[Federal Register Volume 75, Number 219 (Monday, November 15, 2010)]
[Notices]
[Pages 69689-69693]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-28566]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2010-0052]


Privacy Act of 1974; Department of Homeland Security Office of 
Operations Coordination and Planning--003 Operations Collection, 
Planning, Coordination, Reporting, Analysis, and Fusion System of 
Records

AGENCY: Privacy Office, DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security is giving notice that it proposes to establish a new 
Department of Homeland Security system of records titled, ``Department 
of Homeland Security Office of Operations Coordination and Planning--
003 Operations Collection, Planning, Coordination, Reporting, Analysis, 
and Fusion System of Records.'' This system of records will allow the 
Department of Homeland Security Office of Operations Coordination and 
Planning, including the National Operations Center, to collect, plan, 
coordinate, report, analyze, and fuse information related to all-
threats and all-hazards, law enforcement activities, intelligence 
activities, man-made disasters and acts of terrorism, natural 
disasters, and other information collected or received from federal, 
state, local, tribal, and territorial agencies and organizations; 
foreign governments and international organizations; domestic security 
and emergency management officials; and private sector entities or 
individuals into the Department.
    Some of the records in this system are in part transferred from the 
Department of Homeland Security/Information Analysis and Infrastructure 
Protection--001 Homeland Security Operations Center Database system of 
records, April 15, 2005, with the overall intent of narrowing the focus 
of these records to the specific purpose outlined in this system of 
records notice. It is the Department's intent, after all records are 
transferred into this and other system of records, to retire the 
Department of Homeland Security/Information Analysis and Infrastructure 
Protection--001 Homeland Security Operations Center Database system of 
records.
    Additionally, the Department of Homeland Security is issuing a 
Notice of Proposed Rulemaking concurrent with this system of records 
elsewhere in the Federal Register. This newly established system will 
be included in the Department of Homeland Security's inventory of 
record systems.

DATES: Submit comments on or before December 15, 2010. This new system 
will be effective December 15, 2010.

ADDRESSES: You may submit comments, identified by docket number DHS-
2010-0052 by one of the following methods:
    <bullet> Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> Fax: 703-483-2999.
    <bullet> Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
    <bullet> Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change to http://www.regulations.gov, 
including any personal information provided.
    <bullet> 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: 
Michael Page (202-357-7626), Privacy Point of Contact, Office of 
Operations Coordination and Planning, Department of Homeland Security, 
Washington, DC 20528. For privacy issues please contact: Mary Ellen 
Callahan (703-235-0780), Chief Privacy Officer, Privacy Office, 
Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) Office of Operations Coordination 
and Planning (OPS), including the National Operations Center (NOC), 
proposes to establish a new DHS system of records titled, ``DHS/OPS--
003 Operations Collection, Planning, Coordination,

[[Page 69690]]

