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pdfPrivacy Impact Assessment
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Individual Assistance (IA) Program
DHS/FEMA/PIA-049
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Contact Point
Christopher B. Smith
Office of Response and Recovery
Federal Emergency Management Agency
(202) 646-3642
Reviewing Official
Philip S. Kaplan
Chief Privacy Officer
Department of Homeland Security
(202) 343-1717
Privacy Impact Assessment
DHS/FEMA/PIA-049 Individual Assistance Program
Page 1
Abstract
The U.S. Department of Homeland Security (DHS), Federal Emergency Management
Agency (FEMA), Office of Response and Recovery (ORR), Individual Assistance Division
manages the Individual Assistance (IA) programs. These programs provide disaster recovery
assistance to individuals and support FEMA’s recovery mission under the Robert T. Stafford
Disaster Relief and Emergency Assistance Act, as amended (Stafford Act), through the collection
and processing of disaster survivor information obtained through electronic or paper-based means.
FEMA is publishing this Privacy Impact Assessment (PIA) to broadly cover the collection, use,
maintenance, retrieval, and dissemination of personally identifiable information (PII) of applicants
for the purpose of implementing the FEMA IA programs.
Overview
Individual Assistance (IA)1 is authorized when a Governor or Tribal Chief Executive
requests federal assistance and the President of the United States declares a major disaster or
emergency.2 The Governor’s or Tribal Chief Executive’s request for assistance may include any
of the following: IA, Public Assistance (PA), or Hazard Mitigation Assistance (HMA). FEMA
may begin the initial collection of individual applicants’ information once a Presidential
declaration has occurred or may be imminent for a major disaster or emergency.
The IA Division’s mission is to ensure that disaster survivors have timely access to a full
range of programs and services to maximize their recovery. To support this mission, the IA
Division operates the IA programs, which include the Individual and Households Program (IHP)
and the Transitional Sheltering Assistance (TSA) program. The IHP3 provides financial assistance
and direct services to those who have necessary expenses and serious needs as a direct result of a
disaster and are unable to meet those needs through other means. The TSA program provides
survivors with lodging in hotels or motels that are paid directly by FEMA. The provision of IHP
and TSA requires FEMA to collect, use, maintain, and share PII and sensitive PII (SPII)4 from
applicants, and this is accomplished through various information technology (IT) systems,
applications, and forms. FEMA is publishing this PIA to discuss the IHP and TSA from a
programmatic standpoint, to include the IHP and TSA’s initial collection of information, its
1
Individual Assistance refers to money or direct assistance to eligible individuals and households whose property
has been damaged or destroyed as a direct result of a major disaster or emergency and whose losses are not covered
by insurance or other means.
2
42 U.S.C. §§ 5121-5207.
3
42 U.S.C. § 5174(a)(1).
4
SPII refers to the use of the Social Security number, bank account information, and limited medical information.
For the purposes of this document, “PII” will be used to refer to both regular PII and SPII.
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eventual use and storage, and the associated technologies and tools used to support the program.
With the publication of this PIA, the following PIAs have been retired:
DHS/FEMA/PIA-001 Emergency Preparedness and Response (EP&R) Individual
Assistance (September 21, 2004).
DHS/FEMA/PIA-012a Disaster Assistance Improvement Program (DAIP) (November
16, 2012).
DHS/FEMA/PIA-027 National Emergency Management Information System-Individual
Assistance (NEMIS-IA) (June 29, 2012).
DHS/FEMA/PIA-038(a) Virginia Systems Repository (VSR): Data Repositories (May
12, 2014).
Individuals and Households Program
The most prominent IA program is the IHP, which requires the collection of certain PII in
order to properly administer the program. IHP provides financial assistance and direct assistance
in the form of temporary housing assistance to those who have necessary expenses and serious
needs as a direct result of a disaster and are unable to meet those needs through other means.5 IHP
consists of Housing Assistance (HA) and Other Needs Assistance (ONA), which comprise the core
services that FEMA provides directly to eligible individuals and households.
HA provides financial or direct assistance to individuals or households whose property has
been damaged or destroyed by a major disaster or emergency and whose losses are not covered by
insurance. HA may consist of Lodging Expense Reimbursement, Rental Assistance, Direct
Temporary Housing Assistance, Repair Assistance, Replacement Assistance, or Permanent or
Semi-Permanent Housing Construction. ONA provides financial assistance for disaster-related
necessary expenses and serious needs that are not covered by insurance. To determine the
assistance needs of an applicant, National Processing Service Center (NPSC)6 representatives may
ask medically-related questions to determine what types of durable medical equipment may have
been lost or damaged due to the disaster, or what modifications to FEMA-provided housing may
be necessary to make a dwelling safe for an applicant or household member with access and
functional needs. State, territorial, or tribal governments may elect to administer ONA themselves
or jointly with FEMA. If ONA is being administered jointly, state, territorial, or tribal government
5
See Individuals and Households Program Unified Guidance, FP 104-009-03 (September 2016), available at
https://www.fema.gov/media-library-data/14835670808281201b6eebf9fbbd7c8a070fddb308971/FEMAIHPUG_CoverEdit_December2016.pdf.
6
NPSCs are call centers where survivors can call FEMA’s toll-free phone number to apply for assistance or check
the status of an existing application. FEMA operates three NPSCs located in Denton, TX, Hyattsville, MD, and
Stephenson, VA, and these sites are staffed year-round and have the capability to expand with additional staff within
five hours of a Presidential disaster declaration.
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users will have access to the State Web Module in National Emergency Management Information
System-Individual Assistance (NEMIS-IA), FEMA’s master database that supports the
administration of various available disaster assistance programs.
Transitional Sheltering Assistance (TSA)
FEMA may provide TSA to applicants who are unable to return to their pre-disaster
primary residence because their home is uninhabitable or inaccessible due to a Presidentiallydeclared disaster. TSA is intended to reduce the number of disaster survivors congregating in
shelters by quickly transitioning survivors into short-term accommodations through direct
payments to lodging providers.
In order to move individuals out of temporary shelters and into transitional
accommodations, such as hotels and motels, FEMA will survey survivors in temporary shelters,
sometimes prior to their formal registration for assistance. These surveys will include contact
information, FEMA registration status, and TSA eligibility or rental assistance eligibility. If the
individual is not registered for FEMA assistance, FEMA will also deploy a strike team7 to register
the individual for IA. Once they are registered, the data that was collected in the temporary shelters
will be correlated against the formal registration data. If found eligible for TSA assistance,
applicants’ PII may be shared with lodging providers in order to transition the applicant into shortterm accommodations. This determination is made automatically when an applicant first applies
for assistance, and his or her PII is only shared if found eligible.
Disaster Assistance Improvement Program (DAIP)
Under Executive Order (EO) 13411, FEMA was required to simplify the process of
identifying, applying for, and checking the status of disaster assistance. 8 As a result, FEMA
implemented the Disaster Assistance Improvement Program (DAIP), which provides a single point
of collection for disaster survivor information, regardless of whether a survivor applies for
assistance online9 or via phone. DAIP initiates the collection of information relevant to all disaster
assistance programs. Through established criteria and programs, DAIP then disseminates the
information to other federal agencies and to NEMIS-IA. During this time, DAIP also performs
verification of records and checks for duplication of benefits.
EO 13411 also required FEMA to “strengthen controls designed to prevent improper
payments and other forms of fraud, waste, and abuse.” The DAIP IT system automatically flags
potentially duplicate records, which alerts FEMA personnel that the record should be manually
7
A strike team is a group of FEMA personnel deployed to a disaster-affected area to assist survivors in applying for
IA.
8
Executive Order 13411, “Improving Assistance for Disaster Victims.” 71 FR 52729 (September 6, 2006).
Available at https://www.gpo.gov/fdsys/pkg/WCPD-2006-09-04/pdf/WCPD-2006-09-04-Pg1527.pdf.
9
www.DisasterAssistance.gov.
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reviewed, and prevents the applicant from receiving any assistance until the potential duplicate is
resolved. FEMA further prevents survivors from receiving duplicate benefits by sharing survivor
information with participating federal agencies, enabling them to adjust or offset disbursements to
survivors as required under 44 CFR § 206.191. In furtherance of this requirement, FEMA has
established Computer Matching Agreements (CMA) with the U.S. Department of Housing and
Urban Development (HUD) and the Small Business Administration (SBA) as a measure to prevent
applicants from receiving duplicate benefits. FEMA’s CMAs are discussed further in section 6.2.
IT Systems
FEMA operates and uses the following IT systems to support the administration of the IA
program and processes. These IT systems facilitate various functions to help FEMA assess and
meet the needs of survivors. While they are separate IT systems, they all use the same PII data
elements, and receive PII from the same, original data sources—the survivor applicants
themselves. The data is collected once during the survivor’s initial contact with FEMA and it flows
into the IT systems outlined below:
10
DAIP10 is the initial collection point for applicant PII, and is the IT system that NPSC
staff enter survivor information into in order to initiate a survivor’s application for FEMA
assistance. The DAIP IT system then disseminates applicant information to NEMIS-IA
and to other federal agencies to support the administration of available disaster assistance
programs.
NEMIS-IA11 is the IT system that houses survivor case files and is the master database
that FEMA uses to administer its assistance programs and make disaster assistance
decisions.
VSR12 is a platform that supports Temporary Sheltering Assistance (TSA) and houses
numerous applications that provide support to various IA functions, including Continued
Rental Assistance, communications with staff at an NPSC, and communications to
applicants.
Disaster Management and Support Environment (DMSE) Cloud Environment (CE)13 is
ultimately where the information collected by Disaster Survivor Assistance (DSA) mobile
application is stored.
See Appendix A, p. 54.
See Appendix A, p. 49.
12
See Appendix A, p. 58.
13
See Appendix A, p. 62.
11
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Automated Construction Estimating (ACE)14 is the tool that field inspectors use to collect
and store inspection data of properties damaged during a disaster. ACE receives survivor
PII from NEMIS-IA in order to schedule and conduct housing inspections.
FEMA IHP Program Management Section Customer Resource Management portal15
supports the IHP Helpdesk that FEMA uses internally to track issues with applicants’ files.
Through the use of the IT systems and tools, FEMA is able to administer its assistance
programs and fulfill the needs of IA applicants. They also help FEMA provide and improve
customer service by making the relevant information more easily accessible to FEMA personnel
who provide IA services and by reducing the wait times for applicants requesting IA services. In
order to accomplish their intended purposes, these systems may use a variety of disaster survivor
PII, up to and including the full dataset collected from the survivor’s initial application.16
Having an interconnected network of systems allows survivor information to be collected
once, minimizing the data files necessary to complete the registration process, and enables the
information to be disseminated to the authorized agencies that are part of the disaster assistance
process. Ultimately, data in NEMIS-IA is replicated into the Enterprise Data
Warehouse/Operational Data Store,17 in order to allow FEMA to conduct reporting and analysis
to inform leadership and to improve customer service in the future.
The PII stored in each IT system is only that which is necessary to allow the IT system and
FEMA personnel to perform their job functions, and access is only granted to specific IT systems
based on mission need and an individual’s need to know.
Disaster Assistance Application Process
Survivors’ first interaction with FEMA is typically through the website
www.disasterassistance.gov, or through the FEMA Helpline, where they can speak with a NPSC
representative. However, in some circumstances, FEMA may pre-register survivors who are not
already registered for disaster assistance by surveying them for their contact information and
registration status in order to rapidly provide access to TSA and move them out of temporary masscare shelters. Survivors requesting disaster assistance online use the pre-screening questionnaire18
service hosted on www.disasterassistance.gov to identify types of assistance for which they may
be eligible, and then they may choose to register directly for assistance. The pre-screening
14
See Appendix A, p. 70.
See Appendix A, p. 72.
16
See OMB 1660-002: FEMA Form 009-0-001.
17
See DHS/FEMA/PIA-026 Operational Data Store (ODS) and Enterprise Data Warehouse (EDW) (June 29, 2012),
available at https://www.dhs.gov/sites/default/files/publications/privacy_pia_fema_026_2012.pdf.
18
The website www.disasterassistance.gov and the pre-screening questionnaire is hosted by the U.S. Department of
Labor (DOL), but all of the information collected from applicants is not shared with DOL; rather, all applicant PII is
entered directly into the DAIP IT system.
15
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questionnaire provides a list of the types of assistance and the option to print the assistance
descriptions at a later time or to email assistance descriptions as a reference for later.
To apply for disaster assistance, survivors have four options: visit the website
www.disasterassistance.gov (mobile or full desktop site), call the FEMA Disaster Assistance
Helpline and speak to an NPSC representative, register directly with a member of the DSA cadre,19
or apply using paper forms at a Disaster Recovery Center (DRC).20 Survivors may also check the
status of their registration by creating or accessing an online account on
www.disasterassistance.gov. If a survivor decides to apply online, he or she uses FEMA’s online
Disaster Assistance Center (DAC) to complete the registration process. If a survivor chooses to
register in person with a DSA cadre member, the DSA cadre member collects the survivor’s PII
using a FEMA-issued mobile device and enters it directly into DAIP. If a survivor calls the Disaster
Assistance Helpline, an NPSC representative will read a Privacy Notice, collect the survivor’s PII,
and enter it into DAIP.
Regardless of the method of registration, FEMA collects the survivor and co-applicant’s21
PII to determine whether the survivor is eligible for FEMA assistance. The survivor either enters
the information into the online form or provides the information directly to the DSA or NPSC
representative. This information includes name, date of birth, and Social Security number (SSN)
of the applicant and co-applicant, as well as address, household bank account information, contact
information, the names and ages of all occupants, information about the damaged dwelling,
ownership or renter status, insurance information, disaster-related expenses (medical, dental, child
care), disaster-related vehicle damage, emergency needs, business damage, and income
information.
Regardless of the method of registration, the information collected from survivors is
initially entered into DAIP. DAIP then disseminates the information to NEMIS-IA and the other
IA IT systems that require the information to accomplish their purposes in facilitating the IA
process. DAIP disseminates information based on eligibility determination, and NEMIS-IA
determines the following: FEMA Disaster Registration Number, which is a unique identifier for
the applicant’s file; Application Status (“In-Process,” “Submitted” “Approved,” or “Denied”);
19
The mission of the DSA program is to build and sustain an expeditionary workforce that can establish a timely
presence primarily focused on addressing the needs of disproportionately impacted populations and disaster
survivors. DSA cadre members register survivors for disaster assistance, provide guidance on the registration
process, and provide an overview of the assistance available through FEMA.
20
See Individuals and Households Program Unified Guidance, FP 104-009-03 (September 2016), p. 31, available at
https://www.fema.gov/media-library-data/14835670808281201b6eebf9fbbd7c8a070fddb308971/FEMAIHPUG_CoverEdit_December2016.pdf.
21
A co-applicant is often included to allow an individual other than the main applicant to be able to check the status
of the application. Under most circumstances, the co-applicant and the applicant are spouses or domestic partners. If
the co-applicant is not listed as such, FEMA personnel cannot discuss the application status or reveal any details of
the application to that individual. Without a co-applicant, FEMA can only discuss the application status with the
original applicant.
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Housing Inspection Required (Y/N); Priority of Assistance; Type of Assistance being considered;
and time stamps.
Once an application is completed, FEMA sends out a hard-copy version to the applicant,
so that he or she has a chance to review it for accuracy. An important part of the mail-out package
is the Eligibility Determination Letter, which explains to the survivor the types of benefits for
which FEMA has found them to be eligible.22 This mail-out package also includes instructions on
the appeal process, as well as a redress notice. This mail-out package is sent automatically, unless
an applicant opts out of receiving it and chooses instead to receive all correspondence
electronically.
After completing the initial registration, survivors are required to submit proof of the
following items, as appropriate: identity, such as a driver’s license or passport; home ownership;
residential rental leases; insurance; medical bills, in the event of a disaster-related medical
condition; and tax forms. Other substantiating documentation may also be submitted (e.g.,
photographs of damage) dependent upon the circumstance. Survivors can submit this
documentation through www.disasterassistance.gov, by faxing it, or by mailing directly to FEMA.
