Privacy Act System of Records: Federal Docket Management System, EPA-GOVT-2
[excerpted from: Federal Register: October 2, 2013 (Volume 78, Number 191)]
System Name: Federal Docket Management System (FDMS).
System Location: U.S. EPA, Research Triangle Park, NC.
Categories of Individuals Covered by the System: Any individual commenting on a federal agency’s rulemaking activities or submitting supporting materials and individuals requesting access to records pursuant to the Freedom of Information Act, 5 U.S.C. 552 (FOIA) or appealing initial denials of their requests.
Categories of Records in the System: Agency rulemaking materials including, but not limited to, Federal Register publications, supporting rulemaking documentation, scientific and financial studies and public comments. Records also include the requests filed for agency records pursuant to FOIA, including individuals’ names, mailing addresses, email addresses, phone numbers, user names and passwords for registered users, FOIA tracking numbers, dates requests are submitted and received, related appeals and agency responses. Records also include communications with requesters, internal FOIA administration documents (e.g., billing invoices) and responsive records.
Authority for Maintenance of System: Section 206(d) of the E-Government Act of 2002 (Pub. L. 107–347, 44 U.S.C. Ch 36); Freedom of Information Act, 5 U.S.C. 552; Privacy Act of 1974, 5 U.S.C. 552a; Clinger-Cohen Act of 1986, 40 U.S.C. 11318; and 5 U.S.C. 301.
Purpose(s): To provide the public a central online location to search, view, download and
comment on Federal rulemaking documents and a single location to submit and track FOIA requests and appeals filed with participating agencies, along with providing the agencies electronic FOIA processing and administrative capabilities.
Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of Such Uses: General routine uses A, B, C, D, E, F, G, H, K, and L apply to this system. Records may also be disclosed to another Federal agency (a) with an interest in an agency record in connection with a referral of a Freedom of Information Act (FOIA) request to that agency for its views or decision on disclosure or (b) in order to obtain advice and recommendations concerning matters on which the agency has specialized experience or particular competence that may be useful to agencies in making required determinations under FOIA.
Policies and Practices for Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System:
Storage: FDMS security protocols meet all required security standards issued by the National Institute of Science and Technology (NIST). Records in FDMS are maintained in a secure, password protected electronic system that utilizes security hardware and software to include multiple firewalls, active intruder detection, and role-based access controls. Additional safeguards will vary by agency.
Retrievability: The system has the ability to retrieve records by numerous data elements and key word searches, including name, agency, dates, subject, docket type, docket sub-type, agency docket ID, docket title, docket category, document type, CFR Part, date received Federal Register publication date, FOIA tracking number and other information retrievable with full-text searching capability.
Accessing: The public may access regulatory records in the system at Regulations.gov and FOIA records.
Safeguards: FDMS security protocols meet multiple NIST security standards from authentication to certification and accreditation. Records in the system are maintained in a secure, password protected electronic system that utilizes security hardware and software to include multiple firewalls, active intruder detection, and role-based access controls. Additional safeguards vary by agency for the regulatory records. Security controls are commensurate with those required for an information system rated moderate for confidentiality, integrity and availability as prescribed by NIST.
Retention and Disposal: Each Federal agency handles its records in accordance with its records schedule as approved by the National Archives and Records Administration NARA). FOIA records are covered under NARA General Record Schedule 14—Information Services Records unless a participating agency’s records are managed under other record schedules approved by NARA.
System Manager(s) Address and Contact Information:
eRulemaking PMO, Office of Information Collection, Collection, Office of Environmental Information, U.S. EPA, M/C 2282V, 1200 Pennsylvania Ave NW., Washington, DC 20460.
Notification Procedures: Any individual who wants to know whether this system of records contains a record about him or her, who wants access to his or her record, or who wants to contest the contents of a record, should contact the agency conducting the rulemaking activity or to the agency that provided the FOIA response, as appropriate.
Record Access Procedures: Individuals seeking access to their own personal information in this system of records is required to provide adequate identification (e.g., driver’s license, military identification card, employee badge or identification card and, if necessary, proof of authority). Additional identity verification procedures may be required as warranted. Requests must meet the requirements of EPA regulations at 40 CFR part 16.
Contesting Record Procedures: Requests for correction or amendment must identify the record to be changed and the corrective action sought. Requests must be submitted to the agency contact indicated on the initial document for which the related contested record was submitted.
Record Source Categories: Records deriving for individuals commenting on Federal rulemaking activities and filing FOIA requests and appeals.
Systems Exempted from Certain Provisions of the Act: None.