[Federal Register Volume 85, Number 240 (Monday, December 14, 2020)]
[Notices]
[Pages 80800-80806]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-27315]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2020-0015]


Privacy Act of 1974; System of Records

AGENCY: Privacy Office, U.S. Department of Homeland Security.

ACTION: Notice of a New System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, the U.S. 
Department of Homeland Security (DHS) proposes to establish a new DHS 
system of records titled, ``U.S. Department of Homeland Security/ALL-
046 Counterintelligence Program System of Records.'' This system of 
records allows DHS to collect and maintain records as part of the 
unified

[[Page 80801]]

Counterintelligence Program across the Department. 
``Counterintelligence'' is defined as information gathered and 
activities conducted to identify, deceive, exploit, disrupt, or protect 
against espionage, other intelligence activities, sabotage, or 
assassinations conducted for or on behalf of Foreign Intelligence 
Entities. DHS will use the system to facilitate counterintelligence 
functions including analysis, production, collections, investigative 
activities, operations, and functional support.

DATES: Submit comments on or before January 13, 2021. This new system 
will be effective upon publication. New routine uses will be effective 
January 13, 2021.

ADDRESSES: You may submit comments, identified by docket number DHS-
2020-0015 by one of the following methods:
    <bullet> Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> Fax: 202-343-4010.
    <bullet> Mail: Constantina Kozanas, Chief Privacy Officer, Privacy 
Office, U.S. Department of Homeland Security, Washington, DC 20528-
0655.
    Instructions: All submissions received must include the agency name 
and docket number DHS-2020-0015. 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.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Robert Hale, (202) 447-3984, <a href="/cdn-cgi/l/email-protection#2a6963047b5f4f595e4345446a425b044e4259044d455c"><span class="__cf_email__" data-cfemail="387b7116694d5d4b4c515756785049165c504b165f574e">[email protected]</span></a>, Assistant 
Director, Enterprise Program Management, Counterintelligence Mission 
Center, Office of Intelligence and Analysis, 3801 Nebraska Avenue, 
Washington, DC 20528-0655. For privacy questions, please contact: 
Constantina Kozanas, (202) 343-1717, <a href="/cdn-cgi/l/email-protection#dd8dafb4abbcbea49db5acf3b9b5aef3bab2ab"><span class="__cf_email__" data-cfemail="89d9fbe0ffe8eaf0c9e1f8a7ede1faa7eee6ff">[email protected]</span></a>, Chief Privacy 
Officer, Privacy Office, U.S. Department of Homeland Security, 
Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION: 

