[Federal Register Volume 74, Number 151 (Friday, August 7, 2009)]
[Notices]
[Pages 39705-39708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-18931]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket Number DHS-2008-0159]


Privacy Act of 1974; DHS/FEMA-004 Grant Management Information 
Files 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 consolidate into 
one new system its inventory of record systems entitled, Federal 
Emergency Management Agency Grant Management Information Files. This 
system will enable the Department of Homeland Security to better 
administer the Federal Emergency Management Agency Disaster Recovery 
Assistance Program. Many Federal Emergency Management Agency grant 
programs collect a minimum amount of contact and grant project proposal 
information. The information contained in the Federal Emergency 
Management Agency's Grant Management Information Files is collected in 
order to determine awards for both disaster and non disaster grants and 
for the issuance of awarded funds.

DATES: The established system of records will be effective September 8, 
2009. Written comments must be submitted on or before September 8, 
2009.

[[Page 39706]]


ADDRESSES: You may submit comments, identified by DHS-2008-0159 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, such as email address, 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: 
Alisa Turner (202-646-3102), Branch Chief, Disclosure Office, Federal 
Emergency Management Agency, Washington, DC 20472. For privacy issues 
please contact: Mary Ellen Callahan (703-235-0780), Chief Privacy 
Officer, Privacy Office, U.S. Department of Homeland Security, 
Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    The goal of FEMA's grant programs is to provide funding to enhance 
the capacity of state and local jurisdictions to prevent, respond to, 
and recover from disaster and non disaster incidents including cyber 
attacks. FEMA's grant programs currently provide funds to all 50 
states, the District of Columbia, the Commonwealth of Puerto Rico, 
American Samoa, the Commonwealth of Northern Mariana Islands, Guam, and 
the U.S. Virgin Islands. FEMA grant programs are directed at a broad 
spectrum of state and local emergency responders, including 
firefighters, emergency medical services, emergency management 
agencies, law enforcement, and public officials. The source of the 
information that FEMA is collecting generally comes from state, local, 
and tribal partners seeking grant funding. Additional sources of 
information may include private and non private organizations. The 
nature of the collected data should illustrate organizations' 
familiarity with the national preparedness architecture (i.e. Federal 
Investment Strategy), identify how elements of this architecture have 
been incorporated into their regional/state/local planning, operations, 
and investments, and the demonstrated need for the grant funds.
    Many of FEMA's grant programs implement objectives addressed in a 
series of post-9/11 laws, strategy documents, plans, and Homeland 
Security Presidential Directives (HSPDs). FEMA management requirements 
are incorporated into the application processes and reflect changes 
mandated in the Implementing Recommendations of the 9/11 Commission Act 
of 2007 (the ``9/11 Act''), enacted in August 2007, as well as the FY 
2008 Consolidated Appropriations Act.
    Consistent with DHS's information sharing mission, information 
stored in the Grants Management Information Files may be shared with 
other DHS components, as well as appropriate federal, state, local, 
tribal, foreign, or international government agencies. This sharing 
will take place only after DHS determines that the receiving component 
or agency has a 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 contained in the FEMA Grant Management Information 
Files is collected in order to determine awards for both disaster and 
non-disaster grants and for the issuance of awarded funds.

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 personally identifiable 
information. 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 legal 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 
which personally identifiable information is put, and to assist 
individuals to more easily find such files within the agency. Below is 
the description of the FEMA Grants Management Information Files system 
of records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this new system of records to the Office of Management and Budget and 
to Congress.
SYSTEM OF RECORDS DHS/FEMA-004

System Name:
    DHS/FEMA-004 Grant Management Information Files.

Security Classification:
    Unclassified and sensitive.

System Location:
    Records are maintained at Federal Emergency Management Agency 
Headquarters in Washington, DC and field offices.

Categories of Individuals Covered by the System:
    Categories of entities covered by this system include: Recipients 
(grantees) of grant funds. These include state, territorial, tribal 
officials, port authorities, transit authorities, non-profit 
organizations, and, in rare instances, private companies.

Categories of Records in the System:
    Categories of records in this system include:
    <bullet> Organizational Name;
    <bullet> Employer Identification Number (EIN);
    <bullet> Name of Organization's Designated Point of Contact (POC);
    <bullet> POC work address;
    <bullet> POC work phone number;
    <bullet> POC cellphone number;
    <bullet> POC fax number;
    <bullet> POC work e-mail address;
    <bullet> Organization's Bank Routing Number;
    <bullet> Organization's Bank Account Number; and
    <bullet> Grant related information.

