[Federal Register Volume 74, Number 11 (Friday, January 16, 2009)]
[Notices]
[Pages 3084-3088]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-924]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2008-0120]
Privacy Act of 1974; Department of Homeland Security--023
Personnel Security Management System of Records
AGENCY: Privacy Office; DHS.
ACTION: Notice of Privacy Act system of records.
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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the
Department of Homeland Security's ongoing effort to review and update
system of records notices, the Department of Homeland Security proposes
to consolidate into a new Department of Homeland Security system of
records notice titled, Personnel Security Management System of Records:
Treasury/CS.270 Background-Record File of Non-Customs Employees,
Treasury/CS.284 Personnel Verification System, and DOT/CG 611
Investigative Case System, and partially consolidate DHS/OS-001 Office
of Security File System and FEMA/SEC-1 Security Support System.
Categories of individuals, categories of records, and the routine uses
of these legacy systems have been reviewed and updated to better
reflect the Department's personnel security management record system.
Additionally, the Department of Homeland Security is issuing a Notice
of Proposed Rulemaking concurrent with this system of records elsewhere
in the Federal Register. The activities performed by the Department's
Personnel Security program often overlap with other security-related
activities such as access control and investigatory records.
Accordingly, data within each of the categories of individuals,
categories of records, and routine uses may have similarities with
other security-related systems of records, but each system is distinct
based on its purpose. This consolidated system will be included in the
Department of Homeland Security's inventory of record systems.
DATES: Written comments must be submitted on or before February 17,
2009. This new system will be effective February 17, 2009.
ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0120 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 703-483-2999.
Mail: Hugo Teufel III, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528.
Instructions: All submissions received must include the
agency name and docket number for this rulemaking. All comments
received will be posted without change and may be read at http://www.regulations.gov, including any personal information provided.
Docket: For access to the docket to read background
documents or comments received, go to http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For general questions and privacy
issues
[[Page 3085]]
please contact: Hugo Teufel III (703-235-0780), Chief Privacy Officer,
Privacy Office, Department of Homeland Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
Pursuant to the savings clause in the Homeland Security Act of
2002, Public Law 107-296, section 1512, 116 Stat. 2310 (November 25,
2002), the Department of Homeland Security (DHS) and its components and
offices have relied on preexisting Privacy Act systems of records
notices for the collection and maintenance of records that pertain to
personnel security management.
As part of its efforts to streamline and consolidate its Privacy
Act record systems, DHS is establishing a new agency-wide system of
records under the Privacy Act (5 U.S.C. 552a) for DHS personnel
security management records. The Personnel Security Management system
of records is the baseline system for personnel security activities, as
led by the DHS Office of the Chief Security Officer, for the
Department. This will ensure that all DHS components follow the same
privacy rules for collecting and handling personnel security management
records.
In accordance with the Privacy Act of 1974 and as part of DHS's
ongoing effort to review and update system of records notices, DHS
proposes to consolidate into a new DHS system of records notice titled,
DHS/All--023 Personnel Security Management System of Records: Treasury/
CS.270 Background-Record File of Non-Customs Employees (66 FR 52984
October 18, 2001), and Treasury/CS.284 Personnel Verification System
(66 FR 52984 October 18, 2001), and partially consolidate DHS/OS-001
Office of Security File System (71 FR 53700 September 12, 2006) and
FEMA/SEC-1 Security Support System (55 FR 37182 September 7, 1990).
Categories of individuals, categories of records, and the routine uses
of these legacy systems have been reviewed and updated to better
reflect the Department's personnel security management record system.
Additionally, the Department of Homeland Security is issuing a Notice
of Proposed Rulemaking concurrent with this system of records elsewhere
in the Federal Register. The activities performed by the Department's
Personnel Security program often overlap with other security-related
activities such as access control and investigatory records.
Accordingly, data within each of the categories of individuals,
categories of records, and routine uses may have similarities with
other security-related systems of records, but each system is distinct
based on its purpose.