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, U.S. 
Department of Homeland Security (DHS) proposes to issue a new DHS 
system of records titled, ``DHS/ALL-046 Counterintelligence Program 
System of Records.''
    DHS developed the Counterintelligence (CI) Program to identify, 
deceive, exploit, disrupt, or protect against espionage, other 
intelligence activities, sabotage, or assassinations conducted for or 
on behalf of Foreign Intelligence Entities (FIE). FIEs are known or 
suspected foreign state or non-state organizations or persons that 
conduct intelligence activities to acquire information about the United 
States, block or impair intelligence collection by the United States 
Government, influence United States policy, or disrupt systems and 
programs owned or operated by or within the United States, all of which 
may impact or influence DHS operations and missions. The term includes 
foreign intelligence and security services, international terrorists, 
transnational criminal organizations, and drug trafficking 
organizations conducting intelligence-related activities.
    DHS is creating this new CI program system of records to account 
for the expansion of the Department's CI program beyond the Office of 
Intelligence and Analysis (I&A) and the United States Coast Guard 
(USCG) to include Cybersecurity and Infrastructure Security Agency 
(CISA), Countering Weapons of Mass Destruction Office (CWMD), Federal 
Emergency Management Agency (FEMA), Federal Protective Service (FPS), 
Transportation Security Administration (TSA), U.S. Customs and Border 
Protection (CBP), U.S. Citizenship and Immigration Services (USCIS), 
U.S. Immigration and Customs Enforcement (ICE), and U.S. Secret Service 
(USSS).
    Some DHS counterintelligence records previously covered under the 
DHS/IA-001 Enterprise Records System (ERS) system of records notice 
(SORN) will now be part of the Department's CI Program SORN. This 
notice does not rescind, revoke, or supersede the ERS SORN insofar as 
program offices in I&A will continue to maintain records separate from 
the CI program within that system of records.
    The DHS CI Program derives its authorities from those provided to 
the Secretary of Homeland Security and to the Under Secretary for 
Intelligence and Analysis (USIA). The additional counterintelligence 
authorities provided to the USCG are not further shared with the rest 
of the DHS CI Program and are not restricted based on the limitations 
applied to I&A. Other DHS Components and offices in the DHS CI Program 
also retain their individual authorities and capabilities provided to 
those Components through statute, executive order, or DHS Delegation 
(e.g. TSA retains its authorities regarding transportation security and 
these authorities are not impacted by TSA's inclusion in the DHS CI 
Program).
    The DHS CI Program derives its authorities primarily from Executive 
Order 12333, United States Intelligence Activities, which authorizes 
all members of the Intelligence Community to collect information 
concerning, and conduct activities to protect against, amongst other 
things, intelligence activities directed against the United States. All 
members of the Intelligence Community are further tasked with 
protecting the security of intelligence related activities, 
information, installations, property, and employees by appropriate 
means, including such investigations of applicants, employees, 
contractors, and other persons with similar associations with the 
Intelligence Community elements as are necessary. Pursuant to Executive 
Order 12333, DHS's I&A is specifically authorized to collect (overtly 
or through publicly available sources) analyze, produce, and 
disseminate foreign intelligence and counterintelligence, including 
defense and defense-related information and intelligence to support 
national and departmental missions. In addition, Executive Order 12333 
authorizes the Commandant of the Coast Guard to conduct 
counterintelligence activities, including through clandestine means. 
USCG intelligence authorities are functionally derived from Executive 
Order 13286, Amendment of Executive Orders, and Other Actions, in 
Connection with the Transfer of Certain Functions to the Secretary of 
Homeland Security.
    The key distinction between the authorities for I&A and the USCG, 
specifically as it relates to collection of counterintelligence 
information, rests in the authority for USCG to collect 
counterintelligence using clandestine means, while I&A is only 
permitted to collect from overt or publicly available sources. The USCG 
is the only DHS component with the authority to conduct clandestine 
counterintelligence activities.
    In addition to Executive Order 12333, the Homeland Security Act of 
2002, codified at 6 U.S.C. 121-126, authorizes the USIA's role as the 
DHS Counterintelligence Executive. Furthermore, 6 U.S.C. 124d 
authorizes the DHS Intelligence Components (defined in 6 U.S.C. 101(11) 
as any element or entity (i.e., DHS Component) that collects, gathers, 
processes, analyzes, produces, or disseminates intelligence information 
within the scope of the Information Sharing Environment or National 
Intelligence) to support and implement the intelligence mission of the 
Department, as led by the

[[Page 80802]]

USIA. The DHS CI Program is part of the overall DHS intelligence 
mission.
    Counterintelligence collections within the DHS CI Program (I&A, 
USCG, and all other Component CI programs) are undertaken as part of an 
integrated national and departmental effort. The DHS CI Program follows 
the Intelligence Community model for conducting counterintelligence, as 
described in Intelligence Community Directive 750--Counterintelligence 
Program and other National Counterintelligence Security Center 
guidance. The DHS CI Program performs a variety of functions to fulfill 
its mission, including investigations, information collections, 
operations, analysis and production, and supporting functional 
services.
    The DHS CI Program collects personally identifiable information 
(PII) directly from DHS employees and contractors via in-person 
interviews, from individuals outside of DHS who may have information 
relevant to a CI matter, government-controlled and public data 
aggregators, forensic examination of documents and electronic media, 
and anonymous tips and leads provided via email, telephone, and written 
notes or letters. As relates to CI investigations and operations, PII 
may be used to identify individuals who are involved in, witness to, or 
knowledgeable of CI-related activities that are the subject of a CI 
investigation or operation by the DHS CI Program or other federal law 
enforcement or intelligence agencies where there is a DHS equity. CI 
analytical products generally contain very limited amounts of PII, with 
sources and individuals referenced in a finished intelligence product 
anonymized to the greatest extent possible. Furthermore, the DHS CI 
Program provides DHS employees with CI awareness training, during which 
PII is collected directly from DHS employees in order to maintain a 
record of when CI awareness training was last received.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/ALL-046 Counterintelligence Program 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 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.
    Additionally, DHS 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. 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 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-046 Counterintelligence 
Program 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:
    U.S. Department of Homeland Security (DHS) DHS/ALL-046 
Counterintelligence Program System of Records.

SECURITY CLASSIFICATION:
    Unclassified and Classified.

SYSTEM LOCATION:
    Records are maintained at several DHS Headquarters and Component 
locations in Washington, DC and field offices.

