[Federal Register Volume 75, Number 35 (Tuesday, February 23, 2010)]
[Notices]
[Pages 8088-8092]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-3362]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket No. DHS-2009-0041]
Privacy Act of 1974; Department of Homeland Security/ALL--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, the Department of
Homeland Security proposes to update and reissue Department of Homeland
Security/ALL--023 Personnel Security Management System of Records to
include record systems within the Federal Protective Service and
records of federal, state, local and foreign law enforcement personnel
who apply for and/or are granted authority to enforce federal laws on
behalf of the Department. Categories of individuals, categories of
records, purpose, and routine uses of this system have been reviewed
and updated to reflect the personnel security management record systems
of the Department, including the Federal Protective Service. 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, purpose and routine
uses may have similarities with other security-related systems of
records, but each system is distinct based on its purpose.
Further, this system of records is separate from Department of
Homeland Security/ALL 026--Personal Identity Verification Management
System of Records, June 25, 2009, which supports the administration of
the Homeland Security Presidential Directive--12 program, directing 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 identity fraud, and
protecting personal privacy.
There will be no change to the Privacy Act exemptions currently in
place for this system of records and therefore remain in effect. This
updated system will continue to be included in the Department of
Homeland Security's inventory of record systems.
DATES: Written comments must be submitted on or before March 25, 2010.
This updated system will be effective March 25, 2010.
ADDRESSES: You may submit comments, identified by docket number DHS-
2009-0041 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: Mary Ellen Callahan, 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 please contact: Mary Ellen Callahan (703-235-0780), Chief
Privacy Officer, Privacy Office, Department of Homeland Security,
Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
The Department of Homeland Security (DHS) and its components and
offices rely on DHS/ALL--023 Personnel Security Management System of
Records (74 FR 3084, January 16, 2009) for the collection and
maintenance of records that pertain to personnel security management.
DHS is updating and reissuing this Department-wide system of
records under the Privacy Act (5 U.S.C. 552a), for DHS personnel
security management records, to include records systems within the
Federal Protective Service (FPS) and records of federal, state, local,
and foreign law enforcement personnel
[[Page 8089]]
who apply for and/or are granted authority to enforce federal laws on
behalf of DHS. The DHS/ALL--023 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.
The purpose of this system is to maintain processing records of
personnel security-related clearance actions, to record suitability
determinations, to record whether security clearances are 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; directing the clearance
process for granting, suspending, revoking and denying other federal,
state, local, or foreign law enforcement officers the authority to
enforce federal laws on behalf of DHS; 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 Department's
authority for this collection is primarily 5 U.S.C. 301; 44 U.S.C.
3101; 8 U.S.C. 1357(g); 19 U.S.C. 1401(i); 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. This system will collect individuals'
personal information to support the Department's efforts related to
their personnel security activity. Efforts have been made to safeguard
records 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. The
routine uses posted are unchanged from the previous publishing and
consistent with the purpose for collection. This system of records is
collecting information under the Paperwork Reduction Act using the
following forms: (1.) Questionnaire for Non-Sensitive Positions--SF-
85--OMB No. 3206-0005; (2.) Questionnaire for Public Trust Position--
SF-85P--OMB No. 3206-0191; (3.) Supplemental Questionnaire for Selected
Positions--SF-85P-S OMB No. 3206-0191; (4.) Questionnaire for National
Security Positions--SF-86--OMB No. 3206-0005; and (5.) Continuation
Sheet for Questionnaires--SF-86A--OMB No. 3206-0005. Further reviews
are being conducted to determine if the system of records collects
other information under the Paperwork Reduction Act. Categories of
individuals, categories of records, the purpose, and routine uses of
this system have been reviewed and updated to reflect the personnel
security management record systems of the Department, including the
FPS. The Privacy Office has updated the categories of individuals
covered by the system to include DHS-covered individuals, such as
federal employees, applicants, excepted service federal employees,
contractor employees, retired employees, past employees providing
support to DHS and who require unescorted access to DHS-secured
facilities, and federal, state, local, and foreign law enforcement
personnel who apply for or are granted authority to enforce federal
laws on behalf of DHS. The categories of records have been updated to
include facial photographs and criminal background investigations. The
purpose has been revised to reflect that the system assists in
directing the clearance process for granting, suspending, revoking and
denying other federal, state, local, or foreign law enforcement
officers the authority to enforce federal laws on behalf of DHS and
eligibility for unescorted access to DHS secured facilities. An
existing routine use (Routine Use H) was modified to permit the sharing
of information from this system of records with agencies where it is
relevant and necessary to the agencies' decision concerning the
delegation or designation of authority. Lastly, a new routine use was
added to permit sharing of information with the news media and the
public, with the approval of the Chief Privacy Officer in consultation
with counsel, when there exists a legitimate public interest in the
disclosure of the information or when disclosure is necessary to
preserve confidence in the integrity of DHS or to demonstrate the
accountability of DHS's officers, employees, or individuals covered by
the system, except to the extent it is determined that release of the
specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
Privacy Impact Assessments (PIAs) have been conducted and are on
file for the (1.) Personnel Security Activities Management System; (2.)