After receipt, the documents are stored in FEMA’s enterprise document management system,
Document Management and Records Tracking System (DMARTS).23
In order to monitor their application status or update their information, survivors may
establish a User ID, password, and personal identification number (PIN) to create an online
account at www.disasterassistance.gov. Only survivors who wish to gain access to their application
information will need to create an account. Otherwise, no account is required in order to receive
assistance.
Third-Party Validation
To prevent fraud, IHP uses third-party validation services to validate an applicant and coapplicant’s identities and the accuracy of the address provided.
When a survivor initiates a request for disaster assistance, FEMA requests the survivor’s
name, address, SSN, and date of birth. The DAIP routes this to a third-party identity proofing (IdP)
service to conduct identity authentication. The IdP authentication service generates knowledgebased questions that verify information through financial transactions, public records, and other
services. An individual must correctly answer the IdP questions in order to authenticate his or her
identity and continue the application process. In cases in which the applicant registers online, via
the FEMA mobile website or by telephone, the IdP service will return a “pass/fail” flag notifying
22
See Individuals and Households Program Unified Guidance, FP 104-009-03 (September 2016), p. 37, available at
https://www.fema.gov/media-library-data/14835670808281201b6eebf9fbbd7c8a070fddb308971/FEMAIHPUG_CoverEdit_December2016.pdf.
23
DHS/FEMA/PIA-009(a) Document Management and Records Tracking System (DMARTS) (May 15, 2013).
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the applicant of his or her status in a matter of seconds. Applicants registering via the paper form
will only be notified of a “fail” flag by FEMA staff.
If FEMA receives a “fail” flag,24 FEMA staff will review, directly with the applicant, the
accuracy of the name spelling, date of birth, and SSN recorded in the registration. If his or her
identity still remains flagged as “fail,” and FEMA cannot validate that particular applicant’s
identity, FEMA staff will ask if there is another household member whose name and SSN could
be used to complete the registration for the household. If so, FEMA staff will communicate with
the new household member and restart the registration using his or her information as the primary
registrant. If no other household member is able to verify his or her own identity, the caller will be
advised that assistance cannot be processed unless an identity is verified and the caller should
submit identity verification documents to FEMA via fax or mail as soon as he or she is able. The
initial application may be completed without identity verification, but any assistance
determinations will not occur until after FEMA validates the applicant’s identity.
The following are acceptable documents that applicants may submit to FEMA for the
purpose of identity verification:
Documentation from the Social Security Administration (SSA), or other federal entity,
containing full or last four digits of the SSN;
Social Security card, if accompanied by federal or state-issued identification;
Employer’s payroll document containing full or last four digits of the SSN;
Military identification;
Marriage license to confirm proof of maiden name–if identity verification still fails using
the maiden name, a different identity document will need to be submitted;
United States passport; and,
On a case-by-case basis, FEMA may allow applicants residing in U.S. territories to
submit specific identity documents, such as voter registration cards.
Once the identity is verified, FEMA determines whether the applicant is eligible for
assistance through the IHP, and the applicant’s PII is routed and stored in the NEMIS-IA system
to begin processing. Once the PII is in the NEMIS-IA system, FEMA is able to determine the types
and amounts of assistance for which the applicant may be eligible.
Should a survivor wish to create an online account for the purpose of checking the status
of or performing limited updates to his or her registration, the same information taken from
A “fail flag” would typically occur when a potential applicant answers too many of the screening questions
incorrectly.
24
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publicly available and commercial sources is also used by the third-party IdP service to generate
four questions that are used to authenticate the survivor.
IHP also validates address information and property ownership records against public
records. This process validates the site address, the flood plain mapping information for the
address, the Assessor’s Parcel Number (APN),25 property records, and the specific latitude and
longitude coordinates. This is an automated process that validates the submitted damaged
dwelling’s address using a commercial database. This is necessary to update invalid addresses that
are either entered incorrectly or to identify those addresses that require more information to verify.
This process serves as a reliable source for accurate addresses. It helps FEMA provide timely
assistance to survivors during disaster recovery, and avoids deficiencies or delays that could occur
due to inaccurate or incomplete address information.
Collecting Additional Information
FEMA IA may reach out to a survivor to request additional information in the event that
an application is incomplete, or to verify the survivor’s current information (e.g., continuing need
for rental assistance). These call-outs are supported by the Virginia Systems Repository (VSR)26
and the data collected is described in Appendix A. VSR has a sub-application called the Callout
and Review System (CARS) that reminds NPSC staff that additional information is needed from
a particular survivor and that the survivor should be contacted in order to gather this information.
Applicants whose files are incomplete are put into a queue, which controls the number of times
FEMA contacts them and allows the survivor to schedule a specific callback time.
FEMA Field Personnel
Onsite Inspections
In order to validate an applicant’s disaster-caused losses, FEMA staff or contracted
inspectors conduct onsite inspections. Not all applicants require an onsite inspection. For example,
applicants with no reported real or personal property damage, or with damage believed to be fully
covered by insurance, are not inspected. For those registrations that do require onsite inspections,
ACE assigns inspectors to perform onsite inspections and confirm damage to applicants’ real and
personal property (e.g., home, car, furniture).
FEMA uses the PII originally collected from survivors during the IHP application process
to enable inspectors to inspect properties and store information pertaining to the damage caused
by a disaster using mobile devices and the ACE application, discussed in the Appendix.27 The
25
The APN is a tax record number that is associated to the specific property parcel. When this APN is available, it
can also be tied with data about that parcel such as the building size, the number of bedrooms in the building, and
whether it is a mobile home.
26
See Appendix A, p. 58.
27
See Appendix A, p. 70.
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inspectors use the information to confirm the applicant’s registration data by verifying the
applicant’s identification, address, and telephone numbers. Inspectors will also capture relevant
information while they are with the applicant in order to verify the damage to a property. Once the
inspection is complete, the inspector uploads the data from the onsite inspection into ACE. The
results of the onsite inspection collected by FEMA housing inspectors are used to determine the
level of assistance that may be provided to the survivor.
In some instances, inspectors may update applicant information in order to correct
information within NEMIS-IA. In such instances, the information is transmitted to FEMA’s IA IT
systems and the data is rerun against the same identity verification processes to which the initial
registration information was subject.
Disaster Survivor Assistance (DSA) Cadre
In addition to home inspections, field inspections, not specifically focused on applicant
dwellings, may be conducted by members of FEMA’s DSA cadre. While in the field, cadre
members use a mobile application, DSA Smart,28 that allows them to input information gathered
during field inspections. This information may include mapping data, situational awareness of
disaster areas, and any other information disaster survivors report (non-PII). Survivors typically
report downed trees and power lines, flooded roads, and other disaster-related safety and recovery
issues. These reports provide actionable, timely, and comprehensive summary status reports that
are designed to inform leadership decision-making. DSA cadre members help to identify general
survivor needs and describe any broad-based trends or the need for increased support in the
impacted area. The DSA cadre uses the DMSE CE29 tool to collect and store information from
survivors. The information is then aggregated to provide leadership with operational and localized
information about a disaster to enable better operational decision-making, including scalability
decisions based upon accurate estimates of the size and breadth of a disaster. In the event that the
DSA cadre meets survivors that have not yet registered for FEMA assistance, DSA cadre members
will assist the survivor in applying for assistance through www.disasterassistance.gov.
Appeals/Recoupment/Oral Hearings Process
Appeals
Applicants who disagree with FEMA’s eligibility determination on their case have the right
to submit a written appeal to the FEMA NPSC for a review of their case.30 The applicant’s appeal
letter must explain the reasons for the appeal and must be signed by the applicant or person who
the applicant authorizes to act on his or her behalf. Applicants must file an appeal contesting their
initial eligibility determination within sixty days of the date on their Eligibility Notification
28
See Appendix A, p. 62.
See Appendix A, p. 62.
30
42 U.S.C. § 5189a; 44 CFR § 206.115.
29
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Letter.31 The appeal submission must either be notarized or submitted by the individual under
penalty of perjury as a substitution for notarization.32 The appeal should also include the following
information:
Applicant’s/Co-applicant’s full name;
Applicant’s/Co-applicant’s FEMA registration ID;
FEMA Disaster Number (generated by FEMA, provided to survivors via NPSCs,
Disaster Recovery Centers, etc.);
Address of the Applicant’s/Co-applicant’s pre-disaster primary residence; and,
Applicant’s/Co-applicant’s current phone number and address.
Applicants/Co-Applicants may appeal the following determinations:
Initial eligibility determinations for Housing Assistance and ONA, including:
o The amount or type of Housing Assistance and ONA an applicant received;
o The decision to withdraw an application for FEMA disaster assistance;
o The recovery of funds improperly awarded to an applicant; and,
o The denial of a late application request for assistance.
A denial for Continued Rental Assistance
Direct Housing Assistance determinations, including:
o The termination of eligibility to remain in a FEMA-provided mobile housing unit
(MHU);
o FEMA’s intent to collect rent or the amount of rent collected from occupants of a
FEMA-provided MHU;
o A denial of a request to purchase a FEMA-provided MHU;
o The sales price of a FEMA-provided MHU the applicant may want to purchase;
and,
o Any other eligibility-related decision.
31
See Individuals and Households Program Unified Guidance, FP 104-009-03 (September 2016), p. 26, available at
https://www.fema.gov/media-library-data/14835670808281201b6eebf9fbbd7c8a070fddb308971/FEMAIHPUG_CoverEdit_December2016.pdf.
32
6 CFR 5.21(d).
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Recoupment
FEMA regularly performs internal audits of disaster assistance payments to ensure
taxpayer dollars were properly spent. Those reviews often show a small percentage of specific
cases in which disaster assistance was given to applicants who were not eligible for some or all of
the money they received. FEMA may also identify errors while processing additional disaster
assistance or appeals. FEMA may recover these funds through a process called “recoupment.”33
FEMA employs a deliberative process to identify and verify payments that must be
recouped and established as debts. This process involves multiple levels of FEMA staff and
management review and validation before a debt is established. When FEMA determines
assistance was given to applicants who were not eligible for some or all of the money received,
FEMA IA program staff notifies the applicant in writing of his or her potential debt and his or her
right to appeal the decision. Prior to recoupment, FEMA will, whenever possible, attempt to obtain
additional information that may demonstrate that the funds do not need to be repaid by contacting
the applicant, contractors, landlords, insurance companies, or other third parties.
FEMA requests the return of IHP Assistance for the following reasons:
Duplication of benefits, which occurs when FEMA provides funds that were also
previously received from another source, such as insurance or another federal agency. A
duplication of benefits may also occur when multiple applicants in a household receive
an award for the same item or type of assistance.34
Assistance provided in error, which occurs when FEMA determines an applicant
was provided assistance for which he or she is not eligible.
Funds spent inappropriately, which occurs when FEMA determines the applicant
spent the funds on ineligible items (e.g., using assistance to pay off credit card
debt).
Potential fraud, which occurs when FEMA determines the applicant obtained the
assistance through false means (e.g., false address, submitting false or altered
documents, misrepresenting insurance coverage).
In the event of potential fraud, the investigation and the associated files are handled by
FEMA’s Office of the Chief Security Officer’s Fraud and Internal Investigations Division. This
activity will be covered under a separate, forthcoming System of Records Notice (SORN) and
PIA. However, because these files originate as IA Disaster Registration files and will end up back
in IA to allow for the recoupment process to occur, they are being mentioned in this PIA.
33
34
44 CFR § 206.116.
44 CFR § 206.191.
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Once FEMA has determined that the applicant was awarded more assistance than that for
which he or she was eligible, FEMA IA staff will send the applicant a written “Notice of Potential
Debt” identifying all of the following:
The amount of assistance the applicant received for which FEMA has determined the
applicant is ineligible;
The reason(s) the applicant is not eligible for the assistance provided;
The process for appealing the decision, including the process for requesting an oral
hearing;
The documentation required to dispute the ineligibility determination; and,
The notice that a final determination will be provided to the applicant informing the
applicant whether a debt is owed.
Applicants who disagree with the potential debt amount or reason may submit a written
appeal or request for an oral hearing within 60 days of the date on the FEMA potential debt
notification letter.
Notice of Potential Debt and Appeal Process: Oral Hearings
Applicants may request an oral hearing as part of their written appeal. FEMA will only
grant oral hearings in limited cases, such as when there is an issue of identity theft, credibility, or
truthfulness, and the case cannot be decided solely on the review of documents. If the Oral Hearing
Officer decides not to grant an oral hearing, that decision is final and cannot be appealed.
Appeal Determination
FEMA evaluates an applicant’s case and appeal and makes a final written decision within
90 days after receiving the appeal, or 90 days after concluding the oral hearing. FEMA’s decision
is considered a final agency decision and may not be appealed again.
FEMA may approve an applicant’s appeal challenging the reason for the potential
debt or the amount of the potential debt after FEMA reviews the appeal. When FEMA
approves an appeal for the reason of the potential debt, FEMA terminates the debt and returns
any money the applicant paid to FEMA. When FEMA approves an appeal for any percentage
of the potential debt, FEMA adjusts the amount of the debt based on the appeal decision and
returns any money that was collected in excess of the award or implements debt collection
activities for any remaining debt.
FEMA may also deny an applicant’s appeal challenging the reason or amount for the
potential debt after review of the appeal. FEMA establishes the debt amount after the appeal
period expires and all decisions are rendered on any appeals received, and forwards the debt to
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the FEMA Financial Center (FFC) to implement debt collection activities. As part of the debt
collection activities, the FFC provides each applicant the opportunity to make payment
arrangements. Applicants that do not make payment arrangements will have their debt forwarded
to the United States Department of Treasury to implement further debt collection activities.
Other Federal Partners
As a further means of improving the customer service that FEMA provides to survivors,
especially during large-scale disasters, FEMA has partnered with the Internal Revenue Service
(IRS) to increase the available number of representatives who can take survivors’ disaster
assistance application calls and provide helpline support. Although the IRS is currently FEMA’s
only partner, FEMA is seeking to partner with other federal agencies with large-scale call center
capabilities.
FEMA and the IRS have memorialized this partnership through an Interagency
Reimbursable Work Agreement (IRWA) that defines the IT security requirements, privacy
requirements, rules of behavior, as well as the IRS’s duty to discipline any IRS agent who
inappropriately accesses or misuses the data found FEMA’s IT systems. The IRS agents who
support FEMA undergo a background check to ensure that the IRS agents are appropriately vetted
and should be granted access to FEMA’s IT systems. In order to gain a FEMA Enterprise Identity
Management System (FEIMS)35 account, which is required for accessing NEMIS-IA, the IRS
agents must pass cybersecurity and privacy training, as well as agree to the FEMA Rules of
Behavior. Once the IRS agents have a FEIMS account, they are also required to undergo DHS’s
annual cybersecurity training and privacy training.
The IRS agents connect directly to the FEMA network through a virtual private network
(VPN) that is accessible through a browser. The IRS agents use a User ID and password in order
to access the FEMA Enterprise Network (FEN), and once the connection is established, the IRS
agents are fully behind the DHS firewall. From within the firewall, the IRS agents are able to
access the registration intake system and NEMIS-IA based on their assigned user roles and
permissions. The IRS agents are granted a limited role within NEMIS-IA to ensure that they are
only able to access data for which they have a need to know. Each time the IRS agents access
NEMIS-IA, they must agree to system monitoring and agree to use the system appropriately.
FEMA and the IRS are not engaging in information sharing, as all survivor PII is collected
directly inside of FEMA’s IT systems. FEMA requires the IRS to provide three laptops, located at
a FEMA facility. The laptops provide FEMA with the ability to access the IRS call center’s realtime call queues, agent availability, and retrieve historical reports for all FEMA calls routed to IRS
facilities.
35
See DHS/FEMA/PIA–031 Authentication and Provisioning Services (August 6, 2013). Available at
https://www.dhs.gov/sites/default/files/publications/privacy-pia-fema-aps-20130806.pdf.