SYSTEM MANAGER(S):
    Robert Hale, Assistant Director, Enterprise Program Management, 
(202) 447-3984, <a href="/cdn-cgi/l/email-protection#7132385f2004140205181e1f3119005f1519025f161e07"><span class="__cf_email__" data-cfemail="397a7017684c5c4a4d505657795148175d514a175e564f">[email protected]</span></a>, Counterintelligence Mission 
Center, Office of Intelligence and Analysis, U.S. Department of 
Homeland Security, Washington, DC 20528.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title II and Title VIII, section 892 of the Homeland Security Act 
of 2002, Public Law 107-296, 116 Stat. 2135 (Nov. 25, 2002), as amended 
(6 U.S.C. 121, et seq.); Executive Order 12333, United States 
Intelligence Activities, 46 FR 59941 (December 4, 1981), reprinted as 
amended in 73 FR 45325 (July 30, 2008); Executive Order 13526, 
Classified National Security Information, 75 FR 707 (January 5, 2010); 
Executive Order 13556, Controlled Unclassified Information, 75 FR 68675 
(November 9, 2010); and Executive Order 13388, Further Strengthening 
the Sharing of Terrorism Information to Protect Americans, 70 FR 62023 
(October 27, 2005).

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to collect, store and maintain 
records related to, and in furtherance of, the counterintelligence 
collections and activities of the DHS CI Program. DHS will use this 
system to conduct administrative inquiries to identify, analyze, and 
neutralize foreign intelligence threats to DHS personnel, facilities, 
equipment, networks, information and activities; report on foreign 
contacts and travel, including briefings and debriefings; conduct 
counterintelligence investigative activities and produce intelligence 
on foreign intelligence entities; provide counterintelligence awareness 
training; and other activities relating to the DHS CI Program's 
responsibilities.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    <bullet> Current and former DHS employees, contractors, 
consultants, detailees, interns, applicants for employment, and other 
individuals provided authorized access to DHS facilities, systems, or 
sensitive or classified information;
    <bullet> Individuals who are known, reasonably believed to be, or 
are suspected of being, involved in or linked to:
    <bullet> Intelligence activities, or other individuals known or 
suspected of engaging in intelligence activities, on behalf of FIEs;
    <bullet> officers or employees of, or otherwise acting for or on 
behalf of, a foreign government or element thereof, foreign 
organizations, or foreign persons;
    <bullet> officers, employees, or members of an organization 
reasonably believed to be owned or controlled directly or indirectly by 
a foreign power; or
    <bullet> clandestine intelligence activities, sabotage, 
assassinations, or international terrorist activities.
    <bullet> Individuals reasonably believed to be targets, hostages, 
or victims of international terrorist organizations, transnational 
criminal organizations, or drug trafficking organizations;

[[Page 80803]]