Integrated Security Management System; (3.) DHSAccessGate System; (4.)
Automated Continuing Evaluation System (ACES) Pilot; (5.) Personal
Identity Verification System; (6.) Federal Protective Service
Information Support Tracking System (FISTS) Contract Suitability
Module; and (7.) Federal Protective Service Dispatch Incident Records
Management Systems along with other related component specific PIAs and
can be found at http://www.dhs.gov/privacy.
Consistent with DHS's information sharing mission, information
stored within the DHS/ALL--023 Personnel Security Management System of
Records may be shared with other DHS components, as well as appropriate
federal, state, local, tribal, foreign, or international government
agencies. This sharing will only take place after DHS determines that
the receiving component or agency has a need to know the information to
carry out national security, law enforcement, immigration,
intelligence, or other functions consistent with the routine uses set
forth in this system of records notice.
The Office of the Chief Security Officer is implementing a new web-
based personnel and information security application, Integrated
Security Management System (ISMS). ISMS has replaced many of the
existing case management systems currently in use at the Department's
Headquarters, U.S. Customs and Border Protection (CBP), the Federal Law
Enforcement Training Center (FLETC), and the Federal Emergency
Management Agency (FEMA). ISMS will replace the existing case
management systems currently in use at the U.S. Citizenship and
Immigration Services (USCIS), U.S. Immigration and Customs Enforcement
(ICE), and the U.S. Coast Guard (USCG) in the near future.
There will be no change to the Privacy Act exemptions currently in
place for this system of records and therefore remain in effect. This
updated system will continue to be included in DHS's inventory of
record systems.
[[Page 8090]]
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 an 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 DHS/ALL--023 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 (DHS)/ALL--023 Personnel Security
Management System of Records.
Security classification:
Unclassified, sensitive, for official use only, and classified.
System location:
Records are maintained at several DHS Headquarters locations and
component offices in Washington, DC and field locations; and the
Department of Treasury (DTR), 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 federal
employees, applicants, excepted service federal employees, contractor
employees, retired employees, and past employees providing support to
DHS who require: (1.) Unescorted access to DHS-owned facilities, DHS-
controlled facilities, DHS-secured facilities, or commercial facilities
operating on behalf of DHS; (2.) access to DHS information technology
(IT) systems and the systems' data; or (3.) access to national security
information including classified information.
Also covered are: (1.) State and local government personnel and
private-sector individuals who serve on an advisory committee or board
sponsored by DHS; (2.) federal, state, local, and foreign law
enforcement personnel who apply for or are granted authority to enforce
federal laws on behalf of DHS; and (3.) individuals, including state
and local government personnel and private-sector individuals, who are
authorized by DHS to access Departmental facilities, communications
security equipment, and/or information technology systems that process
sensitive or classified national security information.
Categories of records in the system:
Categories of records in the system include:
Individual's name;
Date and place of birth;
Social security number;
Citizenship;
Access Control Pass or Credential number;
Facial photograph;
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 criminal background, 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; 44 U.S.C. 3101; 8 U.S.C. 1357(g); 19 U.S.C. 1401(i);
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 collect and maintain records of
processing of personnel security-related clearance actions, to record
suitability determinations, to record whether security clearances are
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
[[Page 8091]]
personnel actions such as removal from sensitive duties, removal from
employment, denial to a restricted or sensitive area, and/or 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; directing the clearance process for granting, suspending,
revoking and denying other federal, state, local, or foreign law
enforcement officers the authority to enforce federal laws on behalf of
DHS; managing state, local and private-sector clearance programs and
contractor suitability programs; determining eligibility for unescorted
access to DHS owned, occupied or secured facilities or information
technology systems; and/or 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
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, delegation or designation of authority, 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, delegation
or designation of authority, 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.
M. To the news media and the public, with the approval of the Chief
Privacy Officer in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information or when
disclosure is necessary to preserve confidence in the integrity of DHS
or is necessary to demonstrate the accountability of DHS's officers,
employees, or individuals covered by the system, except to the extent
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure
[[Page 8092]]
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 such as 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: Chief, Personnel Security
Division (202-447-5010), Office of Security, 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:
The Secretary of Homeland Security has exempted this system from
the notification, access, and amendment procedures of the Privacy Act
because it is a law enforcement system. However, DHS will consider
individual requests to determine whether or not information may be
released. Thus, 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
and Chief Freedom of Information Act 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 Chief Privacy
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov or 1-866-431-0486. In addition you should provide the
following:
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;
and
If your request is seeking records pertaining to another
living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
Without this bulleted information the component(s) may not be able
to conduct an effective search, and your request may be denied due to
lack of specificity or lack of compliance with applicable regulations.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
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
the following provisions of the Privacy Act, subject to the limitation
set forth in (c)(3); (d); (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(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: February 1, 2010.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2010-3362 Filed 2-22-10; 8:45 am]
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