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For other participating department and federal agency programs, FEMA’s IA IT systems
electronically route relevant survivor information to the participating agencies’ IT systems, to
include the SSA,36 HUD, and SBA. From within their www.disasterasssitance.gov account, an
applicant can also choose to apply for assistance from other federal agencies. In rare circumstances
when survivors register first with HUD or SBA,37 the applicant’s PII is transferred to FEMA,
according to the terms defined in the HUD-DHS/FEMA CMA38 and the SBA-DHS/FEMA
CMA.39
Application Status Messaging
FEMA uses a third-party text message service to provide disaster survivors with
registration status change notifications, should they opt in. The text message notifications to a
survivor’s mobile device are available for a select number of registration status changes.
SMS status notifications either in English or Spanish are sent from the DAIP to the thirdparty text message service, which dispatches the notification to a survivor’s mobile phone. Status
notifications only contain the FEMA Registration ID and are available for a variety of events. The
SMS capability is expected to reduce the number of calls to FEMA NPSCs and visits to
www.disasterassistance.gov by satisfying the survivor’s desire for timely status change
notifications without requiring the survivor to repeatedly call the Disaster Assistance Helpline or
check their status online.
Section 1.0 Authorities and Other Requirements
1.1
What specific legal authorities and/or agreements permit and
define the collection of information by the project in question?
The Stafford Act40 allows the President to authorize FEMA to provide financial assistance
to individuals and households in a state where, as a direct result of a major disaster, survivors incur
necessary expenses and have serious needs that they are unable to meet through other means.41
36
FEMA has partnered with the SSA to enable applicants who currently receive Social Security benefits to
automatically change their address to ensure continued receipt of benefits.
37
This would occur if a survivor had a preexisting relationship with HUD or SBA, such as already receiving an SBA
loan.
38
Computer Matching Program between HUD and DHS/FEMA, 81 FR 63195 (September 14, 2016). Available at
https://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22006.pdf.
39
Computer Matching Program between SBA and DHS/FEMA, 80 FR 57902 (September 25, 2015). Available at
https://www.gpo.gov/fdsys/pkg/FR-2015-09-25/html/2015-24477.htm.
40
42 U.S.C. §§ 5121-5207.
41
42 U.S.C. § 5174; 44 CFR §§206.110-119.
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Section 312 of the Stafford Act prohibits persons, business concerns, and other entities
from receiving benefits from a loss that would duplicate financial assistance under other programs,
from insurance, or from any other source.42 Section 408 Stafford Act also requires that the
President develop a system to verify the identity and address of recipients of assistance under this
section to provide reasonable assurance that payments are made only to an individual or household
that is eligible for such assistance.43 FEMA uses the SSN in order to verify an individual’s identity
when he or she applies for assistance, and to ensure that no duplication of benefits are provided
between FEMA, SBA, or HUD to any individual applicant. Section 502 of the Stafford Act44
provides that the President provide assistance to survivors and communities, in accordance with
Section 408 of this Act.
Other legal authorities and agreements include:
42
The Homeland Security Act of 2002,45 which assigns FEMA the responsibility to reduce
the loss of life and property and protect the nation from all hazards, including natural
disasters, acts of terrorism, and other man-made disasters by leading and supporting the
nation in a risk-based, comprehensive emergency management system of preparedness,
protection, response, recovery, and mitigation.
The Clinger Cohen Act,46 which provides guidance for multiagency investments and
guidance for interagency support.
Section 401 of the Personal Responsibility and Work Opportunity Reconciliation Act of
1996,47 which defines which aliens are not qualified for federal public benefits.
The Debt Collection Improvement Act of 1996,48 which requires the head of an executive
agency to collect the taxpayer identification number before making a payment to an
individual; requires that a debt or claim owed to the United States that has been delinquent
for 180 days be turned over by the head of the agency to the Secretary of the Treasury; and
requires that the head of each federal agency require any person doing business with that
agency furnish to that agency such person’s taxpayer identifying number.
The Economy Act49 permits the head of an agency or major organizational unit within an
agency to place an order for goods and services with another major organizational unit
within that agency or to go to another agency for those goods and services.
42 U.S.C. § 5155; 44 CFR § 206.191.
42 U.S.C. 5174(i).
44
42 U.S.C. 5192.
45
6 U.S.C. §§ 313-314.
46
40 U.S.C §§ 11303 and 11318.
47
8 U.S.C. §§ 1611.
48
31 U.S.C. §§ 3325(d), 3711(g), and 7701(c)(1).
49
31 U.S.C. § 1535.
43
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Section 4 of the Government Performance and Results Act of 2010,50 which requires the
head of each agency an annual report on agency performance on a public website and to
the Office of Management and Budget.
Executive Order 12862, “Setting Customer Service Standards,”51 which requires agencies
to set customer service standards, report on customer service, and develop customer service
plans in order to improve the customer service that the agency provides to the public.
Executive Order 13411, “Improving Assistance for Disaster Victims,”52 provides for
improving disaster assistance to the public by providing centralized access to all federallyfunded disaster assistance programs, and also requires FEMA to strengthen controls
designed to prevent improper payments and other forms of fraud, waste, and abuse.
5 U.S.C. § 301 – Departmental Regulations, which allows the head of an executive agency
to prescribe regulations for the government of the agency; the conduct of its employees;
the distribution and performance of its business; and the custody, use, and preservation of
its records, papers, and property.
Reorganization Plan No. 2 of 1970,53 which requires the President, in order to improve
economy and efficiency in the U.S. Government, to make a study of each agency to
determine how the agency can be better organized, improve appropriations, assign
particular activities to particular services, and regroup services.
Executive Order 9397 “Numbering System for Federal Accounts Relating to Individual
Persons,”54 as amended by Executive Order 13478 “Amendments to Executive Order 9397
Relating to Federal Agency Use of Social Security Numbers.”55
44 U.S.C. § 3534 Federal Agency Responsibilities, which requires the head of each agency
to provide information security protections for the agency’s information.
1.2
What Privacy Act System of Records Notice(s) (SORN(s)) apply
to the information?
The applicant information in the IA system is covered by the DHS/FEMA-008 Disaster
Recovery Assistance (DRA) Files SORN.56 The DHS/ALL-004 General Information
50
31 U.S.C. § 1116.
Executive Order 12862, “Setting Customer Service Standards,” 58 FR 176 (September 14, 1993).
52
Executive Order 13411, “Improving Assistance for Disaster Victims,” 71 FR 52729 (September 6, 2006).
53
31 U.S.C. § 1111.
54
Executive Order 9397, “Numbering System for Federal Accounts Relating to Individual Persons,” 8 FR 16095
(November 30, 1943).
55
Executive Order 13478, “Amendments to Executive Order 9397 Relating To Federal Agency Use of Social
Security Numbers,” 73 FR 70239 (November 20, 2008).
56
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
51
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Technologies Access Accounts Records System SORN57 covers the user information collected to
grant access to the IA IT systems. The DHS/ALL-021 Department of Homeland Security
Contractors and Consultants SORN58 and the DHS/ALL-023 Department of Homeland Security
Personnel Security Management SORN59 cover the contact and background information of DHS
contractors and consultants contained in the Virginia Systems Repository IT system.60
1.3
Has a system security plan been completed for the information
system(s) supporting the project?
Yes. All associated systems have completed system security plans and have undergone the
Assessment and Accreditation process.
1.4
57
Does a records retention schedule approved by the National
Archives and Records Administration (NARA) exist?
Under GRS-5.4, Item 080, Housing Rental and Lease Records are temporary and should
be destroyed three years after lease termination, lapse, reassignment, rejection of
application, cancellation of lease, or conclusion of litigation, as applicable.
Under GRS-5.5, Item 020, mail, printing, and telecommunication control records are
temporary and should be destroyed when one year old or when superseded or obsolete,
whichever is applicable, but longer retention is authorized, if required for business use.
DAA-0563-2012-0002-0007 provides that all mission activities photographs that provide
adequate and proper documentation of mission activities are permanent. They must be cut
off at the end of the calendar year in which they were created. FEMA must transfer to
NARA in 3 year blocks at the end of the last year of the block, along with any related
documentation and external finding aids in hard copy or electronic form.
Under N1-311-86-001, Item 4C6b, any correspondence with insurance carriers that hold
policies on disaster survivors’ residences are temporary. These files must be consolidated
at the appropriate regional office upon termination of the disaster (when all families have
been relocated to permanent housing; the audit, if one is made, has been accepted by both
FEMA and the state; and all monies due have been received). These records should be
retired to a Federal Records Center (FRC) 1 year after termination, and they should be
destroyed 3 years after termination.
DHS/ALL-004 General Information Technologies Access Accounts Records System 77 FR 70792 (November 27,
2012).
58
DHS/ALL-021 Department of Homeland Security Contractors and Consultants 73 FR 63179 (October 23, 2008).
59
DHS/ALL-023 Department of Homeland Security Personnel Security Management 75 FR 8088 (February 23,
2010).
60
See Appendix A, p. 57.
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Under N1-311-86-001, Item 4C6c, correspondence files associated with the duplication of
benefits are temporary. These files should be consolidated at the appropriate regional office
upon closeout of Disaster Field Operations. They should be retired to an FRC 1 year after
closeout, and destroyed 3 years after closeout.
Under N1-311-86-001, Item 4C10a, all IA program files, except those relating to temporary
housing and Individual and Family Grant programs, which include other programs such as
Disaster Unemployment Assistance, Crisis Counseling and Training, Legal Services,
Superfund, Flood Plain Management, Duplication of Benefits, and the Cora Brown Fund,
are temporary. They must be retired to inactive storage when 2 years old, and destroyed
when 6 years, 3 months old.
Under N1-311-86-001, Item 4C10b, Temporary Housing Files, including copies of
computer printouts scoreboards, Federal Coordinating Officer’s digests, correspondence,
and related records are temporary. They must be destroyed when database elements have
been established and defined.
Under N1-311-86-001, Item 4C10c, records relating to mobile home and travel trailer
program files, including copies of correspondence and procedures, are temporary. These
records should be cut off at the end of the calendar year, and destroyed 6 years and 3 months
after cutoff.
Under N1-311-86-001, Item 4C10d, files relating to permanent relocations under the
Superfund and purchases of properties under the National Flood Insurance Act of 1968, as
amended, 42 U.S.C. 4001, et seq., which include headquarters files relating to individual
property owners, background data, addresses, value of property, negotiation records, and
related records, are permanent. These records should be cut off at the conclusion of the
project, retired to an FRC 3 years after cutoff, and then transferred to the National Archives
in 5-year blocks 20 years after cutoff.
N1-311-00-001, Item 1 provides that customer services satisfaction surveys that have been
filled out and returned by disaster applicants are temporary. They should be destroyed upon
the transmission of the final report.
N1-311-00-001, Item 2 requires that statistical and analytical reports that are based on
survey responses and document trends and recommend programmatic changes to disaster
assistance are temporary. They should be cut off at the close of the report, retired to an
FRC 3 years after cutoff, and destroyed 20 years after cutoff.
N1-311-00-001, Item 3 requires that a composite of survey results per disaster are
maintained in an agency-standard database. These records are temporary and should be
destroyed when no longer needed for analytical purposes.
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N1-311-86-001, Item 4B6b requires that documents created in developing protection
criteria for shelters in private homes, including drawings, specifications, home protection
surveys, and other records on required protection for individual families in their homes are
temporary. They should be cut off at completion of the contract and destroyed 3 years after
cutoff.
Per N1-311-04-05, Item 1, all records categories associated with September 11, 2001, and
Hurricane Katrina permanent, per the FEMA records disposition manual. This disposition
instruction is applicable to records, both paper and electronic, regardless of format or
media. These records are permanent, and they should be cut off when all activity has ceased
for the particular operations after. They should be transferred to an FRC 1 year after cutoff
and transferred to the National Archives 20 years after cutoff.
Per N1-311-04-05, Item 2, all records relating to Hurricane Katrina and September 11,
2001, which have temporary dispositions in the FEMA records disposition manual are
temporary. Cutoff occurs when all activity has ceased for the particular operations area.
They should be transferred to an FRC 1 year after cutoff and destroyed 75 years after cutoff.
Per N1-311-04-05, all unscheduled records categories associated with Hurricane Katrina
and September 11, 2001, remain unscheduled. These records should be cut off when all
activity has ceased for the particular operations area. Programs in possession of these
records should contact their local Records Liaison Officer or the Headquarters Information
Management Division, Records Management branch to in order to develop a disposition
schedule. Records should be transferred to an FRC 1 year after cutoff.
Per N1-311-04-05, Item 3, all records associated with a domestic catastrophic event, to
include September 11, 2001, and Hurricane Katrina are permanent, and should be cut off
when all activity has ceased for the particular operations area. The records should be
transferred to an FRC 1 year after cutoff, and transferred to the National Archives 20 years
after cutoff. This category includes, but is not limited to, records relating to pre-response
operations; the Presidential Declaration; Emergency Coordination (EC); Emergency
Support (ES); Urban Search and Rescue response (US&R); Public Assistance (PA),
including, but not limited to, project applications, original damage survey report, mission
assignments, funding documents, project time extensions, applicant appeals, eligibility
determinations, and documents on insurance requirement, policies, procedures; Individual
Assistance (IA) records including, but not limited to, mission assignments, specific IA
policies, and guidance/standard operating procedures(s) and correspondence with state and
local officials; and Mitigation. This disposition instruction is applicable to records, both
paper and electronic, regardless of format or media.
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N1-311-86-1, Item 4C8b(1), provides that master occupant/applicant files, containing all
original occupant-related documents, such as site requests, mobile home sales documents,
leases, or contracts, are temporary. These records should be consolidated at the appropriate
regional office at the end of Phase II, when survivors in shelters are moved to permanent
housing, retired to an FRC 1 year after the files are consolidated, and destroyed 6 years 3
months after the files are consolidated.
Per N1-311-86-1, Item 4C8b(2), provides that working field applicant and occupant files
are temporary. They should be reviewed at the end of Phase I operations (when all qualified
applicants have received temporary housing) to ensure all occupant-related original
documents are in the master occupant/applicant files or Mobile Home Storage Program
files, as appropriate. These files should be destroyed when FEMA stops providing services
to the occupant.
Under N1-311-86-1, Item 4C8b(4), control records and logs relating to temporary
assistance program files are temporary. These records should be forwarded to the
appropriate regional office at the end of Phase II, retired to an FRC 1 year after the end of
Phase II, and destroyed 6 years and 3 months after the end of Phase II.
1.5
If the information is covered by the Paperwork Reduction Act
(PRA), provide the OMB Control number and the agency number
for the collection. If there are multiple forms, include a list in an
appendix.
The following forms are used to collect survivor PII, in order to provide IHP services and
disaster assistance:
OMB 1660-0002 Disaster Assistance Registration
OMB 1660-0061 Federal Assistance to Individuals and Households Program
OMB 1660-0030 Manufactured Housing Operations Forms
OMB 1660-0138 Direct Housing Program
OMB 1660-0011 Debt Collection Financial Statement
OMB 1660-0042 Survivor Sheltering Assessment Tool
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Section 2.0 Characterization of the Information
2.1
Identify the information the project collects, uses, disseminates, or
maintains.
Registration and Assistance Records:
FEMA Disaster Number (generated by FEMA, provided to survivors via NPSCs, Disaster
Recovery Centers, etc.);
FEMA Registration ID;
Applicant/Co-Applicant Information:
o Full Name;
o Social Security number or alien registration number;
o Signature;
o Date of Birth;
o Phone numbers;
o Email addresses;
o Position Title;
o Employer Name;
o Language(s) spoken;
o Number of Dependents Claimed;
o User ID;
o Password;
o Personal Identification Number (PIN);
Witness Signature;
Damaged Dwelling:
o Addresses of the damaged dwelling and the applicant’s current location (if other
than the damaged dwelling);
o County;
o Geospatial location of dwelling; and
o Information related to residence (type, own/rent, damage sustained).