Authority for Maintenance of the System:
    Legal authority includes, but is not limited to:
    <bullet> The Robert T. Stafford Disaster Relief and Emergency 
Assistance Act, 42 U.S.C. 5133

[[Page 39707]]

    <bullet> The National Flood Insurance Act, 42 U.S.C. 4104c
    <bullet> Section 2003(a) of the Homeland Security Act of 2002 (6 
U.S.C. 101 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-053)
    <bullet> Section 2004(a) of the Homeland Security Act of 2002 (6 
U.S.C. 101 et seq.), as amended by Section 101, Title I of the 
Implementing Recommendations of the 9/11 Commission Act of 2007, (Pub. 
L. 110-053)
    <bullet> Section 1809 of the Homeland Security Act of 2002 (6 
U.S.C. 571 et seq.), as amended by Section 301(a), Title III of the 
Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. 
L. 110-053)
    <bullet> The Post-Katrina Emergency Management Reform Act of 2006 
(6 U.S.C. 723)
    <bullet> Title III of Division D of the Consolidated Security, 
Disaster Assistance, and Continuing Appropriations Act, 2009 (Pub. L. 
110-329)
    <bullet> Section 614 of the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (42 U.S.C. 5196c), as amended by Section 202, 
Title II of the Implementing Recommendations of the 9/11 Commission Act 
of 2007 (Pub. L. 110-053)
    <bullet> Title III of Division E of the Consolidated Appropriations 
Act, 2008 (Pub. L. 110-161)
    <bullet> Section 1406, Title XIV of the Implementing 
Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
    <bullet> Section 1513, Title XV of the Implementing Recommendations 
of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
    <bullet> Section 1532(a), Title XV of the Implementing 
Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-053)
    <bullet> 46 U.S.C. 70107
    <bullet> Federal Financial Assistance Management Improvement Act of 
1999 (Pub. L. 106-107)

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

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice or other Federal agency conducting 
litigation or in proceedings before any court, adjudicative or 
administrative body, when:
    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) 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 an individual's employer or affiliated organization to the 
extent necessary to verify employment or membership status.
    I. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information or when 
disclosure is necessary to preserve confidence in the integrity of DHS 
or is necessary to demonstrate the accountability of DHS's officers, 
employees, or individuals covered by the system, except to the extent 
it is determined that release of the specific information in the 
context of a particular case would constitute an unwarranted invasion 
of personal privacy.

Disclosure to Consumer Reporting Agencies:
    None.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    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:
    Records may be retrieved by name of organization or contact person 
covered by this system.

[[Page 39708]]

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. The system maintains a real-time 
auditing function of individuals who access the system. Additional 
safeguards may vary by component and program.

Retention and Disposal:
    In accordance with the Federal records retention requirements, 
Grant administrative records and hard copies of unsuccessful grant 
applications files are destroyed when two years old (Government Records 
Schedule (GRS) No. 3, Procurement, Supply, and Grant Records, Item 14). 
Electronically received and processed copies of unsuccessful grant 
application files are destroyed three years after rejection or 
withdrawal (GRS No. 3, Procurement, Supply, and Grant Records, Item 
13). Grant Project Records are maintained for three years after the end 
of the fiscal year that the grant or agreement is finalized or when no 
longer needed, whichever is sooner. These records are disposed of IAW 
FEMA Records Schedule N1-311-95-1, Item 1. Grant Final Reports are 
retired to the Federal Records Center three years after cutoff, and 
then transferred to National Archives 20 years after cutoff. These 
records are maintained IAW FEMA Records Schedule N1-311-95-1, Item 3. 
All other grant (both disaster and non disaster) records are maintained 
for six years and three months after the end of the fiscal year when 
grant or agreement is completed or closed. These records are disposed 
of according to IAW FEMA Records Schedule N1-311-95-1, Item 2; N1-311-
01-8, Item 1; and N1-311-04-1, Item 1.

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

Notification Procedure:
    Individuals or entities seeking notification of and access to any 
record contained in this system of records, or seeking to contest its 
content, may submit a request in writing to the component's FOIA 
Officer, whose contact information can be found at http://www.dhs.gov/foia under ``contacts.'' If an individual believes more than one 
component maintains Privacy Act records concerning him or her, the 
individual may submit the request to the Chief Privacy Officer, 
Department of Homeland Security, 245 Murray Drive, SW., STOP-0655, 
Washington, DC 20528.
    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 Director, 
Disclosure and FOIA, 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,
    <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) will not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

Record Access Procedures:
    See ``Notification procedure'' above.

Contesting Record Procedures:
    See ``Notification procedure'' above.

Record Source Categories:
    Records are obtained by grantees, applicants for award, and grant 
program monitors.

Exemptions Claimed for the System:
    None.

    Dated: July 31, 2009.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E9-18931 Filed 8-6-09; 8:45 am]
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