The purpose of this system is to maintain processing records of
personnel security-related clearance actions; to record suitability
determinations; security clearances issued or denied; and to verify
eligibility for access to classified information or assignment to a
sensitive position. Also, records may be used by the Department for
adverse personnel actions such as removal from sensitive duties,
removal from employment, and denial to a restricted or sensitive area,
and revocation of security clearance. The system also assists in
capturing background investigations and adjudications; directing the
clearance process for granting, suspending, revoking and denying access
to classified information; managing state, local and private sector
clearance programs and contractor suitability programs; determining
eligibility for unescorted access to DHS facilities or information
technology systems; and other activities relating to personnel security
management responsibilities at DHS.
The Office of the Chief Security Officer is currently implementing
a new web-based personnel and information security application,
Integrated Security Management System (ISMS). ISMS will replace the
existing case management system currently in use for Customs and Border
Protection, Federal Law Enforcement Training Center, Immigration and
Customs Enforcement, and Federal Emergency Management Agency.
Further, this system of records is separate from DHS-OS-2006-047
Personal Identity Verification Management System (71 FR 53697 September
12, 2006), which supports the administration of the HSPD-12 program
that directs the use of a common identification credential for both
logical and physical access to federally controlled facilities and
information systems while enhancing security, increasing efficiency,
reducing identify fraud, and protecting personal privacy. This
consolidated system will be included in DHS's inventory of record
systems.
II. Privacy Act
The Privacy Act embodies fair information principles in a statutory
framework governing the means by which the United States Government
collects, maintains, uses and disseminates individual's records. The
Privacy Act applies to information that is maintained in a ``system of
records.'' A ``system of records'' is a group of any records under the
control of an agency from which information is stored and retrieved by
the name of the individual or by some identifying number such as
property address, mailing address, or symbol assigned to the
individual. In the Privacy Act, an individual is defined to encompass
United States citizens and lawful permanent residents. DHS extends
administrative Privacy Act protections to all individuals where
information is maintained on both U.S. citizens, lawful permanent
residents, and visitors. Individuals may request their own records that
are maintained in a system of records in the possession or under the
control of DHS by complying with DHS Privacy Act regulations, 6 CFR
part 5.
The Privacy Act requires each agency to publish in the Federal
Register a description denoting the type and character of each system
of records that the agency maintains, and the routine uses that are
contained in each system in order to make agency record keeping
practices transparent, to notify individuals regarding the uses of
their records, and to assist individuals to more easily find such files
within the agency. Below is a description of the Personnel Security
Management System of Records.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
this new system of records to the Office of Management and Budget (OMB)
and to Congress.
SYSTEM OF RECORDS:
DHS/ALL-023.
SYSTEM NAME:
Department of Homeland Security--023 Personnel Security Management
System of Records.
SECURITY CLASSIFICATION:
Unclassified, sensitive, and classified.
SYSTEM LOCATION:
Records are maintained at several Headquarters locations and in
component offices of the Department of Homeland Security, in
Washington, DC, field locations, and the Department of Treasury, Bureau
of Public Debt for Office of Inspector General employees and
applicants. For background investigations adjudicated by the Office of
Personnel Management (OPM), OPM may retain copies of those files,
pursuant to their records retention schedules.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals covered by this system include DHS
covered individuals (e.g., federal employees,
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applicants, excepted service federal employees, contractor employees,
retired employees, and past employees) providing support to DHS and who
require unescorted access to DHS-owned facilities, DHS-controlled
facilities, or commercial facilities operating on behalf of DHS; access
to DHS information technology (IT) systems and the systems' data; or
access to national security information including classified
information.