Reporting, Analysis, and Fusion System of Records.''
    This system of records will allow DHS/OPS, including the NOC, to 
collect, plan, coordinate, report, analyze, and fuse information 
related to all-threats and all-hazards, law enforcement activities, 
intelligence activities, man-made disasters and acts of terrorism, 
natural disasters, and other information collected or received from 
federal, state, local, tribal, and territorial agencies and 
organizations; foreign governments and international organizations; 
domestic security and emergency management officials; and private 
sector entities or individuals into the Department.
    OPS serves as a joint operations coordination and planning 
capability at the strategic level to support internal DHS operational 
decision making, DHS leadership, and participation in interagency 
operations. OPS integrates DHS and interagency planning and operations 
coordination in order to prevent, protect, and respond to and recover 
from all-threats and all-hazards, man-made disasters and acts of 
terrorism, and natural disasters.
    The NOC serves as the nation's homeland security center for 
information sharing and domestic incident management, dramatically 
increasing coordination between federal, state, local, tribal, and 
territorial agencies and organizations; foreign governments and 
international organizations; domestic security and emergency management 
officials; and private sector entities or individuals. The NOC collects 
and fuses information from a variety of sources everyday to help deter, 
detect, and prevent terrorist acts as well as to prepare for, respond 
to, and recover from all-threats and all-hazards, man-made disasters 
and acts of terrorism, and natural disasters. Operating 24 hours a day, 
seven days a week, 365 days a year, the NOC provides real-time 
situational awareness and monitoring of the homeland, coordinates 
incidents and response activities, and, in conjunction with other DHS 
components, issues advisories and bulletins concerning threats to 
homeland security, including natural disasters, as well as specific 
protective measures. Information on domestic incident management is 
shared with state Fusion Centers and Emergency Operations Centers (EOC) 
at all levels through Watch Officer Desks located in the NOC.
    The purpose of this system is to:
    1. Collect, plan, coordinate, and analyze all-threats and all-
hazards, law enforcement activities, intelligence activities, man-made 
disasters and acts of terrorism, natural disasters, and other 
information collected or received from Federal, State, local, tribal, 
and territorial agencies and organizations; foreign governments and 
international organizations; domestic security and emergency management 
officials; and private sector entities or individuals; and
    2. Report, integrate, and fuse such information throughout DHS in 
order to share information, increase coordination, identify and assess 
the nature and scope of information and understand risks in light of 
potential or actual vulnerabilities to the homeland; and help deter, 
detect, and prevent terrorist acts as well as to prepare for, respond 
to, and recover from all-threats and all-hazards, man-made disasters 
and acts of terrorism, and natural disasters.
    DHS is authorized to implement this program primarily through 5 
U.S.C. 301, 552, 552a; 44 U.S.C. 3101; 6 U.S.C. 121; Sec. Sec.  201 and 
514 of the Homeland Security Act of 2002, as amended; Sec.  520 of the 
Post Katrina Emergency Management Reform Act; 44 U.S.C. 3101; Executive 
Order (E.O.) 12958; E.O. 9397; E.O. 12333; E.O. 13356; E.O. 13388; and 
Homeland Security Presidential Directive 5. This system has an effect 
on individual privacy that is balanced by the need to collect, plan, 
coordinate, report, analyze, and fuse homeland security information 
coming into and going out of OPS, including the NOC. Routine uses 
contained in this notice include sharing with the Department of Justice 
(DOJ) for legal advice and representation; to a congressional office at 
the request of an individual; to the National Archives and Records 
Administration (NARA) for records management; to contractors in support 
of their contract assignment to DHS; to appropriate Federal, State, 
tribal, local, international, foreign agency, or other appropriate 
entity including the privacy sector in their role aiding OPS in their 
mission; to agencies, organizations or individuals for the purpose of 
audit; to agencies, entities, or persons during a security or 
information compromise or breach; to an agency, organization, or 
individual when there could potentially be a risk of harm to an 
individual; and to the news media in the interest of the public. A 
review of this system is being conducted to determine if the system of 
records collects information under the Paperwork Reduction Act (PRA).
    Consistent with DHS's information sharing mission, information 
contained in the DHS/OPS--003 Collection, Planning, Coordination, 
Reporting, Analysis, and Fusion System of Records may be shared with 
other DHS components, as well as appropriate Federal, State, local, 
tribal, territorial, foreign, or international government agencies. 
This sharing will only take place after DHS determines that the 
receiving component or agency has a verifiable need to know the 
information to carry out national security, law enforcement, 
immigration, intelligence, or other functions consistent with the 
routine uses set forth in this system of records notice.
    The information within this system that meets the functional 
standard of the National Suspicious Activity Reporting Initiative will 
be placed into the DHS/ALL--031 Information Sharing Environment 
Suspicious Activity Reporting Initiative (September 10, 2010, 75 FR 
55335).
    DHS is issuing a Notice of Proposed Rulemaking concurrent with this 
system of records elsewhere in the Federal Register. This newly 
established system will be included in DHS' inventory of record 
systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses, and disseminates individuals' records. The 
Privacy Act applies to information that is maintained in a ``system of 
records.'' A ``system of records'' is a group of any records under the 
control of an agency for which information is retrieved by the name of 
an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass United States citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals where systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
visitors. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of DHS by complying with DHS Privacy Act regulations, 6 CFR 
part 5.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, and the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses to 
their records are put, and to assist individuals to more easily find 
such files within the

[[Page 69691]]

agency. Below is the description of the DHS/OPS--003 Collection, 
Planning, Coordination, Reporting, Analysis, and Fusion System of 
Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
System of Records
    DHS/OPS--003

System name:
    DHS/OPS--003 Collection, Planning, Coordination, Reporting, 
Analysis, and Fusion System of Records.

Security classification:
    Unclassified, For Official Use Only, Law Enforcement Sensitive, and 
Classified.

System location:
    Records are maintained at the Department of Homeland Security (DHS) 
Office of Operations Coordination and Planning (OPS) National 
Operations Center (NOC) Headquarters in Washington, DC and field 
locations.