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Disaster-Related Expenses;
Emergency Needs (Food, Clothing, Shelter);
Special Needs (Mobility, Mental, Hearing, Vision, Other Care);
Occupant and Household Information (for all occupants at the time of disaster):
o Name (First Name, Middle Initial, Last Name);
o Age;
o Relationship to Applicant;
o Dependent? (Yes/No);
o Sex; and
o Pre and Post-Disaster Income Information Of Those Occupants 18 Years of Age
or Older.
Business Damage:
o Self-Employment is Primary Income? (Yes/No); and
o Business or Rental Property Affected? (Yes/No).
Authorization for Electronic Funds Transfer of Benefits:
o Institution Name;
o Account Type;
o Account Number and Routing Number; and
o Average Balance.
Comments and Correspondence from the Applicant;
Supporting documents to show proof of occupancy or ownership and verify identity;
Public Records Information for Identity Verification;
Pre-registration Questionnaire Information;
Disaster Loan Status (Rejected, Approved, Declined, Verified, Cancelled);
Travel and accommodations-related information (e.g., flight information, travel
assistance needs, companion information);
Information related to determining eligibility for assistance: date of the disaster,
application status, insurance information, types and amount of damage to the dwelling,
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results of the home inspection (including inspector’s notes and determination);
Landowner’s Information (in cases in which FEMA is placing a manufactured housing
unit on the landowner’s land);
o Name;
o Address;
o Phone number; and
o Signature.
Correspondence and documentation related to determining eligibility and appropriate
housing unit size, type, and location for temporary housing assistance including: general
correspondence; complaints, recoupment, appeals, oral hearings, and resolutions; requests
for disbursement of payments; inquiries from tenants and landlords; information related
to household access and functional needs; general administrative and fiscal information;
payment schedules and forms; termination notices; information shared with the
temporary housing program staff from other agencies to prevent the duplication of
benefits; leases; contracts; specifications for repair of disaster damaged residences;
reasons for revocation or denial of aid; sales information related to occupant purchase of
housing units; and the status or disposition of housing applications.
DAIP information supplied by partner agencies:
61
Change of Address Status Code (from SSA);
Disaster Loan Event Status Code (Rejected, Approved, Declined, Verified, Cancelled)
(from SBA);
Pre-registration Questionnaire Information (from the U.S. Department of Labor);61
Pre-registration Questionnaire Session ID (from the U.S. Department of Labor);
Food for Florida Pre-registration ID and Application Status (from the State of Florida); and
HUD Household Data (from HUD).62
The questionnaire is located on the website www.disasterassistance.gov, which is hosted by the U.S. Department
of Labor (DOL), but all of the information collected from applicants is not shared with DOL; rather, all applicant PII
is entered directly into the DAIP IT system.
62
Computer Matching Program between HUD and DHS/FEMA, 81 FR 63195 (September 14, 2016). Available at
https://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22006.pdf.
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Information provided by third parties:
“Pass/Fail” flag (for identify verification provided by third-party identity verification
service);
Public records information for IdP; and
Contracted database that is used to validate and standardize the applicant’s address.63
Information generated by IA during processing and returned to the DAIP IT system:
FEMA Disaster Number (generated by FEMA, provided to survivors via NPSCs,
Disaster Recovery Centers, etc.);
Application Status (“In-Process,” “Submitted,” “Approved,” or “Denied”);
Housing Inspection Required (Y/N);
Priority of Assistance;
Type of Assistance being considered; and
Time Stamps.
Information collected in order to generate a www.disasterassistance.gov account:
User ID;
Password; and
Personal identification number (PIN).
Information collected by FEIMS64 to grant all personnel access to ACE, NEMIS-IA, VSR, and
DAIP:
User ID; and
Password.
2.2
What are the sources of the information and how is the
information collected for the project?
FEMA directly collects information from the subject individual when they apply for
disaster assistance. As defined in 1.5, FEMA uses a number of electronic and hardcopy forms to
63
FEMA uses a contractor to provide standardized addresses to verify that the address the applicant entered matches
standardized formatting and to ensure accuracy.
64
FEIMS is FEMA’s account provisioning tool for those IT systems that do not support Personal Identity
Verification card authentication.
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collect survivor PII. These forms are contained in Appendix B, and collect only those data fields
defined in 2.1.
For identity verification purposes, FEMA has contracted with an IdP authentication service
to ensure that IA applicants are who they say they are. The IdP authentication service generates
questions by using information collected by a third-party company from available public
information.
FEMA may receive applicant data from SBA or HUD, in the event that a survivor applies
with either agency first. The data elements that FEMA receives are defined in the HUDDHS/FEMA CMA65 and the SBA-DHS/FEMA CMA.66
2.3
Does the project use information from commercial sources or
publicly available data? If so, explain why and how this
information is used.
When a survivor initiates a request for disaster assistance, FEMA requests the survivor’s
name, address, SSN, and date of birth. This data is sent to a third-party IdP service to verify that a
person with these attributes exists and that the SSN is valid. The IdP service produces questions
created from information taken from publicly-available and commercial sources, and an individual
must correctly answer the IdP questions in order to authenticate his or her identity and continue
the application process. In cases in which the applicant registers online, via the FEMA mobile
website or by telephone the IdP service will return a “pass/fail” flag notifying the applicant of his
or her status in a matter of seconds. Applicants registering via the paper form will only be notified
of a “fail” flag by FEMA staff. FEMA guarantees the accuracy of the data coming from the IdP
through the security and accuracy requirements of the contract between FEMA and the IdP.
Should a survivor wish to create an online account for the purpose of checking the status
of or performing limited updates to his or her registration, the same information taken from
publicly-available and commercial sources is also used by the third-party IdP service to generate
four questions that are used to authenticate the survivor. The IdP service receives the survivor’s
response to the identity verification questions and the survivor’s SSN for identity authentication.
The IdP service returns a “pass” or “fail” status to FEMA. FEMA does not see the questions or the
answers and merely receives a “pass/fail” indication from the IdP service.
65
Computer Matching Program between HUD and DHS/FEMA, 81 FR 63195 (September 14, 2016). Available at
https://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22006.pdf.
66
Computer Matching Program between SBA and DHS/FEMA, 80 FR 57902 (September 25, 2015). Available at
https://www.gpo.gov/fdsys/pkg/FR-2015-09-25/html/2015-24477.htm.
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2.4
Discuss how accuracy of the data is ensured.
Since survivors personally complete the online and hardcopy registrations, the information
is presumed to be accurate. Survivors who opt to use the telephone registration process provide
their information to the NPSC representative, who enters the data into the system. Regardless of
the manner of registration, all applicants must pass the IdP in order to verify their identity.
Survivors receive a hard-copy printout of their registration via a mail-out package and
therefore are aware of their own registration information and informed that they can correct errors
and update information either through the online portal at www.disasterassisitance.gov or by
calling the NPSC. The mail-out packages include guidance on the appeals process, as well as a
redress notice. Because survivors themselves are the source of the information, it is assumed that
the survivor will verify the accuracy of information entered. The integrity of the data is maintained
by the IT security controls on the individual IT systems, as well as auditing procedures, as required
by DHS policy.
In order to monitor their application status or update their information, survivors may
establish a User ID, password, and personal identification number (PIN) in order to create an online
account at www.disasterassistance.gov and gain limited access to their own data. Only survivors
that wish to gain access will need to create an account. Otherwise, no account is required in order
to receive assistance.
Additionally, according to the contract between FEMA and the IdP, the IdP provider is
required to guarantee accuracy of the data sent to FEMA.
The information FEMA receives from HUD and SBA undergoes verification against the
SSN, and FEMA verifies that the PII provided by HUD or SBA matches what the applicant
provides. Further, data accuracy is guaranteed through the CMAs between DHS/FEMA and
HUD67 and DHS/FEMA and SBA.68
2.5
Privacy Impact Analysis: Related to Characterization of the
Information
Privacy Risk: The IA program could maintain inaccurate information about disaster
assistance applicants, particularly when the data is collected from other federal agencies in the
event that the applicant applies with HUD or SBA first.
Mitigation: FEMA mitigates this privacy risk by verifying any applicant data received
from other federal agencies against the applicant’s SSN, and if inaccuracies are found in the
67
Computer Matching Program between HUD and DHS/FEMA, 81 FR 63195 (September 14, 2016). Available at
https://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22006.pdf.
68
Computer Matching Program between SBA and DHS/FEMA, 80 FR 57902 (September 25, 2015). Available at
https://www.gpo.gov/fdsys/pkg/FR-2015-09-25/html/2015-24477.htm.
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received data, FEMA supplies the correct data from the applicant’s FEMA file, which will
automatically update HUD and SBA’s files via the CMAs.
Privacy Risk: A survivor may inadvertently provide inaccurate information.
Mitigation: When a survivor contacts FEMA, FEMA verifies the applicant’s PII by asking
for the applicant’s name, address, Registration ID (or SSN, if they do not know his or her
Registration ID), and last four of the SSN (in the event that the survivor supplied his or her
Registration ID). FEMA also sends each applicant a hard-copy printout of his or her application.
This procedure provides the applicants with a means to check for any application errors.
Additionally, FEMA offers applicants multiple methods of correcting any discrepancy in their data
to assure that the IA program will properly process their applications. Survivors may edit their data
via www.disasterassistance.gov, via FEMA’s mobile website at http://m.fema.gov/, or by
contacting a NPSC representative via FEMA’s toll-free Disaster Assistance Helpline.
Privacy Risk: The identity verification “pass/fail” flag could inaccurately fail or pass an
individual.
Mitigation: To mitigate the risk of an erroneous failure, FEMA has set up a manual review
process for applicants who received a “fail” flag. In order to mitigate the risk of an inaccurate
“pass,” DHS/FEMA has contracted with a third-party IdP service that is contractually required to
guarantee data accuracy, and FEMA verifies the information with the applicant in the event of a
“fail” flag. FEMA also conducts routine data accuracy reviews from this service by sampling
passed applications for data accuracy.
Section 3.0 Uses of the Information
3.1
Describe how and why the project uses the information.
FEMA uses the survivor-provided information to determine eligibility for assistance, and
if eligible, to provide assistance to disaster survivors. FEMA also uses the information collected
for inspection management, which verifies survivor damage claims and assesses the repair or
replacement costs. Survivors are required to submit supporting documents such as a driver’s
license or a government-issued picture ID, property title, tax bill, or utility bill for proof of
occupancy. FEMA also uses subsets of applicants’ PII for administrative purposes including:
budgeting, sheltering, prioritizing assistance, and administering the appeals process.
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FEMA also shares survivor PII with participating partner agencies, SBA69 and HUD,70
which then use the information to contact survivors about additional assistance that may be
available through a participating partner agency when the survivor does not choose to register for
such assistance electronically.
FEMA uses the applicant/co-applicant’s SSNs both as proof that the individuals are who
they are representing themselves to be, as well as to ensure that the SSNs that were used as part of
the application package only receive benefits once, and do not receive additional, duplicate
benefits from FEMA or other sources. Applicants’ SSNs are also used to verify their identities
through the IdP service.
3.2
Does the project use technology to conduct electronic searches,
queries, or analyses in an electronic database to discover or locate
a predictive pattern or an anomaly? If so, state how DHS plans to
use such results.
No.
3.3
Are there other components with assigned roles and
responsibilities within the system?
When FEMA uses support personnel from the IRS, the IRS personnel serve as NPSC
agents who can process survivor applications and answer applicant’s questions.
3.4
Privacy Impact Analysis: Related to the Uses of Information
Privacy Risk: FEMA’s use of a third-party IdP service and commercial data provider to
provide identity authentication poses a risk that a survivor will be denied the benefit of creating an
account because of inaccurate information.
Mitigation: FEMA mitigates this risk in several ways. To mitigate the risk of inaccurate
information DHS/FEMA has agreements in place with the third-party IdP service that require a
certain level of accuracy. The IdP service verifies an individual’s identity by validating the
applicant’s responses to verification questions against the IdP’s database of amalgamated public
records data to ensure that the applicant is the person that is applying for FEMA benefits. FEMA
also conducts routine data accuracy reviews from this service by sampling passed applications for
data accuracy.
69
Computer Matching Program between SBA and DHS/FEMA, 80 FR 57902 (September 25, 2015). Available at
https://www.gpo.gov/fdsys/pkg/FR-2015-09-25/html/2015-24477.htm.
70
Computer Matching Program between HUD and DHS/FEMA, 81 FR 63195 (September 14, 2016). Available at
https://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22006.pdf.
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Privacy Risk: The third-party IdP service could use the information for purposes other
than those specifically stated by FEMA.
Mitigation: FEMA mitigates this risk by putting in place a contractual arrangement stating
that the IdP may not use the information for any purpose other than providing FEMA the data it is
contractually obligated to provide. Violation of these terms will result in a cause of action against
the IdP.
Privacy Risk: Personnel could use the information in the IA program for purposes other
than those for which it was originally collected.
Mitigation: FEMA mitigates this privacy risk in several ways. First, FEMA is bound by
the Routine Uses defined in the DRA SORN.71 Second, FEMA limits its data collection from IA
applicants to only data that is required to process disaster assistance applications. Third, IA
datasets are minimized to reduce the amount of PII that transverses FEMA IT systems and to
ensure that only those FEMA programs and personnel with a need to know are able to access this
PII. Fourth, FEMA also limits IT system access to authorized users. Access is based on an
individual’s roles and responsibilities, and all users are required to sign a Rules of Behavior
Agreement in order to access any FEMA systems. Any individual, including IRS agents,
discovered to have inappropriately accessed any of the IA IT systems will face disciplinary action
up to and including loss of security clearance and/or termination of employment. Last, the
Information System Security Officer (ISSO) for IA performs periodic system access reviews.
Section 4.0 Notice
4.1
How does the project provide individuals notice prior to the
collection of information? If notice is not provided, explain why
not.
Notice is provided by way of the DRA SORN.72 In addition, a Privacy Notice73 is provided
in hardcopy, electronic form, or verbally by NPSC staff to survivors requesting assistance. The
notice explains why FEMA collects the survivor’s PII, what it is used for, with what agencies or
entities the data is shared, the consequences of failure to submit the PII, and the legal authorities
for collecting and sharing survivor PII.
71
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
Id.
73
See Appendix B: OMB 1660-002: FEMA Form 009-0-1.
72
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4.2
What opportunities are available for individuals to consent to
uses, decline to provide information, or opt out of the project?
During the registration process, prior to entering any PII, FEMA informs the survivor,
through the Privacy Notice, that failure to submit the necessary PII may result in the denial of
disaster assistance. A survivor can also exit the registration process at any time prior to submitting
the application, and his or her PII will be deleted.
4.3
Privacy Impact Analysis: Related to Notice
Privacy Risk: Survivors may be unaware of the collection and uses of their PII.
Mitigation: This risk is mitigated because notice is provided to survivors through the
Privacy Notices on all the forms that survivors complete, including the online forms, as well as
verbally by the NPSC representative during a phone interview, and by the DRA SORN.74
Privacy Risk: The individuals applying for FEMA’s IA programs might not receive a
Privacy Notice informing them about what PII is collected and how it is used at the time their
information is collected.
Mitigation: This risk is mitigated because FEMA provides notice of its information
collection to facilitate the provision of its IA programs in several ways. Methods include Privacy
Notices on paper forms, web and mobile sites, and a verbal privacy notice provided by FEMA’s
NPSC staff who provide telephone assistance to applicants. Lastly, this document and the DRA
SORN75 provide notice of FEMA’s collection of information for IA programs.
Section 5.0 Data Retention by the project
5.1
Explain how long and for what reason the information is retained.
IA data is retained according to the records schedules defined in 1.4, depending upon the
type of record and the schedule which it belongs to.
74
75
Under GRS-5.4, Item 080, Housing Rental and Lease Records are temporary and should
be destroyed three years after lease termination, lapse, reassignment, rejection of
application, cancellation of lease, or conclusion of litigation, as applicable.
