGORIES OF RECORDS IN THE SYSTEM:

• Full name;
• Physical and mailing addresses;
• Email address;
• Phone number;
• Web form information (e.g., IP
addresses);
• Who the complaint, compliment,
comment, or issue is about;
• Incoming correspondence
excluding Privacy Act or FOIA requests,
or standard immigration applications;
• DHS’s reply;
• Responder’s name on behalf of
DHS;
• Call and Customer Service Center
records (to include recordings of calls
and online real time interactions with
customer service representatives);
• Associated case or file numbers
(e.g., Alien Number);
• Receipt number;
• Account ID;
• Additional unsolicited personal
information provided by the individual
(including Social Security number); and
• Other related materials.
RECORD SOURCE CATEGORIES:

Records are obtained from all sources
of incoming correspondence and
responses by DHS. A non-exclusive list

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of correspondence sources includes
members of the general public, call and
customer service centers, unions, trade
organizations, non-profits, business or
governmental entities, including the
news media and congressional offices.
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 Offices of the U.S. 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.
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 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.

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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 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.
H. To an appropriate Federal, state,
tribal, territorial, 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.
I. To another Federal agency to refer
correspondence or respond to
correspondence given the nature of the
complaint, compliment, comment, or
issue.
J. To unions recognized as exclusive
bargaining representatives of the
individual under the Civil Service
Reform Act of 1978, 5 U.S.C. 7111 and
7114, the Merit Systems Protection
Board, arbitrators, the Federal Labor
Relations Authority, and other parties
responsible for the administration of the
Federal labor-management program for
the purpose of processing any corrective
action, or grievances, or conducting
administrative hearings or appeals, or if
needed in the performance of other
authorized duties.
K. 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

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Federal Register / Vol. 83, No. 187 / Wednesday, September 26, 2018 / Notices
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 an 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
individual name and date of
correspondence.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:

Executive level records are permanent
and files are cut off annually and
transferred to the National Archives and
Records Administration 15 years after
cut-off date, in accordance with
National Archives and Records
Administration (NARA) General
Schedule DAA–0563–2013–0005–0003.
Public correspondence and
communication that require no formal
response or action are temporary and
are destroyed when 90 days old, unless
longer retention is authorized when
required for business use, in accordance
with NARA General Records Schedule
(GRS) 6.4, item 20. Correspondence
relating to a specific case or action is not
considered public correspondence and
will be filed and maintained with the
appropriate case or action file under its
specific retention schedule. DHS
Components may create their own
retention schedules for correspondence
received. NARA GRS 4.1, item 010,
covers when a Department, Component,
office, or individual is tasked to review
the correspondence or inquiry. Actual
assignments and any reminder emails
that an action is required are destroyed
immediately, or when no longer needed
for reference.

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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 any paper files
or computer systems containing the
records in this system is limited to those

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individuals who have a need to know
the 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 Chief FOIA Officer, or a
component FOIA Officer, whose contact
information can be found at http://
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
JRA provide a right of access, certain
records about a person may be available
under FOIA.
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 with
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, http://
www.dhs.gov/foia or 1–866–431–0486.
In addition, the individual should:
• Explain why the individual believes
the Department would have information
on him/her;
• Identify which component(s) of the
Department the individual believes may
have the information about him/her;
• 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, in accordance with 6 CFR part
5.21, a statement from the second
individual certifying his/her agreement

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48647

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 JRA records, see ‘‘Record
Access Procedures’’ above, and 6 CFR
part 5.
NOTIFICATION PROCEDURES:

See ‘‘Record Access Procedures.’’
EXEMPTIONS PROMULGATED FOR THE SYSTEM:

None.
HISTORY:

73 FR 66657.
Philip S. Kaplan,
Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. 2018–20876 Filed 9–25–18; 8:45 am]
BILLING CODE 9110–9B–P

DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
[Docket No. FR–6081–D–02]

Redelegation of Authority for the
Office of Field Policy and Management
Office of Field Policy and
Management, HUD.
ACTION: Notice of Redelegation of
Authority.
AGENCY:

Through this notice, the
Assistant Deputy Secretary for Field
Policy and Management and the
Associate Assistant Deputy Secretary for
Field Policy and Management redelegate
certain operational management
authority to the HUD regional
administrators located in Region I
(Boston, MA); Region II (New York, NY);
Region III (Philadelphia, PA); Region IV
(Atlanta, GA); Region V (Chicago, IL);
Region VI (Fort Worth, TX); Region VII
(Kansas City, KS); Region VIII (Denver,
CO); Region IX (San Francisco, CA); and
Region X (Seattle, WA).
DATES: Applicable Date: September 19,
2018.
FOR FURTHER INFORMATION CONTACT: John
B. Shumway, Assistant General
Counsel, Administrative Law Division,
Department of Housing and Urban
Development at 451 7th Street SW,
Room 9262; Washington, DC 20410–
0500 or at telephone number, 202–402–
3502 (this is not a toll-free number).
This number may be accessed through
TTY by calling the Federal Relay
Service, toll-free, at 800–877–8339.
SUMMARY:

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