Categories of individuals covered by the system:
    Categories of individuals covered by the system may include:
    <bullet> Federal, State, local, tribal, and territorial officials; 
foreign government and international officials; domestic security and 
emergency management officials; and private sector individuals who 
request assistance from, provide information to, are the subject of, or 
participate with the Department in activities related to all-threats 
and all-hazards, man-made disasters and acts of terrorism, and natural 
disasters;
    <bullet> Individuals who request assistance from the Department 
related to all-threats and all-hazards, man-made disasters and acts of 
terrorism, and natural disasters;
    <bullet> Individuals who provide information to the Department 
related to all-threats and all-hazards, man-made disasters and acts of 
terrorism, and natural disasters, including Suspicious Activity Reports 
(SARs);
    <bullet> Individuals who are the subject of, or are linked in any 
manner to, all-threats and all-hazards, man-made disasters and acts of 
terrorism, and natural disasters with Departmental implications;
    <bullet> Individuals participating with, involved in, or the 
subject of domestic security or law enforcement operations, with 
Departmental implications, where activity is planned or has taken 
place;
    <bullet> Individuals participating with or involved in emergency 
management and first responder operations, with Departmental 
implications, and where activity is planned or has taken place;
    <bullet> Individuals involved in natural disasters where activity 
is planned or has taken place;
    <bullet> Individuals derived from intelligence information of 
interest to the Department;
    <bullet> Individuals who make inquiries concerning all-threats and 
all-hazards, man-made disasters and acts of terrorism, and natural 
disasters;
    <bullet> Individuals who are or have been associated with DHS 
operations.

Categories of records in the system:
    Categories of records in the system may include:
    <bullet> Full name;
    <bullet> Date and place of birth;
    <bullet> Social Security Number (Many state, local, tribal, 
territorial, domestic security, emergency management, and private 
sector individuals, organizations and agencies collect/use SSN's as an 
identifier and may be shared with the Department);
    <bullet> Citizenship;
    <bullet> Contact information including phone numbers and email 
addresses;
    <bullet> Address;
    <bullet> Physical description including height, weight, eye and 
hair color;
    <bullet> Distinguishing marks including scars, marks, and tattoos;
    <bullet> Automobile registration information;
    <bullet> Watch list information;
    <bullet> Medical records;
    <bullet> Financial information;
    <bullet> Results of intelligence analysis and reporting;
    <bullet> Ongoing law enforcement investigative information;
    <bullet> Historical law enforcement information;
    <bullet> Information systems security analysis and reporting;
    <bullet> Public source data including commercial databases, media, 
newspapers, and broadcast transcripts;
    <bullet> Intelligence information including links to terrorism, law 
enforcement and any criminal and/or incident activity, and the date 
information is submitted;
    <bullet> Intelligence and law enforcement information obtained from 
federal, state, local, tribal, and territorial agencies and 
organizations, foreign governments and international organizations; law 
enforcement, domestic security and emergency management officials; and 
private sector entities or individuals;
    <bullet> Information provided by individuals, regardless of the 
medium, used to submit the information;
    <bullet> Information obtained from the Federal Bureau of 
Investigation's (FBI) Terrorist Screening Center (TSC), or on terrorist 
watchlists, about individuals known or reasonably suspected to be 
engaged in conduct constituting, preparing for, aiding, or relating to 
terrorism;
    <bullet> Data about the providers of information, including the 
means of transmission of the data; (e.g. where it is determined that 
maintaining the identity of the source of investigative lead 
information may be necessary to provide an indicator of the reliability 
and validity of the data provided and to support follow-on 
investigative purposes relevant and necessary to a legitimate law 
enforcement or homeland security matter, such data may likely warrant 
retention. Absent such a need, no information on the provider of the 
information would be maintained)
    <bullet> Scope of terrorist, law enforcement, or natural threats to 
the homeland;
    <bullet> National disaster threat and activity information;
    <bullet> The date and time national disaster information is 
submitted, and the name of the contributing/submitting individual or 
agency;
    <bullet> Limited data concerning the providers of information, 
including the means of transmission of the data may also be retained 
where necessary. Such information on other than criminal suspects or 
subjects is accepted and maintained only to the extent that the 
information provides descriptive matters relevant to a criminal subject 
or organization and has been deemed factually accurate and relevant to 
ongoing homeland security situational awareness and monitoring efforts.
    <bullet> Name of the contributing or submitting agency, 
organization, or individual.

Authority for maintenance of the system:
    5 U.S.C. 301, 552, 552a; 44 U.S.C. 3101; 6 U.S.C. Sec.  121; 
Sec. Sec.  201 and 514 of the Homeland Security Act of 2002, as 
amended; Sec.  520 of the Post Katrina Emergency Management Reform Act; 
44 U.S.C. 3101; Executive Order (E.O.) 12958; E.O. 9397; E.O. 12333; 
E.O. 13356; E.O. 13388; and Homeland Security Presidential Directive 5.

Purpose(s):
    The purpose of this system is to:
    1. Collect, plan, coordinate, and analyze all-threats and all-
hazards, law enforcement activities, intelligence activities, man-made 
disasters and acts of terrorism, natural disasters, and other 
information collected or received from Federal, State, local, tribal, 
and territorial agencies and organizations; foreign governments and 
international organizations; domestic security and

[[Page 69692]]

emergency management officials; and private sector entities or 
individuals; and
    2. Report, integrate, and fuse such information throughout DHS in 
order to share information, increase coordination, identify and assess 
the nature and scope of said information and understand risks in light 
of potential or actual vulnerabilities to the homeland; and help deter, 
detect, and prevent terrorist acts as well as to prepare for, respond 
to, and recover from all-threats and all-hazards, man-made disasters 
and acts of terrorism, and natural disasters.