Under GRS-5.5, Item 020, mail, printing, and telecommunication control records are
temporary and should be destroyed when one year old or when superseded or obsolete,
whichever is applicable, but longer retention is authorized, if required for business use.
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
Id.
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DAA-0563-2012-0002-0007 provides that all mission activities photographs that provide
adequate and proper documentation of mission activities are permanent. They must be cut
off at the end of the calendar year in which they were created. FEMA must transfer to
NARA in 3 year blocks at the end of the last year of the block, along with any related
documentation and external finding aids in hard copy or electronic form.
Under N1-311-86-001, Item 4C6b, any correspondence with insurance carriers that hold
policies on disaster survivors’ residences are temporary. These files must be consolidated
at the appropriate regional office upon termination of the disaster (when all families have
been relocated to permanent housing; the audit, if one is made, has been accepted by both
FEMA and the state; and all monies due have been received). These records should be
retired to a Federal Records Center (FRC) 1 year after termination, and they should be
destroyed 3 years after termination.
Under N1-311-86-001, Item 4C6c, correspondence files associated with the duplication
of benefits are temporary. These files should be consolidated at the appropriate regional
office upon closeout of Disaster Field Operations. They should be retired to an FRC 1
year after closeout, and destroyed 3 years after closeout.
Under N1-311-86-001, Item 4C10a, all IA program files, except those relating to
temporary housing and Individual and Family Grant programs, which include other
programs such as Disaster Unemployment Assistance, Crisis Counseling and Training,
Legal Services, Superfund, Flood Plain Management, Duplication of Benefits, and the
Cora Brown Fund, are temporary. They must be retired to inactive storage when 2 years
old, and destroyed when 6 years, 3 months old.
Under N1-311-86-001, Item 4C10b, Temporary Housing Files, including copies of
computer printouts scoreboards, Federal Coordinating Officer’s digests, correspondence,
and related records are temporary. They must be destroyed when database elements have
been established and defined.
Under N1-311-86-001, Item 4C10c, records relating to mobile home and travel trailer
program files, including copies of correspondence and procedures, e.g., acquisitions,
technical standards, and guides; specimen contracts and procurement documents; data on
mobile home programs at disaster sites; and working papers on manuals, instructions, and
other issuances are temporary. These records should be cut off at the end of the calendar
year, and destroyed 6 years and 3 months after cutoff.
Under N1-311-86-001, Item 4C10d, files relating to permanent relocations under the
Superfund and purchases of properties under Section 1362, which include headquarters
files relating to individual property owners, background data, addresses, value of
property, negotiation records, and related records, are permanent. These records should
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be cut off at the conclusion of the project, retired to an FRC 3 years after cutoff, and then
transferred to the National Archives in 5-year blocks 20 years after cutoff.
N1-311-00-001, Item 1 provides that customer services satisfaction surveys that have
been filled out and returned by disaster applicants are temporary. They should be
destroyed upon the transmission of the final report.
N1-311-00-001, Item 2 requires that statistical and analytical reports that are based on
survey responses and document trends and recommend programmatic changes to disaster
assistance are temporary. They should be cut off at the close of the report, retired to an
FRC 3 years after cutoff, and destroyed 20 years after cutoff.
N1-311-00-001, Item 3 requires that a composite of survey results per disaster are
maintained in an agency-standard database. These records are temporary and should be
destroyed when no longer needed for analytical purposes.
N1-311-86-001, Item 4B6b requires that documents created in developing protection
criteria for shelters in private homes, including drawings, specifications, home protection
surveys, and other records on required protection for individual families in their homes
are temporary. They should be cut off at completion of the contract and destroyed 3 years
after cutoff.
Per N1-311-04-5, Item 1, records pertaining to September 11, 2001, and Hurricane
Katrina and all records categories associated with these events are permanent, per the
FEMA records disposition manual. This disposition instruction is applicable to records,
both paper and electronic, regardless of format or media. These records are permanent,
and they should be cut off when all activity has ceased for the particular operations after.
They should be transferred to an FRC 1 year after cutoff and transferred to the National
Archives 20 years after cutoff.
Per N1-311-04-5, Item 2, all records relating to Hurricane Katrina and September 11,
2001, which have temporary dispositions in the FEMA records disposition manual are
temporary. Cutoff occurs when all activity has ceased for the particular operations area.
They should be transferred to an FRC 1 year after cutoff and destroyed 75 years after
cutoff.
Per N1-311-04-5, all unscheduled records categories associated with Hurricane Katrina
and September 11, 2001, remain unscheduled. These records should be cut off when all
activity has ceased for the particular operations area. Programs in possession of these
records should contact their local Records Liaison Officer or the Headquarters
Information Management Division, Records Management branch to in order to develop a
disposition schedule. Records should be transferred to an FRC 1 year after cutoff.
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Per N1-311-04-5, Item 3, all records associated with a domestic catastrophic event, to
include September 11, 2001, and Hurricane Katrina are permanent, and should be cut off
when all activity has ceased for the particular operations area. The records should be
transferred to an FRC 1 year after cutoff, and transferred to the National Archives 20
years after cutoff. This category includes, but is not limited to, records relating to preresponse operations; the Presidential Declaration; Emergency Coordination (EC);
Emergency Support (ES); Urban Search and Rescue response (US&R); Public Assistance
(PA), including, but not limited to, project applications, original damage survey report,
mission assignments, funding documents, project time extensions, applicant appeals,
eligibility determinations, and documents on insurance requirement, policies, procedures;
Individual Assistance (IA) records including, but not limited to, mission assignments,
specific IA policies, and guidance/standard operating procedures(s) and correspondence
with state and local officials; and Mitigation. This disposition instruction is applicable to
records, both paper and electronic, regardless of format or media.
N1-311-86-1, Item 4C8b(1), provides that master occupant/applicant files, containing all
original occupant-related documents, such as site requests, mobile home sales documents,
leases, or contracts, are temporary. These records should be consolidated at the
appropriate regional office at the end of Phase II (when all shelterees have been moved to
permanent housing), retired to an FRC 1 year after the files are consolidated, and
destroyed 6 years 3 months after the files are consolidated.
Per N1-311-86-1, Item 4C8b(2), provides that working field applicant and occupant files
are temporary. They should be reviewed at the end of Phase I operations (when all
qualified applicants have received temporary housing) to ensure all occupant-related
original documents are in the master occupant/applicant files or Mobile Home Storage
Program files, as appropriate. These files should be destroyed when FEMA stops
providing services to the occupant.
Under N1-311-86-1, Item 4C8b(4), control records and logs relating to temporary
assistance program files are temporary. These records should be forwarded to the
appropriate regional office at the end of Phase II, retired to an FRC 1 year after the end of
Phase II, and destroyed 6 years and 3 months after the end of Phase II.
5.2
Privacy Impact Analysis: Related to Retention
Privacy Risk: IA will retain the data for a longer period than necessary and not in
accordance with the NARA-approved records schedules.
Mitigation: This risk is mitigated because FEMA follows all pertinent records schedules
discussed in 1.4 and 5.1. In addition, the FEMA Records Branch provides trainings to inform
FEMA programs of proper record retention, disposition requirements, records inventory training,
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file plan training, and file structure training to ensure that FEMA personnel are aware of the
National Archives’ requirements.
Section 6.0 Information Sharing
6.1
Is information shared outside of DHS as part of the normal
agency operations? If so, identify the organization(s) and how the
information is accessed and how it is to be used.
FEMA routinely shares PII outside of DHS with federal, state, tribal, local, international,
private sector, and voluntary entities, as defined in the DRA SORN,76 for the purposes of providing
disaster assistance, meeting survivor needs, and preventing the duplication of benefits. FEMA’s
interagency partners are granted limited access to information as it relates to their programs, and
applicants are automatically routed to SBA and/or HUD to determine their eligibility for benefits
under their programs, depending on their income. In all cases, access to the data is limited and is
granted based on a demonstrated need-to-know basis. Formalized CMAs are in place with SBA77
and HUD78 to prevent a duplication of benefits. Each CMA requires that FEMA and HUD and
FEMA and SBA compare registration data to ensure that applicants are not receiving duplicate
benefits. To do so, each agency compares its records to those of its partner by using the SSN and
FEMA Registration ID as each applicant’s unique identifier. However, when a match is found, an
applicant’s benefits are not automatically denied or reduced. FEMA personnel (or HUD or SBA)
conduct a manual review of the match to ensure that the match is accurate. If and when this occurs,
the agency that has awarded benefits may reduce or deny additional benefits.
Housing and Urban Development
FEMA and HUD share information in order to prevent applicants from receiving duplicate
benefits from either agency, as well as to quickly transition applicants and their families from the
temporary relief programs provided by FEMA into longer-term relief programs administered by
HUD.79 HUD uses FEMA data to assess damage and allocate Community Development Block
Grant Disaster Recovery (CDBG-DR) funds to the most impacted states and local governments
(grantees). Those grantees administer CDBG-DR programs that provide aid to disaster survivors,
most often by funding housing rehabilitation. CDBG-DR assistance is meant to address unmet
needs that remain after a disaster survivor has received insurance proceeds and any aid from FEMA
76
Id.
Computer Matching Program between SBA and DHS/FEMA, 80 FR 57902 (September 25, 2015). Available at
https://www.gpo.gov/fdsys/pkg/FR-2015-09-25/html/2015-24477.htm.
78
Computer Matching Program between HUD and DHS/FEMA, 81 FR 63195 (September 14, 2016). Available at
https://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22006.pdf.
79
See https://www.hud.gov/info/disasterresources.
77
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or SBA. The CMA between HUD and FEMA enables HUD and CDBG-DR grantees to identify
these unmet needs, as well as to prevent recipients from receiving duplicate benefits.
HUD may also use FEMA data to help disaster survivors through its standard programs,
such as public housing and housing choice vouchers. Survivors receiving temporary housing
assistance from FEMA who also have very low incomes may be eligible for HUD housing
assistance. HUD identifies these individuals using FEMA data, and helps them to transition from
temporary FEMA assistance to longer-term HUD assistance.
FEMA and HUD perform a computer match80 on the following data elements:
FEMA Registration ID;
FEMA Disaster Number;
SSN of the head of household;
First and Last Name and Middle Initial of the head of household;
Date of birth of head of household; and
Damaged Address Street Address.
Small Business Administration Loans
Through ONA, the SBA provides low-interest, long-term loans to assist individuals and
households with personal property; transportation; and moving and storage expenses incurred due
to a declared disaster. To determine a survivor’s eligibility for an SBA loan, the survivor must
meet an income threshold. This determination is part of the IA application process, and if a survivor
passes the income threshold minimum of $33,000 per year, FEMA routes his or her application to
SBA, where the SBA evaluates the survivor on their suitability to receive a low-interest loan. SBA
returns a status once the survivor’s loan eligibility has been determined. This information is made
available to the survivor via his or her online account, or via telephone, in the event that an
individual does not have an online account. SBA uses information provided by FEMA, as part of
the CMA,81 in order to contact those survivors who are eligible for the SBA loan program and did
not create an online account at www.disasterassistance.gov. FEMA may provide additional
assistance to supplement SBA’s assistance once an SBA eligibility determination has been made.
80
A computer matching program is a computerized comparison of two or more automated systems of records for the
purpose of establishing or verifying eligibility or compliance as it relates to cash or in-kind assistance or payments
under federal benefit programs.
81
Computer Matching Program between SBA and DHS/FEMA, 80 FR 57902 (September 25, 2015). Available at
https://www.gpo.gov/fdsys/pkg/FR-2015-09-25/html/2015-24477.htm.
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Like HUD, FEMA and SBA have entered into a CMA to prevent survivors from receiving
duplicate benefits from both agencies.82
FEMA and SBA compare records on the following data elements:
FEMA Registration ID Number;
SSN;
Name;
Address;
Date of birth;
Damaged property information;
Insurance policy data;
Property occupant data;
Vehicle registration data; and,
Flood zone and flood insurance data.
Social Security Administration
FEMA has partnered with the SSA to enable applicants who are currently receiving Social
Security benefits to automatically change their address to ensure continued receipt of benefits.
From within their www.disasterassistance.gov account, an applicant can choose to apply for
assistance from other federal agencies. The applicant clicks a link, “Update My Address with the
Social Security Administration,” which provides a consent and Privacy Notice screen. The
applicant provides consent via a checkbox and clicks “Next.” The next page verifies the applicant’s
current address, where they must select a checkbox to confirm their address change, as well as a
checkbox to change their phone number. Finally, they select an effective date and click “Next.”
The final screen is a confirmation page. The information shared with SSA is as follows: street
address, city, state, zip, phone number, and phone type.
Food for Florida under the United States Department of Agriculture
The IHP may share information provided by disaster survivors with the Food for Florida
Program (FFF), which shares survivor data with the Florida Department of Children and Families
(FDCF) and the Florida Northwood Shared Resource Center (FNSRC) to prequalify and
preregister them for additional assistance. FFF is a federally-funded, state-administered program
from the U.S. Department of Agriculture’s Disaster Supplemental Nutrition Assistance Program
82
Id.
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(DSNAP) that provides food to mothers with children in need of food assistance. FEMA has yet
to share information with this program. If and when this functionality is turned on, FEMA will
share with the DAIP, FFF, FDCF, and the FNSRC:
FEMA Registration ID;
Registrant First Name;
Registrant Last Name;
Registrant Middle Initial;
Registrant SSN;
Registrant Date of Birth;
Sex indicator for Male or Female of Registrant;
Applicant Driver’s License/ID Number;
Language;
Damaged street address;
City;
State;
Zip+4;
Home damage (Y/N);
Mailing address;
Current phone number;
Alternate phone number; and,
County code.
Application Status Messaging
The IHP uses a third-party text message service to provide disaster survivors with
registration status change notifications, should they opt-in. The text message notifications to a
survivor’s mobile device are available for a select number of registration status changes.
SMS status notifications either in English or Spanish are sent from the DAIP to the thirdparty text message service, which dispatches the notification to a survivor’s mobile phone. Status
notifications only contain the FEMA Registration ID and are available for a variety of events. The
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table below maps the events with the corresponding SMS notifications sent to a survivor’s mobile
phone:
Event
SMS Notification
Opt-in Confirmation
“FEMA ID#### To complete your subscription to FEMA’s text
messaging service reply YES to accept or STOP to decline.”
Welcome Notification
“FEMA ID #### You are now set up to get text messages when
your application status changes on DisasterAssistance.gov. Reply
STOP to end this text message service.”
Eligibility Decision
“FEMA ID #### Status updated. Log in to DisasterAssistance.gov
to check status. Reply STOP to end this text message service.”
Request for Information
“FEMA ID#### More information needed. Log in to
DisasterAssistance.gov for details. Reply STOP to end this text
message service.”
Inspection
“FEMA ID#### A FEMA Inspector was unable to contact you.
Your case is on hold. Call 1-800-621-FEMA (3362). Reply STOP
to end this text message service.”
Opt-out Confirmation
“FEMA ID#### You have stopped FEMA’s text messaging
service. Continue to check status at DisasterAssistance.gov.”
The SMS capability is expected to reduce the number of calls to FEMA NPSCs and visits
to www.disasterassistance.gov by satisfying the survivor’s desire for timely status change
notifications without requiring them to repeatedly call the NPSCs or check the survivor’s
application status online. This potential system load reduction would be especially beneficial to
FEMA and to disaster survivors in catastrophic events, when a surge of survivors can stress and
overload FEMA’s NPSC and web applications’ capacities.
FEMA is working to limit the length of text that survivors can send in reply to the outbound
text messages. In the interim, FEMA warns participants not to reply to text messages to minimize
the chance that they might send PII.
Third-Party IdP
The DAIP uses a third-party IdP verification service to verify the identity of FEMA
applicants. It also authenticates applicants who choose to create an account on
www.disasterassistance.gov to check the status of their registration. The information shared with
the IdP service to enable these ID verification and authentication services includes the registrant’s
SSN, as well as the registrant’s responses to four authentication questions.