Also covered are State and local government personnel and private
sector individuals who serve on an advisory committee or board
sponsored by DHS; individuals, including State and local government
personnel and private-sector individuals, who are authorized by DHS to
access Departmental facilities, communications security equipment, and
information technology systems that process sensitive or classified
national security information.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records include:
Individual's name;
Social security number;
Date and place of birth;
Citizenship;
Access Control Pass or Credential number
Records relating to the management and operation of DHS
personnel security program, including but not limited to:
[cir] Completed standard form questionnaires issued by the Office
of Personnel Management;
[cir] Originals or copies of background investigative reports;
[cir] Supporting documentation related to the background
investigations and adjudications including medical and financial data;
[cir] Information related to congressional inquiry; and
[cir] Other information relating to an individual's eligibility
for access to classified or sensitive information.
Records relating to management and operation of DHS
programs to safeguard classified and sensitive but unclassified
information, including but not limited to:
[cir] Document control registries;
[cir] Courier authorization requests;
[cir] Non-disclosure agreements;
[cir] Records of security violations;
[cir] Records of document transmittals; and
[cir] Requests for secure storage and communications equipment.
Records relating to the management and operation of DHS
special security programs, including but not limited to:
[cir] Requests for access to sensitive compartmented information
(SCI);
[cir] Contact with foreign officials and foreign travel
registries; and
[cir] Briefing/debriefing statements for special programs,
sensitive positions, and other related information and documents
required in connection with personnel security clearance
determinations.
Records relating to the management and operation of the
DHS security program, including but not limited to:
[cir] Inquiries relating to suspected security violation(s);
[cir] Recommended remedial actions for possible security
violation(s);
[cir] Reports of investigation regarding security violations;
[cir] Statements of individuals;
[cir] Affidavits;
[cir] Correspondence;
[cir] Documentation pertaining to investigative or analytical
efforts by DHS Security program personnel to identify threats to DHS
personnel, property, facilities, and information; and
[cir] Intelligence reports and database results relating to DHS
personnel, applicants, or candidates for DHS employment or access to
DHS facilities or information
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive
Order (EO) 9397; EO 10450; EO 12968, 5 CFR part 731; 5 CFR part 732; 5
CFR part 736; 32 CFR part 147; and DCID 6/4.
PURPOSE(S):
The purpose of this system is to maintain records of processing of
personnel security-related clearance actions; to record suitability
determinations; security clearances issued or denied; and to verify
eligibility for access to classified information or assignment to a
sensitive position. Also, records may be used by the Department for
adverse personnel actions such as removal from sensitive duties,
removal from employment, or denial to a restricted or sensitive area,
and revocation of security clearance. The system also assists in
capturing background investigations and adjudications; directing the
clearance process for granting, suspending, revoking and denying access
to classified information; managing state, local and private sector
clearance programs and contractor suitability programs; determining
eligibility for unescorted access to DHS facilities or information
technology systems; and other activities relating to personnel security
management responsibilities at DHS.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records of
information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
A. To the Department of Justice (including United States Attorney
Offices) or other Federal agency conducting litigation or in
proceedings before any court, adjudicative or administrative body when
it is necessary to the litigation and one of the following is a party
to the litigation or has an interest in such litigation:
1. DHS or any component thereof;
2. Any employee of DHS in his/her official capacity;
3. Any employee of DHS in his/her individual capacity where DOJ or
DHS has agreed to represent the employee; or
4. The United States or any agency thereof, is a party to the
litigation or has an interest in such litigation, and DHS determines
that the records are both relevant and necessary to the litigation and
the use of such records is compatible with the purpose for which DHS
collected the records.
B. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
written request of the individual to whom the record pertains.
C. To the National Archives and Records Administration or other
Federal government agencies pursuant to records management inspections
being conducted under the authority of 44 U.S.C. 2904 and 2906.
D. To an agency, organization, or individual for the purpose of
performing audit or oversight operations as authorized by law, but only
such information as is necessary and relevant to such audit or
oversight function.
E. To appropriate agencies, entities, and persons when:
1. DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
2. The Department has determined that as a result of the suspected
or confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by DHS or another agency or entity) or harm to the
individual who relies upon the compromised information; and
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3. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with DHS's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
F. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for DHS, when necessary to
accomplish an agency function related to this system of records.