    <bullet> Individuals who are closely associated with the above 
categories (e.g., immediate family members, members of a household, 
business partners); and
    <bullet> Individuals who voluntarily request assistance or 
information, through any means, from the DHS CI Program, or individuals 
who voluntarily provide information concerning any of the activities 
above, which may threaten or otherwise affect homeland security.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system may collect the following types of information if 
related to CI:
    <bullet> Classified and unclassified intelligence (national 
intelligence, foreign intelligence, and counterintelligence), 
counterterrorism, homeland security, and related law enforcement 
information, including source records and the reporting and results of 
any analysis of this information, obtained from all agencies, 
components and organizations of the Federal government, including the 
IC; foreign governments, organizations or entities, and international 
organizations; State, local, tribal and territorial government agencies 
(including law enforcement agencies); and private sector entities;
    <bullet> Information provided by record subjects and individual 
members of the public;
    <bullet> Information obtained from the Terrorist Screening Center, 
the National Counterterrorism Center, or from other organizations about 
individuals known or reasonably suspected of being engaged in conduct 
constituting, preparing for, aiding, or relating to terrorism;
    <bullet> Information obtained from the National Counterintelligence 
Security Center, the Federal Bureau of Investigation, or from other 
organizations about individuals known or reasonably suspected of being 
engaged in conduct associated with espionage, other intelligence 
activities, sabotage, or assassinations;
    <bullet> Active and historical law enforcement investigative 
information;
    <bullet> Information related to lawful DHS security investigations, 
including authorized physical, personnel, and communications security 
investigations, and information systems security analysis and 
reporting;
    <bullet> Operational and administrative records, including 
correspondence records;
    <bullet> Financial information, when relevant to an authorized 
intelligence, counterterrorism, homeland security, or related law 
enforcement activity;
    <bullet> Public source data such as that contained in media, 
including periodicals, newspapers, broadcast transcripts, and other 
public reports and commercial databases;
    <bullet> Publicly available social media handles and aliases, 
associated identifiable information, and search results; and
    <bullet> Metadata, which may include but is not limited to 
transaction date, time, location, and frequency.
    Examples of information related to the ``Categories of 
Individuals'' listed above may include:
    <bullet> Individual's name and alias(es);
    <bullet> Date and place of birth;
    <bullet> Gender;
    <bullet> Country of citizenship;
    <bullet> Country of nationality;
    <bullet> Country of residence;
    <bullet> A-Number(s);
    <bullet> Email address;
    <bullet> SSN;
    <bullet> Vehicular information;
    <bullet> Government issued identification information (i.e., 
passport, driver's license),
    [cir] Document type;
    [cir] Issuing organization;
    [cir] Driver's license;
    [cir] Document number; and
    [cir] Expiration date.
    <bullet> Physical characteristics (height, weight, race, eye and 
hair color, ethnicity, identifying marks like tattoos or birthmarks);
    <bullet> Biometric information (e.g., fingerprints, photographs) 
and other information used to conduct background and security checks;
    <bullet> Physical and mailing addresses (to include U.S. and 
foreign);
    <bullet> Phone and fax numbers (including mobile phone numbers);
    <bullet> Records regarding organization membership(s) or 
affiliation(s);
    <bullet> Employment history;
    <bullet> Results from intelligence analysis related to 
counterintelligence;
    <bullet> Background investigative reports and supporting 
documentation, including criminal background, medical, and financial 
data;
    <bullet> Family relationships (e.g., parent, spouse, sibling, 
child, other dependents);
    <bullet> Criminal history;
    <bullet> Flight information;
    <bullet> Border crossing information;
    <bullet> Reports on foreign contacts;
    <bullet> Records and information from government data systems or 
retrieved from commercial data providers in the course of intelligence 
research, analysis, and reporting;
    <bullet> Immigration and visa information; and
    <bullet> Investigative files containing allegations and complaints; 
witness statements; transcripts of electronic monitoring; subpoenas and 
legal opinions and advice; reports of investigation; reports of 
criminal, civil, and administrative actions taken as a result of the 
investigation; and other relevant evidence; handwriting exemplars, 
laboratory analyses of inks and papers; handwriting analyses; 
information, reports or opinions from the forensic examination of 
documentary and digital media evidence; polygraph case files; search 
warrants and search warrant returns; indictments; certified inventories 
of property held as evidence; sworn and unsworn witness statements; 
state, local, and foreign criminal investigative information and 
reports; names and telephone numbers of individuals intercepted by 
electronic, mechanical, or other device under the provisions of 18 
U.S.C. 2510 et seq compiled during the lawful course of a criminal or 
civil investigation.
    Records will also include those relating to:
    <bullet> Management and coordination of DHS counterintelligence 
systems and activities;
    <bullet> analytical, operational, biographic, policy, management, 
training, administrative matters and operational support related to DHS 
counterintelligence, force protection, critical infrastructure 
protection, research and technology protection, threat analysis, 
counter-narcotics and risk assessments; and
    <bullet> architecture and operation of DHS counterintelligence 
information systems.
    <bullet> reports of investigation, collection, statements of 
individuals, affidavits, correspondence, and other documentation 
pertaining to investigative or analytical efforts by DHS and other U.S. 
government agencies to identify or counter foreign intelligence and 
international terrorist threats to DHS and to the United States.
    <bullet> records maintained in ad hoc or temporary databases 
established to support certain investigations, task forces or 
analytical projects.

RECORD SOURCE CATEGORIES:
    Federal, state, local, territorial, tribal, or other domestic 
agencies, foreign agencies, multinational or non-governmental 
organizations, critical infrastructure owners and operators, private 
sector entities and organizations, individuals, commercial data 
providers, and public sources such as social media, news media outlets, 
and the internet.