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6.2
Describe how the external sharing noted in 6.1 is compatible with
the SORN(s) noted in 1.2.
The external information sharing discussed in 6.1 is done under Routine Uses F, H, and I
of the DRA SORN.83 Routine Use F allows FEMA to share with its contractors when necessary
for the purpose of providing disaster assistance. This routine use allows FEMA to share
information with the text messaging service that is used to supply survivors with registration status
change notifications. Routine Use H allows FEMA to share applicant information to prevent a
duplication of benefits or to address the unmet needs of eligible, ineligible, or partially eligible
FEMA applicants. This sharing is compatible with the original purpose of collection because
FEMA conducts these information sharing activities in order to prevent a duplication of benefits
and to assist in addressing applicants’ unmet needs. Routine Use I allows FEMA to share with
federal, state, tribal, or local government agencies; voluntary organizations; insurance companies;
employers; any public or private entities; banks and financial institutions when an applicant’s
eligibility, in whole or in part, for IA benefits depends upon financial benefits already received or
available from that source for similar purposes as necessary to determine benefits; and to prevent
duplication of disaster assistance benefits. FEMA shares information with these entities to prevent
a duplication of benefits, as well as to determine IA eligibility.
Additionally, FEMA memorializes external information sharing through a number of
documents, including CMAs, Information Sharing Access Agreements (ISAA), FEMA-State
Agreements, and Routine Use letters. In this documentation, FEMA provides the receiving entity
with the security requirements to ensure that the data is protected from third-party disclosure, and
that survivor PII is protected according to industry-standard security practices.
6.3
Does the project place limitations on re-dissemination?
The contracts, MOUs, ISAAs, FEMA-State Agreements, and CMAs between FEMA and
each participating entity cover security requirements for transmission of data, as well as the
limitations on re-disseminating the data. Additionally, Service Level Agreements (SLA), and
Interconnection Security Agreements (ISA) are in place with HUD, SBA, SSA, and FFF detailing
technical requirements for transmission and security of data between FEMA, partner agencies, and
FEMA’s contractors.
6.4
Describe how the project maintains a record of any disclosures
outside of the Department.
FEMA routinely shares PII outside of DHS with those entities defined in the DRA SORN84
for the purposes of providing disaster assistance, meeting survivor needs, and preventing the
83
84
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
Id.
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duplication of benefits. These disclosures are memorialized through various documents, including
CMAs, ISAAs, FEMA-State Agreements, and Routine Use letters, which are maintained by ORR.
When a survivor makes a Freedom of Information Act (FOIA) request or a request under
the Privacy Act and records are disclosed, such disclosures are recorded through the Information
Management Division/Disclosure Branch’s standard practices, consistent with the FOIA/PA
SORN.85
6.5
Privacy Impact Analysis: Related to Information Sharing
Privacy Risk: Survivor PII could be shared with agencies outside of DHS for purposes
other than those outlined in 6.1.
Mitigation: This risk is mitigated because IA only shares PII with other entities and
agencies pursuant to the sharing agreements described in 6.1. If a user is found through FEMA’s
auditing processes to have shared PII for other purposes, that user may face disciplinary action up
to and including loss of employment or loss of security clearance.
FEMA will review these agreements every three years or as changes are made to the
interface and annually review appropriate security documents for any newly identified risks. Any
newly identified risks will be mitigated between the partnering agencies in accordance with
applicable laws.
Privacy Risk: The information in the IA IT systems could be erroneously disclosed.
Mitigation: This risk is mitigated because FEMA only shares the information in IA outside
of DHS pursuant to the routine uses found in the DRA SORN,86 and only pursuant to information
agreements signed by FEMA and the external entity, or in response to a written request submitted
to the FEMA Disclosure Office.
Privacy Risk: Survivors could accidentally send PII if they reply to a FEMA text message.
Mitigation: This risk is partially mitigated. FEMA’s outgoing text messages warn
recipients not to respond to text messages to minimize the risk that an applicant might inadvertently
disclose PII.
Privacy Risk: Survivors could accidentally provide an inaccurate mobile phone number,
and FEMA text messages could be sent to the wrong mobile phone, potentially giving a third party
access to the survivor’s application information.
Mitigation: This risk is mitigated because the information sent by FEMA in text messages
only comprises the type of update that has been made to the account and the FEMA Registration
85
DHS/ALL-001 Department of Homeland Security (DHS) Freedom of Information Act (FOIA) and Privacy Act
(PA) Record System, 79 FR 6609 (February 4, 2014).
86
Id.
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ID. An individual who receives a text from FEMA cannot access an applicant’s PII without either
verifying the applicant’s identity to an NPSC representative87 or logging into his or her
www.disasterassistance.gov account. In addition, because applicants provide their own mobile
phone number, that number is presumed to be correct. Applicants can review their information,
including text messaging opt-in, by accessing their online account via www.disasterassistance.gov.
Section 7.0 Redress
7.1
What are the procedures that allow individuals to access their
information?
Survivors can access their information in several ways: (1) if a survivor created an online
account at www.disasterassistance.gov, the survivor may access his or her information by logging
into the account using the User ID, password, and PIN that the survivor established when he or
she created the account; (2) survivors may call the published disaster assistance toll-free number
to check on the status of their application or access their records after providing their registration
ID; (3) survivors receive a hard copy of their completed FEMA Form 009-0-1 as part of the mailout package to the survivor after registration, which includes a notice of redress; (4) survivors may
visit a DRC to discuss or review their case files; (5) survivors may request their applicant file; (6)
non-citizen survivors can request their records by going to the DHS FOIA website88 and
completing the online form; (7) survivors who are U.S. citizens or lawful permanent residents may
a submit a Privacy Act request pursuant to DHS’s Privacy Act Regulations;89 and (8) in rare cases,
housing inspectors may collect and enter applicant information into the Automated Construction
Estimator (ACE)90 in order to modify/correct their information within the NEMIS-IA system.
Requests for Privacy Act-protected information must be made in writing, and clearly
marked as a “Privacy Act Request.” The name of the requester, the nature of the records sought,
and the required verification of identity must be clearly indicated. Requests should be sent to:
87
Applicants initially verify their identity with NPSC personnel by providing either their full SSN or Registration
ID. NPSC personnel will query NEMIS-IA by either the SSN or the Registration ID, and will then ask the survivor
to provide the last 4 of the SSN (in cases in which the applicant provided the Registration ID), first and last name,
and the damaged address. Should a survivor provide any of this information inaccurately, NPSC personnel will tell
the applicant that the call cannot proceed, as he or she has failed to verify his or her identity. Per policy, NPSC
personnel are forbidden from revealing any application information to an unauthenticated caller.
88
See https://www.dhs.gov/freedom-information-act-foia.
89
44 CFR § 6 and 6 CFR § 5.
90
See Appendix A, p. 70.
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FEMA Information Management Division
Chief, Disclosure Branch
500 C Street, S.W., Mailstop 3172
Washington, D.C. 20472
7.2
What procedures are in place to allow the subject individual to
correct inaccurate or erroneous information?
Survivors may correct certain data that they entered inaccurately via
www.disasterassistance.gov by logging into their account and making the appropriate corrections.
If online access is not available, or if the survivor prefers, he or she can contact the NPSC and
correct information (after verifying his or her identity). In addition, survivors could notify FEMA
in writing of the error or inaccuracy and provide FEMA with the correct information. 91 Survivors
may send requests for their applicant file to the Disclosure Officer at:
FEMA Information Management Division
Chief, Disclosure Branch
500 C Street, S.W., Mailstop 3172
Washington, D.C. 20472
However, survivors may also request a copy of their file by contacting the NPSC, which is
generally a more expedient way of correcting information. For data that needs to be corrected from
an external agency, a request can be made to that agency in accordance with their applicable
policies.
If a survivor fails the IdP checks for identity when applying for assistance, he or she can
still complete a registration through an NPSC representative. However, the survivor still has to
submit proof of his or her identity in order to actually receive disaster assistance. When a survivor
who has not passed identity verification submits an application, the survivor receives an ineligible
decision notification telling them that FEMA was unable to verify his or her identity, as well as
what documentation the survivor can provide in order to overturn the verification failure. FEMA
does not provide the information from the IdP service to the survivor, as FEMA does not have
details as to why the survivor failed the check. All applications that fail the identity verification
process are manually reviewed by FEMA personnel.
If the survivor fails the IdP identity authentication when attempting to check the status of
his or her application via their online account, the survivor is instructed to either return to the
website and attempt again or contact the NPSC, where a representative retrieves the survivor’s
registration form and again asks a series of questions from the details of the registration to ensure
91
See Individuals and Households Program Unified Guidance, FP 104-009-03 (September 2016), p. 27, available at
https://www.fema.gov/media-library-data/14835670808281201b6eebf9fbbd7c8a070fddb308971/FEMAIHPUG_CoverEdit_December2016.pdf.
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the survivor submitted the registration. If the survivor correctly answers the questions, the NPSC
is permitted to discuss the status of the survivor’s registration, and the survivor will be allowed to
change his or her current mailing address. Survivors needing to change their SSN or bank account
information are required to mail in proof of a change before this information will be changed.
7.3
How does the project notify individuals about the procedures for
correcting their information?
Survivors are notified of the procedures for correcting information prior to the collection
of information through the DRA SORN,92 the Individuals and Household Program Unified
Guidance,93 the www.disasterassistance.gov portal, and this PIA. Moreover, redress is provided to
survivors requesting assistance through the appeals process. In addition, after registration through
the DAIP system, each applicant receives a mail-out package, which includes an application guide
with directions for redress in a section entitled, “I Want to Have My Case Reviewed Again
(Appeal).”
7.4
Privacy Impact Analysis: Related to Redress
Privacy Risk: IA disaster applicants may be unaware of the redress procedures or how to
correct their information.
Mitigation: This risk is mitigated because FEMA provides several means of redress and
notice of procedures to applicants who wish to amend their disaster assistance registration
information. FEMA provides applicants with a direct notice of redress in the mail-out packages
sent to each applicant, as noted in Section 7.1 above. FEMA also provides redress through NPSC
representatives, whom applicants may contact toll-free via telephone. For example, NPSC
representatives may assist applicants in correcting their information, as well as assist them in
further processing their application. In addition, as noted in Section 7.2 above, FEMA manually
reviews applications that return a “fail” flag from its third-party IdP service and informs applicants
of how they can provide additional information to verify identity. This mitigates the impact upon
the applicant should FEMA receive erroneous information from its third-party IdP service. Lastly,
the DRA SORN94 and this document provide notice of redress processes to disaster assistance
applicants.
92
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
See Individuals and Households Program Unified Guidance, FP 104-009-03 (September 2016), available at
https://www.fema.gov/media-library-data/14835670808281201b6eebf9fbbd7c8a070fddb308971/FEMAIHPUG_CoverEdit_December2016.pdf.
94
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
93
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Section 8.0 Auditing and Accountability
8.1
How does the project ensure that the information is used in
accordance with stated practices in this PIA?
IT contractors handling the operations and maintenance of the system have limited access
to the system to support the troubleshooting of technical system issues encountered on a day-today basis. FEIMS implements the security access controls and administers users’ roles and
permissions based on organizational positions, which are assigned and approved by the
employees’ supervisors.
All IA IT systems log all user activities and can be monitored or audited at any time.
Users are warned that their activities are monitored and that they have no expectation of privacy.
FEMA IT security teams routinely conduct audits to ensure that there is no misuse of IA data and
that users are acting in accordance with FEMA’s rules of behavior. FEMA also encrypts all
applicant data while in transit and at rest.
8.2
Describe what privacy training is provided to users either
generally or specifically relevant to the project.
All FEMA employees and contractors are required to complete FEMA Office of
Cybersecurity Security Awareness Training and Privacy Awareness Training on an annual basis.
FEMA requires that all contracts contain cyber hygiene and privacy clauses, which require that
contract employees adhere to the requirements of the Privacy Act and other federal guidelines that
mandate privacy controls. Supplementary security and privacy training is provided for those with
additional security-related responsibilities, as well as the intake and leadership personnel in the
NPSCs.
8.3
What procedures are in place to determine which users may
access the information and how does the project determine who
has access?
All IA IT systems use role-based access controls to control user rights to both data and
functionality. Permissions for access to the data and functions used to manipulate the data are
defined for each FEMA position. Access permissions are based on the principles of separation of
duties and “need to know.”
In order to get an initial account in any of the IA IT systems, FEMA employees and
contractors requiring access to an IA IT system must send a request to the approving official
within FEMA Office of Response and Recovery (ORR). State government users who have
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access to the NEMIS-IA State Web module95 must follow a similar process as FEMA employees
and contractors. IT contractors handling the operations and maintenance of the system also have
limited access to the system to support the troubleshooting of technical system issues
encountered on a day-to-day basis. FEIMS implements the security access controls and
administers users’ roles and permissions based on organizational positions, which are assigned
and approved by the employees’ supervisors.
8.4
How does the project review and approve information sharing
agreements, MOUs, new uses of the information, new access to the
system by organizations within DHS and outside?
All external information sharing is memorialized via CMAs, ISAAs, ISAs, FEMA-State
Agreements, or Routine Use letters. CMAs are reviewed by FEMA’s Office of Chief Counsel,
FEMA’s Information Management Division (including the Privacy Branch), the Deputy
Administrator of FEMA, and the DHS Data Integrity Board.96 All other contractually-based
information sharing endeavors outside of FEMA are reviewed by the Office of Chief Counsel (by
each party to the agreement), the Office of the Chief Information Officer, and the FEMA Privacy
Branch for consistency with the DRA SORN.97
8.5
Privacy Impact Analysis: Related to the Accountability and
Integrity of the Information.
Privacy Risk: A privacy risk exists that the volume and sensitivity of the data makes it a
target of potentially malicious actors.
Mitigation: This risk has been mitigated by the implementation of encryption and auditing
protections of survivor information. FEMA uses industry-standard cybersecurity practices,
including encryption of survivor data while in transit and at rest. Additionally, FEMA restricts
access to survivor data to only those individuals with a demonstrated need to know in order to
perform their official FEMA job functions.
Additionally, FEMA NPSC staff are required to work exclusively within the IT systems,
and they are not permitted to take handwritten notes. FEMA managers monitor NPSC staff, as well
as provide assistance to applicants. In addition, FEMA records applicant telephone calls as a means
of quality assurance and to improve customer service.98
95
The NEMIS-IA State Web module is used by states that elect to administer ONA jointly with FEMA, rather than
allow FEMA to administer these programs.
96
CMAs are reviewed at least annually. For more information about the DHS Data Integrity Board, see
https://www.dhs.gov/sites/default/files/publications/computer-match-directive-262-01_0.pdf.
97
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
98
DHS/EFMA-002 Quality Assurance Recording System of Records, 82 FR 32564 (July 17, 2017).
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Privacy Risk: FEMA may deny benefits to a survivor based on inaccurate information.
Mitigation: This risk is mitigated because FEMA offers applicants multiple methods of
correcting any discrepancy in their data to assure that FEMA will properly process their
applications. Survivors may edit their data via www.disasterassistance.gov, FEMA’s mobile
website at http://m.fema.gov/, or by contacting a NPSC representative via FEMA’s toll-free
Disaster Assistance Helpline.
Responsible Officials
William H. Holzerland
Senior Director for Information Management
Federal Emergency Management Agency
Department of Homeland Security
Approval Signature
Original, signed copy on file with the DHS Privacy Office.
________________________________
Philip S. Kaplan
Chief Privacy Officer
Department of Homeland Security
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Appendix A: IA IT Systems
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National Emergency Management Information System Individual Assistance (NEMIS-IA)
Program/System:
The Federal Emergency Management Agency (FEMA), Office of Response and Recovery
(ORR), Recovery Technology Programs Directorate (RTPD), IA.