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 (including United States Attorney 
Offices) or other federal agency conducting litigation or in 
proceedings before any court, adjudicative or administrative body, when 
it is necessary to the litigation and one of the following is a party 
to the litigation or has an interest in such litigation:
    1. DHS or any component thereof;
    2. any employee of DHS in his/her official capacity;
    3. any employee of DHS in his/her individual capacity where DOJ or 
DHS has agreed to represent the employee; or
    4. the United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and DHS determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which DHS 
collected the records.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration or other 
federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations as authorized by law, but only 
such information as is necessary and relevant to such audit or 
oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by DHS or another agency or entity) or harm to the 
individual that rely upon the compromised information; and
    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    G. To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To appropriate Federal, State, local, tribal, or foreign 
governmental agencies or multilateral governmental organizations for 
the purpose of protecting the vital interests of a data subject or 
other persons, including to assist such agencies or organizations in 
preventing exposure to or transmission of a communicable or 
quarantinable disease or to combat other significant public health 
threats; appropriate notice will be provided of any identified health 
threat or risk.
    I. To a Federal, State, tribal, local or foreign government agency 
or organization, or international organization, lawfully engaged in 
collecting law enforcement intelligence information, whether civil or 
criminal, or charged with investigating, prosecuting, enforcing or 
implementing civil or criminal laws, related rules, regulations or 
orders, to enable these entities to carry out their law enforcement 
responsibilities, including the collection of law enforcement 
intelligence.
    J. To Federal and foreign government intelligence or 
counterterrorism agencies or state, local, tribal or territorial 
components where DHS becomes aware of an indication of a threat or 
potential threat to national or international security.
    K. To Federal and foreign government intelligence or 
counterterrorism agencies or state, local, tribal or territorial 
components where the information is or may be terrorism-related 
information and such use is to assist in anti-terrorism efforts.
    L. To an organization or individual in either the public or private 
sector, where there is a reason to believe that the recipient is or 
could become the target of a particular terrorist activity or 
conspiracy, to the extent the information is relevant to the protection 
of life or property.
    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 or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS' officers, 
employees, or individuals covered by the system, except to the extent 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
are stored on magnetic disc, tape, digital media, and CD-ROM.

Retrievability:
    Much of the data within this system does not pertain to an 
individual; rather, the information pertains to locations, geographic 
areas, facilities, and other things or objects not related to 
individuals. However, some personal information is captured. Personal 
data

[[Page 69693]]

may be retrieved by NOC tracker numbers, name, social security number 
and other identifiers listed under the Categories of Records Section. 
Most information is stored as free text and any word, phrase, or number 
is searchable.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to the computer system containing the records in this 
system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions.

Retention and disposal:
    OPS is working with the DHS Records Officer to develop a NARA 
approved retention schedule.

System Manager and address:
    Director, Office of Operations Coordination and Planning, National 
Operations Center, Department of Homeland Security, Washington, DC 
20528.

Notification procedure:
    The Secretary of Homeland Security is proposing to exempt this 
system from the notification, access, and amendment procedures of the 
Privacy Act. However, DHS/OPS will consider individual requests to 
determine whether or not information may be released. 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 OPS FOIA Officer, whose contact information can 
be found at http://www.dhs.gov/foia under ``contacts.''
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Privacy 
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the 
following:
    <bullet> An explanation of why you believe the Department would 
have information on you;
    <bullet> Identify which component(s) of the Department you believe 
may have the information about you;
    <bullet> Specify when you believe the records would have been 
created;
    <bullet> Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records; 
and
    <bullet> If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

Record access procedures:
    See ``Notification procedure'' above.

Contesting record procedures:
    See ``Notification procedure'' above.

Record source categories:
    Information contained in this system is obtained from subject 
individuals, other Federal, State, local and tribal agencies and 
organizations, domestic and foreign media, including periodicals, 
newspapers, and broadcast transcripts, public and classified data 
systems, reporting individuals, intelligence source documents, 
investigative reports, and correspondence.

Exemptions claimed for the system:
    The Secretary of Homeland Security has exempted this system from 
the following provisions of the Privacy Act, subject to the limitation 
set forth in 5 U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), 
(e)(4)(I); and (f) pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3).

    Dated: November 5, 2010.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2010-28566 Filed 11-12-10; 8:45 am]
BILLING CODE 9110-9A-P