[[Page 80804]]

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 with information 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. secs. 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 representatives of the Department of Justice and other U.S. 
Government entities, to the extent necessary to obtain their advice on 
any matter that is within their official responsibilities, authorities, 
and missions, in order to provide support to DHS's CI Program and the 
purposes of this system.
    J. To any Federal, state, local, tribal, territorial, foreign, or 
multinational government or agency, or appropriate private sector 
individuals and organizations, with responsibilities relating to 
homeland security, including responsibilities to counter, deter, 
prevent, prepare for, respond to, or recover from a natural or manmade 
threat, including an act of terrorism, or to assist in or facilitate 
the coordination of homeland security threat awareness, assessment, 
analysis, deterrence, prevention, preemption, and response.
    K. To a Federal, state, local, tribal, or territorial government or 
agency lawfully engaged in the collection of intelligence (including 
national intelligence, foreign intelligence, and counterintelligence), 
counterterrorism, homeland security, law enforcement or law enforcement 
intelligence, and other information, when disclosure is undertaken for 
intelligence, counterterrorism, homeland security, or related law 
enforcement purposes, as authorized by U.S. Law or Executive Order, and 
in accordance with applicable disclosure policies.
    L. To any other agency within the Intelligence Community, as 
defined in Executive Order 12333, as amended, for the purpose of 
allowing that agency to determine whether the information is relevant 
and necessary to its mission-related responsibilities and in accordance 
with that agency's classified or unclassified implementing procedures 
promulgated pursuant to such orders and directives, or any other 
statute, Executive Order or directive of general applicability.
    M. To a Federal, state, local, tribal, territorial, foreign, or 
multinational government or agency, or other entity, including, as 
appropriate, certain private sector individuals and organizations, when 
disclosure is in furtherance of the CI Program and DHS information 
sharing responsibilities under the Homeland Security Act of 2002, as 
amended, the Intelligence Reform and Terrorism Prevention Act of 2004, 
the National Security Act of 1947, as amended, Executive Order 12333, 
as amended, or any successor order, national security directive, 
intelligence community directive, other directive applicable to DHS, 
and any classified or unclassified implementing procedures promulgated 
pursuant to such orders and directives, or any other statute, Executive 
Order or directive of general applicability, and where such disclosure 
is otherwise compatible with the purpose for which the record was 
originally acquired or created by DHS.
    N. To an appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency, if the information is relevant and 
necessary to a requesting agency's decision concerning the hiring or 
retention of an individual, or issuance of a security clearance, 
license, contract, grant, or other benefit, or if the information is 
relevant and necessary 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 and when 
disclosure is appropriate to the proper performance of the official 
duties of the person making the request.
    O. To the President's Foreign Intelligence Advisory Board, the 
Intelligence Oversight Board, any successor organizations, and any 
intelligence oversight entities established by the President, when 
disclosure will assist these entities in

[[Page 80805]]

the performance of their oversight functions.
    P. To foreign persons or foreign government agencies, international 
organizations, and multinational agencies or entities, under 
circumstances or for purposes mandated or imposed by Federal statute, 
treaty, or other international agreement or arrangement.
    Q. To any individual, organization, or entity, as appropriate, to 
notify them of a serious threat to homeland security for the purpose of 
guarding them against or responding to such a threat, or when there is 
a reason to believe that the recipient is or could become the target of 
a particular threat, to the extent the information is relevant to the 
protection of life, health, or property.
    R. To any Federal government agency when documents or other 
information obtained from that agency are used in compiling the 
particular record, the record is also relevant to the official 
responsibilities of that agency, and there otherwise exists a need for 
that agency to know the information in the performance of its official 
functions.
    S. 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:
    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 an individual's name or other 
identifier, including unique identifying numbers assigned by DHS or 
other government agencies.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained and disposed of in accordance with approved 
records retentions schedules. Records on U.S. Persons, as defined in 
Executive Order 12333, are retained so long as there is a mission need, 
in accordance with N1-563-09-7-1. If DHS determines that U.S. Person 
record meets the two-part test, as described in N1-563-09-7-1, the 
records must be reviewed annually to determine whether there is still a 
mission need to retain the information. The majority of the DHS CI 
Program has 180 days from the date U.S. Person information is first 
collected to determine whether it meets the two-part test.
    The exception is USCG, where, pursuant to COMDTINST M3820.12, 
``Coast Guard Intelligence Activities'', USCG originators of 
intelligence products have 90 days from the date of collection of USPER 
data to determine whether the information may be permanently retained 
within the USCG authorized procedures. USCG is working to update this 
instruction, and under the new version, will be permitted up to 5 years 
to determine if the USPER data may be permanently retained. At the 
anniversary date (or any time beforehand) a record is first certified 
as U.S. Person information can be reviewed and certified that there is 
still a mission need to retain the information. The anniversary date 
will then be set for an additional year out. This can go on for as long 
as the information is deemed necessary for the mission. Once 
certification has been removed, such records are temporary and must be 
destroyed and deleted immediately upon removal of certification. 
Certified and categorized records reaching the expiration date without 
review/renewal one year from date of categorization are temporary and 
must be destroyed and deleted upon that one-year cutoff. Finally, 
uncategorized records that do not meet the required two-part test are 
temporary and must be destroyed and deleted within 180 days (90 days 
for USCG) from the date the information is collected.
    Interception, Monitoring and Recording of Wire and Oral 
Communication Records are retained in accordance with N1-563-08-5, and 
are temporary. Records are cutoff at the end of the calendar year in 
which the record was created, and are destroyed 10 years after cutoff.
    Clip Reports are non-records, and are destroyed or deleted when no 
longer needed for reference.
    Finished Intelligence Case Files are retained in accordance with 
N1-563-07-16-4, and are permanent. Records cutoff date is at the end of 
the calendar year in which the case is closed and are transferred to 
the National Archives for permanent retention 20 years after such 
cutoff date.
    Raw Reporting Files are retained in accordance with N1-563-07-16-3, 
and are temporary. Records cutoff date is at end of calendar year such 
records are collected and are destroyed or deleted 30 years after such 
cutoff date.
    Counterintelligence Case Files are retained in accordance with N1-
563-08-4-1, and are temporary. Records cutoff date is the end of the 
fiscal year of when the case has been closed and are destroyed 20 years 
after such cutoff date.
    Non-Referral Files are retained in accordance with N1-563-08-4-3, 
and are temporary. Records are destroyed when 5 years old from first 
collected.
    Certification File records are retained in accordance with N1-563-
08-11-1, and are temporary. Records cutoff date is the end of the 
calendar year in which certification was received. Records are to be 
destroyed when 10 years old or 10 years after completion of a specific 
training program or upon separation or transfer of employee, whichever 
is sooner.
    Mission-Related Training records are retained in accordance with 
N1-563-08-11-2, and are temporary. Records cutoff date is at the end of 
the calendar year in which course or material is superseded and are 
destroyed or deleted 30 years after cutoff date.