Purpose and Use:
The purpose of NEMIS-IA system is to support disaster relief to individuals or households
whose property has been damaged or destroyed and whose losses are not covered by insurance.
This can include real and personal property assistance, temporary housing assistance, and other
financial assistances. In conjunction with state partners, it may provide assistance for disasterrelated necessary expenses for uninsured or underinsured individuals.
NEMIS-IA contains a number of major web-based modules that assist in processing case
files, supplying letter content, manually processing applications, and managing inspections
(including inspection assignment and inspection review), direct housing, and applicant
correspondence through mail, email, helpline, and voice response. The primary applications are
the Applicant Services Technical Center (ASTC), Inspection Management (IM), the Admin Tool,
the Mail Utility Module (MUM), the Housing Operations Management Enterprise System
(HOMES), and the State Web Module.
The Applicant Services Technical Center (ASTC) allows case workers, NPSC users,
helpline agents, and field staff look up and make changes to a survivor’s information. This
module also provides the mechanism for all manual, appeals, and recertification case
processing.
The Inspection Management (IM) module supports the Housing Inspection Services
(HIS) teams in managing inspection activity for a given disaster. This module provides a
mechanism to assign inspections to an inspector, review returned inspections, issue
correction inspections, and perform quality control reviews on selected inspectors.
The Admin Tool is the module that allows IA to set up and manage each disaster in
NEMIS-IA with a system of configurable toggles. This module also houses a number of
other disaster-related capabilities such as specifying which line item pricing to use,
updating fair market rate data (used to determine benefit amounts), as well as other disasterspecific setup requirements. This module does not manage any PII.
The Mailroom Utility Module (MUM) is the tool that prints mailing labels and
correspondence that has to be sent to survivors. It enables FEMA to administer, monitor,
and manage work orders processed in FEMA’s mailing operations at vendor facilities.
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The Housing Operations Management Enterprise System (HOMES) is a module that
is used for managing direct housing assistance. HOMES pulls in configurable survivor PII
in order to place survivors in temporary housing. This application provides a mechanism
for managing the Pre-Placement Interview (PPI) process as well as all additional
interaction for a survivor and a manufactured housing unit (MHU).
The State Web Module is used by the states to process individual survivors’ ONA
payment information in situations in which the state elects to provide ONA, instead of
FEMA. The State Web Module allows state caseworkers to manually review and resolve
ONA cases that cannot be processed automatically.
System Access:
NEMIS-IA applications and services are internal to FEMA and only accessible to approved
FEMA employees, contractors, and approved state users via the intranet or the FEMA Secure
Sockets Layer (SSL) Virtual Private Network (VPN) Portal.99
Individuals Impacted:
Disaster assistance applicants
FEMA NPSC Agents and Caseworkers
IT system administrators
State users
Sources of Information:
The NEMIS-IA system initially receives all PII from the DAIP IT system. NEMIS-IA also
receives data from the Automated Construction Estimator (ACE), including the housing
inspector’s report, which may at times contain updates to a survivor’s PII.
Data Elements:
This information is recorded on an electronic version of FEMA 009-0-1 (OMB 1660-0002)
and is used among FEMA, federal, state, and local disaster agencies. The data NEMIS-IA stores
includes:
Registration and Assistance Records:
Disaster Number;
FEMA Registration ID;
An SSL VPN is a means of allowing external users to securely access FEMA’s network. This technology works
through the web browser and all data flows as if it is on the internal FEMA network.
99
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Applicant/Co-Applicant Information:
o Full Name;
o Social Security number or alien registration number;
o Signature;
o Date of Birth;
o Phone numbers;
o Email addresses;
o Position Title and Number of Years;
o Employer Name;
o Language(s) spoken;
o Number of Dependents Claimed;
o User ID;
o Password; and
o Personal Identification Number (PIN).
Witness Signature;
Damaged Dwelling:
o Addresses of the damaged dwelling and the applicant’s current location (if other
than the damaged dwelling);
o County;
o Geospatial location of dwelling, and
o Information related to residence (type, own/rent, damage sustained).
Disaster-Related Expenses;
Emergency Needs (Food, Clothing, Shelter);
Special Needs (Mobility, Mental, Hearing, Vision, Other Care);
Occupant and Household Information (for all occupants at the time of disaster):
o Name (First Name, Middle Initial, Last Name);
o Age;
o Relationship to Applicant;
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o Dependent? (Yes/No);
o Sex; and
o Pre and Post-Disaster Income Information Of Those Occupants 18 Years of Age or
Older.
Business Damage:
o Self-Employment is Primary Income? (Yes/No); and
o Business or Rental Property Affected? (Yes/No);
Authorization for Electronic Funds Transfer of Benefits:
o Institution Name;
o Account Type;
o Account Number and Routing Number; and
o Average Balance.
Comments and Correspondence from the Applicant;
Supporting documents to show proof of occupancy or ownership and verify identity, such
as:
o Driver’s license or a government-issued picture ID;
o Property title;
o Tax bill; or
o Utility bill.
Public Records Information for Identity Verification;
Pre-registration Questionnaire Information;
Disaster Loan Status (Rejected, Approved, Declined, Verified, Cancelled);
Travel and accommodations related information (e.g. flight information, travel assistance
needs, companion information);
Information related to determining eligibility for assistance: date of the disaster, application
status, insurance information, types and amount of damage to the dwelling, results of the
home inspection (including inspector’s notes and determination);
Landowner’s Information (in cases in which FEMA is placing a manufactured housing unit
on the landowner’s land);
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o Name;
o Address;
o Phone number; and
o Signature.
Correspondence and documentation related to determining eligibility and appropriate
housing unit size, type, and location for temporary housing assistance including: general
correspondence; complaints, recoupment, appeals, oral hearings, and resolutions; requests
for disbursement of payments; inquiries from tenants and landlords; information related to
household access and functional needs; general administrative and fiscal information;
payment schedules and forms; termination notices; information shared with the temporary
housing program staff from other agencies to prevent the duplication of benefits; leases;
contracts; specifications for repair of disaster damaged residences; reasons for revocation
or denial of aid; sales information related to occupant purchase of housing units; and the
status or disposition of housing applications.
Authorization for Social Security change of address.
Supplementary Case Data:
Authorization for Social Security Change of Address;
Waiver of Debt Letter of Appeal;
Receipts;
Notices of debt;
Invoices;
Record of payments, including refunds and overpayment;
Number and amount of unpaid or overdue bills;
Record of satisfaction of debt or referral for further action; and
Correspondence and documentation with debtors and creditors.
SORN Coverage:
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
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Disaster Assistance Improvement Program (DAIP)
Program/System:
U.S. Department of Homeland Security, Federal Emergency Management Agency
(FEMA), Office of Response and Recovery (ORR), Recovery Technology Programs Division
(RTPD), Disaster Data Technologies (DDT), Disaster Assistance Improvement Program PMO,
Disaster Assistance Improvement Program (DAIP).
Purpose and Use:
The Disaster Assistance Improvement Program (DAIP) application collects disaster
survivor application and registration information through various media including: (1) Individual
Assistance paper forms (See Appendix B), (2) the www.disasterassistance.gov website, (3) the
http://m.fema.gov mobile website, and (4) via telephone. DAIP shares the information with
NEMIS-IA to facilitate eligibility determinations and with other federal, tribal, state, local, and
non-profit agencies/organizations that also service disaster survivors.
System Access:
DAIP is internal to FEMA and only accessible to approved FEMA employees and
contractors via the intranet or the FEMA Secure Sockets Layer (SSL) Virtual Private Network
(VPN) Portal.100
Individuals Impacted:
Disaster assistance applicants
FEMA NPSC Agents and Caseworkers
IT systems administrators
Sources of Information:
The information in DAIP is collected directly from the survivors themselves. Survivors
either call the FEMA Disaster Assistance Helpline, fill out a paper form, or apply online. The data
requested is the same as FEMA Form 009-0-1 (English), “Application/Registration for Disaster
Assistance,” which collects PII and non-PII regarding survivor needs after a Presidential
Declaration for Individual Assistance.
An SSL VPN is a means of allowing external users to securely access FEMA’s network. This technology works
through the web browser and all data flows as if it is on the internal FEMA network.
100
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Data Elements:
Registration and Assistance Records:
Disaster Number;
FEMA Registration ID;
Applicant/Co-Applicant Information:
o Full Name;
o Social Security number or alien registration number;
o Signature;
o Date of Birth;
o Phone numbers;
o Email addresses;
o Position Title and Number of Years;
o Employer Name;
o Language(s) spoken;
o Number of Dependents Claimed;
o User ID;
o Password; and
o Personal Identification Number (PIN).
Witness Signature;
Damaged Dwelling:
o Addresses of the damaged dwelling and the applicant’s current location (if other
than the damaged dwelling);
o County;
o Geospatial location of dwelling; and
o Information related to residence (type, own/rent, damage sustained).
Disaster-Related Expenses;
Emergency Needs (Food, Clothing, Shelter);
Special Needs (Mobility, Mental, Hearing, Vision, Other Care);
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Occupant and Household Information (for all occupants at the time of disaster):
o Name (First Name, Middle Initial, Last Name);
o Age;
o Relationship to Applicant;
o Dependent? (Yes/No);
o Sex; and
o Pre and Post-Disaster Income Information Of Those Occupants 18 Years of Age or
Older.
Business Damage:
o Self-Employment is Primary Income? (Yes/No); and
o Business or Rental Property Affected? (Yes/No).
Authorization for Electronic Funds Transfer of Benefits:
o Institution Name;
o Account Type;
o Account Number and Routing Number; and
o Average Balance.
Comments and Correspondence from the Applicant;
Supporting documents to show proof of occupancy or ownership and verify identity, such
as:
o Driver’s license or a government-issued picture ID;
o Property title;
o Tax bill; or
o Utility bill.
Public Records Information for Identity Verification;
Pre-registration Questionnaire Information;
Disaster Loan Status (Rejected, Approved, Declined, Verified, Cancelled);
Travel and accommodations related information (e.g. flight information, travel assistance
needs, companion information); and
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Information related to determining eligibility for assistance: date of the disaster, application
status, insurance information, types and amount of damage to the dwelling, results of the
home inspection (including inspector’s notes and determination).
Information Provided by Third Parties:
“Pass/Fail” flag (for identify verification provided by third-party identity verification
service);
Contracted address database (for address correction);
Public records information used to pass the IdP.
Information Generated by NEMIS-IA During Processing and Returned to DAIP:
FEMA Disaster Number;
Application Status (“In-Process,” “Submitted,” or “Approved”);
Housing Inspection Required (Y/N);
Priority of Assistance;
Type of Assistance being considered; and
Time Stamps.
DAIP Information Supplied by Partner Agencies:
Change of Address Status Code (from the SSA);
Disaster Loan Event Status Code (Rejected, Approved, Declined, Verified, Cancelled)
(from the SBA);
Pre-registration Questionnaire Information (from the U.S. Department of Labor);
Pre-registration Questionnaire Session ID (from the U.S. Department of Labor);
Food for Florida Pre-registration ID and Application Status (from the State of Florida); and
HUD Household Data (from HUD).
SORN Coverage:
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
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Virginia Systems Repository (VSR)
Program/System:
The Federal Emergency Management Agency (FEMA), Office of Response and Recovery
(ORR), Recovery Technology Programs Directorate (RTPD), Information Management
Acquisitions Support & Tools (IMAST), Virginia Systems Repository (VSR).
Purpose and Use:
The Virginia Systems Repository (VSR) is a multifaceted system that supports the
Individual Assistance (IA) Division, including the NPSCs. VSR also interacts minimally with
numerous other programs. The system houses 20 unique applications. VSR supports mission
essential tasks including Transitional Sheltering Assistance (TSA), Continued Rental Assistance,
Inspector Deployment Suitability, Call-Outs to disaster survivors to gather additional information,
and immediate official communications and daily updates for the NPSC staff. VSR provides a tool
to request ad hoc reports supporting: IA decision-making, operations briefings, FOIA requests,
external affairs, and litigation. VSR houses applications that track housing inspector quality
assurance data, provide support for the FEMA Human Resource department, and support the
Applicant Services Human Services Specialist. All VSR applications are derived from one Oracle
database, which houses a schema (i.e., database objects, tables, views, and stored procedures) for
each application and a common library to house data and application functionality between
applications. Intranet web pages are designed for user access on minor applications that require
user interaction.
System Access:
VSR applications and services are internal to FEMA and only accessible to approved
FEMA employees and contractors via the intranet or the FEMA Secure Sockets Layer (SSL)
Virtual Private Network (VPN) Portal.101
Individuals Impacted:
Disaster assistance applicants
FEMA NPSC Agents and Caseworkers
IT system administrators
FEMA housing inspectors
An SSL VPN is a means of allowing external users to securely access FEMA’s network. This technology works
through the web browser and all data flows as if it is on the internal FEMA network.
101
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Sources of Information:
All PII within VSR is collected directly from the applicant, employee, or contractor; or is
replicated from the Enterprise Data Warehouse (EDW)/Operational Data Store (ODS) or NEMISIA. All information that is collected directly from an individual is entered by a FEMA employee,
contactor, or the individual themselves.
Data Elements:
Information collected by VSR includes:
Disaster Applicant PII:
Applicant’s name;
Home address;
Phone numbers;
Email address;
Registration number;
Last four digits of SSN;
Assistance eligibility status;
Information on pre- and post-disaster income and expenses;
Special needs; and
Applicant assistance status.
Information Collected about FEMA Contracted Housing Inspectors:
Inspector’s name;
Home address;
Phone number;
Location;
Clearance information;
Performance review score;
Inspector number; and
Applicant complaints against the inspector.
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Information Collected from Employees/Contracted Employees:
Employee Name;
SSN;
DOB;
Home Address;
Phone Number(s);
Emergency Contact Information (i.e., name, address, phone, and email address);
Salary/Grade/Step/Series;
Date of Grade/Step Increase(s) and Next Projected Increase;
Classified Title/Functional Title;
Position Description Number and Position Identification Number;
Historical Performance Ratings and History (Federal Human Resources Navigator is
currently used for this function);
Duty Station;
Staff ID number;
Work History at the NPSCs (i.e., position titles);
Relevant Dates (i.e., Service Computation Date (SCD), hire date, Not To Exceed Date,
and if applicable, deployment(s), transfer(s), and/or termination);
Pertinent Computer Accommodations Program/Reasonable Accommodation (CAP/RA)
Information (record of requests and equipment issued);
Family Medical Leave Act (FMLA) Information (no medical data; only dates and status);
Payroll;
Codes Used Each Week;
Hours Used for Each Code;
Organizational Charts;
Organizational Charts Based on Facility and Section; and
Optional Content (i.e., name, functional title, phone, grade, status, and series/position
description/job title).
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SORN Coverage:
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
DHS-004 General Information Technology Access Account Records System (GITAARS), 77 FR
70792 (November 27, 2012).
DHS/ALL-021 Department of Homeland Security Contractors and Consultants, 73 FR 63179
(October 23, 2008).
DHS/ALL-023 Department of Homeland Security Personnel Security Management, 75 FR 8088
(February 23, 2010).
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Disaster Management and Support Environment (DMSE) Cloud Environment
Program/System:
U.S. Department of Homeland Security, Federal Emergency Management Agency
(FEMA), Office of Response and Recovery (ORR), Disaster Management and Support
Environment (DMSE) Cloud Environment (CE).
Purpose and Use:
The DMSE CE is a central collaborative platform where FEMA posts and shares nonsensitive response and recovery information and geospatial imagery. Information contained
within the platform comes from the entire emergency management community including:
federal, state, local, tribal, voluntary agencies, private sector, faith-based partners, survivors,
and Department of Defense (DoD), and includes information unique to a particular incident
or disaster. DMSE CE enables publishing, sharing, overlaying, and exploiting non-PII data
(such as maps and geospatial imagery) in a collaborative environment in order to betterinform operational decision making.