Individuals provided information under this routine use are subject to
the same Privacy Act requirements and limitations on disclosure as are
applicable to DHS officers and employees.
G. To an appropriate Federal, State, tribal, local, international,
or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, where a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
H. To an appropriate Federal, State, local, tribal, foreign, or
international agency, if the information is relevant and necessary to a
requesting agency's decision concerning the hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit, or if the information is relevant and
necessary to a DHS decision concerning the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant or other benefit and disclosure is
appropriate to the proper performance of the official duties of the
person making the request.
I. To an individual's prospective or current employer to the extent
necessary to determine employment eligibility.
J. To a court, magistrate, or administrative tribunal in the course
of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal law proceedings or pursuant
to the order of a court of competent jurisdiction in response to a
subpoena from a court of competent jurisdiction.
K. To third parties during the course of a law enforcement
investigation to the extent necessary to obtain information pertinent
to the investigation, provided disclosure is appropriate to the proper
performance of the official duties of the officer making the
disclosure.
L. To a public or professional licensing organization when such
information indicates, either by itself or in combination with other
information, a violation or potential violation of professional
standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to
become licensed.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on servers, magnetic disc, tape, digital media, and CD-ROM.
RETRIEVABILITY:
Records may be retrieved by individual's name, date of birth,
social security number, if applicable or other unique individual
identifier, e.g., access control pass or credential number.
SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS automated
systems security and access policies. Strict controls have been imposed
to minimize risk of compromising the information that is being stored.
Access to the computer system containing the records in this system is
limited to those individuals who have a need to know the information
for the performance of their official duties and who have appropriate
clearances or permissions.
RETENTION AND DISPOSAL:
Pursuant to GRS 18, Item 21 through 25, records relating to alleged
security violations are destroyed two years after completion of final
action or when no longer needed, whichever is sooner; records relating
to alleged violations of a sufficient serious nature that are referred
for prosecutive determinations are destroyed five years after the close
of the case; personnel security clearance files are destroyed upon
notification of death or not later than five years after separation or
transfer of employee or no later than five years after contract
relationship expires, whichever is applicable.
SYSTEM MANAGER AND ADDRESS:
For Headquarters components of DHS, the System Manager is the
Director of Departmental Disclosure, Department of Homeland Security,
Washington, DC 20528. For components of DHS, the System Manager can be
found at http://www.dhs.gov/foia under ``contacts.''
NOTIFICATION PROCEDURE:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to the Headquarters or component's FOIA
Officer, whose contact information can be found at http://www.dhs.gov/foia under ``contacts.'' If an individual believes more than one
component maintains Privacy Act records concerning him or her the
individual may submit the request to the Chief Privacy Officer,
Department of Homeland Security, 245 Murray Drive, SW., Building 410,
STOP-0550, Washington, DC 20528.
When seeking records about yourself from this system of records or
any other Departmental system of records your request must conform with
the Privacy Act regulations set forth in 6 CFR part 5. You must first
verify your identity, meaning that you must provide your full name,
current address and date and place of birth. You must sign your
request, and your signature must either be notarized or submitted under
28 U.S.C. 1746, a law that permits statements to be made under penalty
of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Director,
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition
you should provide the following:
An explanation of why you believe the Department would
have information on you,
Identify which component(s) of the Department you believe
may have the information about you,
Specify when you believe the records would have been
created,
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records,
If your request is seeking records pertaining to another
living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
Without this bulleted information the component(s) may not be able
to conduct an effective search, and your
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request may be denied due to lack of specificity or lack of compliance
with applicable regulations.
RECORD ACCESS PROCEDURES:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
Records are generated from sources contacted during personnel and
background investigations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
The Secretary of Homeland Security has exempted this system from
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a (k)(1), (k)(2), (k)(3), and
(k)(5) of the Privacy Act.
Dated: December 22, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E9-924 Filed 1-15-09; 8:45 am]
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