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

RECORD ACCESS PROCEDURES:
    As described below, this system of records is exempt from the 
notification, access, and amendment provisions of the Privacy Act, and 
the Judicial Redress Act if applicable. However, DHS will consider 
individual requests to determine whether or not information may be 
released. 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 FOIA Officer for the Office of 
Intelligence and Analysis, whose contact information can be found at 
http://www.dhs.gov/foia under ``Contacts Information.'' If an

[[Page 80806]]

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, 
U.S. Department of Homeland Security, Washington, DC 20528-0655. Even 
if neither the Privacy Act nor the Judicial Redress Act provides a 
right of access, certain records about you 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 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 Title 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:
    <bullet> Explain why he or she believes the Department would have 
information being requested;
    <bullet> Identify which component(s) of the Department he or she 
believes may have the information;
    <bullet> Specify when the individual believes the records would 
have been created; and
    <bullet> Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records;

    If the request is seeking records pertaining to another living 
individual, the request must include an authorization from the 
individual whose record is being requested, authorizing the release to 
the requester.
    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, 
individuals may make a request for amendment or correction of a record 
of the Department about the individual by writing directly to the 
Department component that maintains the record, unless the record is 
not subject to amendment or correction. The request should identify 
each particular record in question, state the amendment or correction 
desired, and state why the individual believes that the record is not 
accurate, relevant, timely, or complete. The individual may submit any 
documentation that would be helpful. If the individual believes that 
the same record is in more than one system of records, the request 
should state that and be addressed to each component that maintains a 
system of records containing the record.

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The Secretary of Homeland Security, pursuant to 5 U.S.C. 
552a(j)(2), has exempted this system from the following provisions of 
the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), (e)(2), 
(e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (e)(12); (f); 
and (g)(1). Additionally, the Secretary of Homeland Security, pursuant 
to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), has exempted this system 
from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3); 
(d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). When this system 
receives a record from another system exempted in that source system 
under Title 5 U.S.C. 552a(j)(2), 5 U.S.C. 552a(k)(1), (k)(2), and 
(k)(5), DHS will claim the same exemptions for those records that are 
claimed for the original primary systems of records from which they 
originated and claims any additional exemptions set forth here.

HISTORY:
    None.
* * * * *

Constantina Kozanas,
Chief Privacy Officer, U.S. Department of Homeland Security.
[FR Doc. 2020-27315 Filed 12-11-20; 8:45 am]
BILLING CODE 9110-9N-P


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