DMSE CE warns approved users not to store any PII, whether located on a map layer,
in a dataset, or in direct storage. There will be a banner at the top of each page that warns
users not to post or store PII in DMSE CE applications. The DMSE CE provides approved
mission-relevant data for stakeholders to leverage in value-added ways such as: research,
analysis, application development, and other purposes. DMSE CE also provides an agile
development and testing platform for applications to be made available to the public or
emergency management community.
It should be noted that FEMA does not require the public to establish a user account
in order to openly view available content; however, if anyone wants to save or publish created
maps, he or she would need a user account. FEMA only accepts users with a federal
supervisor’s approval or with a federal sponsor’s approval in the case of the public.
DMSE CE provides 9 minor applications:
Disaster Planning Atlas (DPA): Creates PDFs of maps based on U.S. National Grid. After
a disaster, when the “normal” means to describe locations, such as street signs, are gone,
the U.S. National Grid provide a standardized grid reference system that is seamless across
jurisdictional boundaries and allows for pinpointing exact locations. This application does
not gather or use any PII.
Disaster Survivor Assistance (DSA) Survivor Mobile Assistance Reporting Tool
(SMART): The DSA SMART application is a mobile application (iOS only) used on
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mobile devices, such as iPads, by FEMA’s DSA cadre workforce. The application provides
a mapping capability by using Collector for ArcGIS, which is a commercial off the shelf
product (downloadable from the Apple App Store). The DSA SMART application is used
by DSA teams to capture operationally-relevant information regarding the impacts of a
disaster on individuals and local communities following a Presidential Declaration for
Individual Assistance. This application does not collect survivor PII. The DMSE CE
system boundary only provides a centralized repository for the data collected by DSA
teams.
o Through use of the DSA SMART application, DSA cadre interact with disaster
survivors and capture observations related to the impacts of the disaster. The DSA
cadre may capture general information, including whether or not the individual has
applied for assistance (FEMA only captures yes/no response; no survivor PII is
captured). This information allows FEMA and decision makers to better understand
the severity and impact of the disaster, and supports better planning of financial
assistance and other possible aid provided to survivors.
o The DSA cadre may also capture observations related to damage sustained due to
a disaster (e.g., downed powerlines, fallen tree). The DSA cadre may capture a
photograph of the observation and geo-tag the photo, creating a “pin” on a map, to
provide location information to support response efforts. When clicked on, the pins
reveal which cadre member submitted the observation and photo. Photos of
individual survivors or DSA cadre members are not captured.
FEMA Public Data Visualization: Displays FEMA-built visualizations of publicly
available datasets that provide a visual representation of grant data as it relates to fire,
preparedness, mitigation, and public assistance. This application does not gather any PII.
Flood Insurance Estimator: Provides the public with a way to estimate flood insurance
needs and rates via publicly-available flood insurance information. This application does
not gather any PII.
GPX Uploader: Facilitates the upload of G Garmin Global Positioning System (GPS) field
data to be aggregated in the Iron Sights Mapping Service in support of Urban Search and
Rescue (US&R). This application does not gather any PII.
OpenFEMA: Delivers mission data to the public in machine-readable formats. Provides
timely, usable, and accurate information to the public, specifically, data in a raw format,
enabling stakeholders to leverage the data in innovative and value-added ways. This
application does not gather any PII.
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Preliminary Viewer: Displays digitally-printable loss estimates and damages from a
hurricane for the public. This application does not gather any PII.
Preliminary Damage Assessment (PDA): Captures and verifies the damage at a specific
physical location after a disaster in order to determine whether a federal disaster declaration
is warranted. This application collects the address of the damaged property and the business
contact information of a state, local, tribal, or territorial government (SLTT) official. PDA
data is never linked to an individual survivor.
Rebuild Tool: Provides input on planned rebuilds around flood information to the public.
This application does not gather any PII.
Survivor Sheltering Assessment Tool (SSAT): Collects information regarding the housing
needs of individuals and families in shelters so that services and assistance can be provided
to transition them out of shelters and into temporary housing solutions as quickly as
possible. Individualized data collected in the shelters would be compared to survivor
registration data in NEMIS-IA to determine:
o Has the person in the shelter registered?
o If registered, what is the status of the registration? Does he or she have resources
such as Transitional Sheltering Assistance (TSA) eligibility or financial rental
assistance available to the person?
o If registered and not eligible, is there casework that could be performed to find
eligibility?
o If not registered, information would be provided to the Joint Field Office (JFO) to
have a registration strike team travel to the shelter and register the survivor.
Aggregated reports would be built to support JFO planning activities for shelter
depopulation to ensure that survivors are transitioned as quickly as possible to housing solutions
that best meet their need.
System Access:
In order to obtain an account, any FEMA, state, local, territorial, or tribal employee or
contractor who requires access to DMSE CE must provide his or her full name, email address,
work phone number and the name, phone number, and the email address of a sponsor or supervisor.
The regional geospatial coordinators, along with the DMSE program office, review the
applications and vet the individual for system use. The DMSE program office decides who can
access the system. It should be noted that while FEMA does not require the public to establish a
user account in order to openly view available content on DMSE, if anyone wants to save or
publish created maps, he or she would need a user account. FEMA only accepts users with a federal
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supervisor’s approval (submitted via email) or with a federal sponsor’s approval in the case of the
public.
Individuals Impacted:
Individuals that require access to DMSE CE include the entire emergency management
community:
FEMA staff;
FEMA reservists;
Federal, state, local, tribal, voluntary agencies;
Private sector partners;
Faith-based partners;
Department of Defense;
All DHS employees/contractors and components, including:
o United States Citizenship and Immigration Services (USCIS);
o United States Customs and Border Protection (CBP);
o United States Coast Guard (USCG);
o Federal Law Enforcement Training Center (FLETC);
o United States Immigration and Customs Enforcement (ICE);
o Transportation Security Administration (TSA);
o United States Secret Service (USSS);
o National Protection and Programs Directorate;
o Directorate for Management;
o Science and Technology Directorate;
o Countering Weapons of Mass Destruction Office;
o Office of Health Affairs;
o Office of Intelligence and Analysis;
o Office of Secretary and Executive Management;
o FEMA Corps; and,
o Contractors working on behalf of DHS.
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Other individuals impacted by this system include survivors and those individuals who are
surveyed by the DSA and PDA teams.
Sources of Information:
Data and information includes information unique to a particular incident or disaster and is
based on the data elements listed below and comes from the responders assigned to the emergency
management community including: federal, state, local, t ribal, voluntary agencies, private sector,
faith-based partners, survivors, and DOD.
Data Elements:
DMSE CE collects the following for the purposes of granting an account to FEMA employees and
contractors:
First and last name;
Phone number;
Email address;
User ID; and
Supervisor’s name and work contact information.
Information collected by DSA SMART and hosted in DMSE includes:
Survivor interaction;
Location (in the form of a pin dropped on a map; the pin is typically dropped in the middle
of a street, rather than at an individual’s home);
User name of the user who created the pin;
Registration Status (yes/no);
Revisit (yes/no);
Update/Inquiry (yes/no);
Referral (yes/no);
General Notes;
Public Safety Issue (yes/no);
Running Water (yes/no);
Functioning Energy (yes/no);
Communication (Telecom) (yes/no);
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Private Sector Issue (yes/no);
Mass Care (Shelter) (yes/no);
Disaster-specific data;
Community contacts:
o
First name and last name;
o
Title;
o
Organization name;
o
Organization type;
o
Organization address;
o
Organization phone;
o
Organization fax;
o
Organization email; and
o
Organization services, notes;
Infrastructure (Accessibility).
Information collected by SSAT includes:
FEMA Registration ID (if available);
First Name;
Last Name;
Damaged Dwelling Address; and,
Mobile Phone Number.
Other non-PII elements collected for SSAT:
Date of collection;
Shelter Name;
County;
Owner/Renter of a damaged dwelling;
Pre-disaster HUD housing such as Section 8, subsidized housing, etc. (Y/N);
Pre-disaster homeless (Y/N);
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Identified available rental (Y/N);
Plan to return to pre-disaster residence (Y/N);
Will live with family or friends (Y/N);
Waiting on DD (Damaged Dwelling) to become accessible (Y/N);
Inaccessible due to road closure (Y/N);
Inaccessible due to water receding (Y/N);
Identified available housing or hotel resource but not within reasonable commuting
distance (Y/N);
Cannot find affordable housing resource (Y/N);
Cannot find short term lease (Y/N);
Transportation issues:
o Transportation disaster damage, need assistance for repairs (Y/N);
o Cannot meet with inspector (Y/N); and
o Cannot get to desired area to look for housing (Y/N).
No desire to relocate out of state within 50-100 mile radius (Y/N);
Need specialized medical equipment (sensory, mobility, accessibility, etc.) (Y/N);
Need funds to move household belongings (Y/N);
Utilities not currently operable (Y/N);
Electricity not currently operable (Y/N);
Expected date of utility restoration (if known) (Y/N);
Nowhere for my pet to board (Y/N);
Type of pet(s);
Need voluntary agencies to assist with mucking out home (Y/N);
Number of Adults (18+);
Number of Children (Under 18);
Consent to Share (Y/N); and
Notes.
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Information collected by PDA about SLTT government officials includes:
Name;
Work phone number; and
Work email address.
SORN Coverage:
DHS/ALL-004 General Information Technology Account Access Records (GITAARS), 77 FR
70792 (November 27, 2012).
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
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Automated Construction Estimating (ACE)
Program/System:
The Federal Emergency Management Agency (FEMA), Office of Response and Recovery
(ORR), Recovery Technology Programs Directorate (RTPD), ACE.
Purpose and Use:
The Automated Construction Estimating (ACE), an Android-only mobile application,
provides the capability for field inspectors to inspect properties and electronically record
information pertaining to the damage caused by a disaster. ACE receives specific registrant data,
from NEMIS-IA, the system that maintains the disaster survivor’s application information and is
used to administer the IA program. The ACE system uses the IA data to process housing
inspections, and does not typically collect any new PII. NEMIS-IA sends data, including applicant
name, address, and phone number, to the ACE system, based on the inspections assigned to a
specific inspector. The housing inspectors, who are FEMA contractors, use the information to
verify application data with the applicant (conduct ID check, verify the address and phone numbers
of the applicant) and to capture relevant information to verify damage of property through a visual
inspection. Each housing inspector only has access to those registrations that are assigned to him
or her.
During the inspection, the housing inspector collects information related to the damage
sustained by the property; no additional PII is collected during a typical housing inspection. In rare
cases, inspectors may collect and enter information into ACE in order to modify applicant
information within the NEMIS-IA system or add a co-applicant (this information could include
address or SSNs depending on the case). In such instances, the information is transmitted to
NEMIS-IA system.
Upon completion of the inspection, the inspector transmits the inspection data from ACE
back into the NEMIS-IA system. After the data has been uploaded back to NEMIS-IA, it is
automatically purged from the ACE system. The results of the housing inspection are used by
FEMA to determine the level of assistance provided to the survivor.
System Access:
Housing inspectors use FEMA-provided tablets that have the mobile app installed on them.
Inspectors use a user name and password in order to access ACE.
Individuals Impacted:
Disaster assistance applicants; and
FEMA’s in-house and contracted inspectors and inspection staff.
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Sources of Information:
ACE receives information from NEMIS-IA about the survivor, including name;
registration ID; date of birth; address and contact information; and information regarding damage
to the property. The inspector verifies this information with the survivor, and may collect modified
information from the survivor, such as an updated address or phone number, or additional
information to be added to an existing application, such as adding a co-applicant. During the
inspection, the housing inspector performs a visual validation of the property damage that occurred
during the disaster. The inspector makes observations and may document the damage through
photographs.
Data Elements:
Name;
Registration ID;
Date of Birth;
Address and Contact Information;
Phone number; and
Information Regarding Damage to the Property.
SORN Coverage:
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
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FEMA IHP Program Management Section CRM
Program/System:
FEMA Office of Response and Recovery, Individual Assistance Individuals and
Households Program–Program Management Section, FEMA SalesForce Customer Relationship
Manager (CRM).
Purpose and Use:
FEMA SalesForce Customer Relationship Management (CRM) will improve the
management of correspondence from requestors seeking the assistance of the Program
Management Section IHP Helpdesk. The IHP Helpdesk is an internal FEMA helpdesk that
provides support and addresses IHP-related inquiries and issues submitted by FEMA staff at
Headquarters, JFOs, DRCs, or other disaster relief offices. The CRM is a web-based helpdesk
portal that allows visitors, to include both FEMA and non-FEMA users (such as the SBA), to
submit questions or comments about problems or issues with IA applications and applicant files
that are managed through a case format. Users of the CRM portal create accounts and enter
inquiries via a web form.
System Access:
SalesForce CRM is an encrypted, internal FEMA application that is only accessible to
approved FEMA personnel via the intranet or the FEMA Secure Sockets Layer (SSL) Virtual
Private Network (VPN) Portal.102
Individuals Impacted:
FEMA employees
FEMA partners who have access to the FEMA Intranet
Individual Disaster Applicants who are the subject of inquiries
Sources of Information:
NEMIS-IA
Data Elements:
The CRM collects user contact information such as name, email address, and contact
number to create an account. Inquiries to the CRM can contain name, registration ID, or case file
number, mailing address, and attachments that could include copies of documents. Documents
could contain sensitive PII.
An SSL VPN is a means of allowing external users to securely access FEMA’s network. This technology works
through the web browser and all data flows as if it is on the internal FEMA network.
102
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SORN Coverage:
DHS/FEMA-008 Disaster Recovery Assistance Files, 78 FR 25282 (April 30, 2013).
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Appendix B: Forms
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The following forms are used to collect survivor PII in order to provide disaster assistance:
OMB Control Number
1660-0002
Disaster Assistance
Registration
1660-0061
Federal Assistance to
Individuals and Households
Program
1660-0030
Manufactured Housing
Operations
FEMA Form
Number
009-0-1 (English)
Form Title
Application/Registration for
Disaster Assistance
009-0-2 (Spanish)
Solicitud en Papel/Registro Para
Asistencia De Desastre
009-0-1T (English)
Tele-Registration Application for
Disaster Assistance
009-0-1Int (English)
Internet Application/Registration for
Disaster Assistance
009-0-2Int (Spanish)
Internet, Registro Para Asistencia
De Desastre
009-0-1S (English)
Smartphone Application for Disaster
Assistance
009-0-2S (Spanish)
Smartphone, Registro Para
Asistencia De Desastre
009-0-3 (English)
Declaration and Release Form
009-0-4 (Spanish)
Declaración Y Autorización
009-0-5 (English)
Temporary Housing ProgramReceipt for Government Property
009-0-6 (Spanish)
Recibo de la Propiedad del Gobierno
010-0-11
Administrative Option Selection
010-0-12
Application for Continued
Temporary Housing Assistance
010-0-12S (Spanish)
Programa de Individuos y Familias
Solicitud para Continuar la
Asistencia de Vivienda Temporera
010-0-9
Request for Site Inspection
010-0-10
Landowner’s Authorization IngressEgress Agreement
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009-0-130
Manufactured Housing Unit
Maintenance Work Order
009-0-136
Manufactured Housing Unit (MHU)
Installation Work Order
009-0-138
Manufactured Housing Unit
Inspection Report
010-0-9
Request for Site Inspection
009-0-131
Manufactured Housing Unit Sales
Calculator
009-0-134
Recertification Worksheet
009-0-135
Temporary Housing Agreement
009-0-137
Unit Pad Requirements Information
Checklist
009-0-129
Ready for Occupancy Status
1660-0011
Debt Collection Financial
Statement
127-0-1
Debt Financial Statement
1660-0142
Survivor Sheltering
Assessment
009-0-42
Survivor Sheltering Assessment
Tool
1660-0138
Direct Housing Program
| File Type | application/pdf |
| File Title | DHS/FEMA/PIA-049 Individual Assistance (IA) Program |
| Author | U.S. Department of Homeland Security Privacy Office |
| File Modified | 2018-01-11 |
| File Created | 2018-01-11 |