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[Federal Register: March 3, 2010 (Volume 75, Number 41)]
[Proposed Rules]               
[Page 9548-9556]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03mr10-17]                         

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DEPARTMENT OF DEFENSE

Office of the Secretary

32 CFR Part 157

[DoD-2008-OS-0075; RIN 0790-AI33]

 
Reduction of Use of Social Security Numbers (SSN) in the 
Department of Defense (DoD)

AGENCY: Department of Defense.

ACTION: Proposed rule.

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SUMMARY: This proposed rule establishes policy and assigns 
responsibilities for social security number (SSN) reduction in DoD. It 
incorporates Office of the Under Secretary of Defense for Personnel and 
Readiness Directive-type Memorandum titled ``DoD Social Security Number 
(SSN) Reduction Plan.''

DATES: Comments must be received by May 3, 2010.

ADDRESSES: You may submit comments, identified by docket number and/or 
the Regulatory Information Number (RIN) number and title, by any of the 
following methods:
     Federal Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Federal Docket Management System Office, 1160 
Defense Pentagon, Washington, DC 20301-1160.
    Instructions: All submissions received must include the agency name 
and docket number or RIN for this Federal Register document. The 
general policy for comments and other submissions from members of the 
public is to make these submissions available for public viewing on the 
Internet at http://www.regulations.gov as they are received without 
change, including any personal identifiers or contact information.

FOR FURTHER INFORMATION CONTACT: Andrew Uscher, 703-696-0109.

SUPPLEMENTARY INFORMATION:

Executive Order 12866, ``Regulatory Planning and Review''

    It has been certified that 32 CFR part 157 does not:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy; a section of the 
economy; productivity; competition; jobs; the environment; public 
health or safety; or State, local, or tribunal governments or 
communities;
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another Agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs, or the rights and obligations of 
recipients thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
this Executive Order.

Section 202, Public Law 104-4, ``Unfunded Mandates Reform Act''

    It has been certified that 32 CFR part 157 does not contain a 
Federal mandate that may result in the expenditure by State, local and 
tribunal governments, in aggregate, or by the private sector, of $100 
million or more in any 1 year.

Public Law 96-354, ``Regulatory Flexibility Act'' (5 U.S.C. 601)

    It has been certified that 32 CFR part 157 is not subject to the 
Regulatory Flexibility Act (5 U.S.C. 601) because it would not, if 
promulgated, have a significant economic impact on a substantial number 
of small entities. This rule establishes policy and assigns 
responsibilities for SSN reduction in DoD.

Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)

    It has been certified that 32 CFR part 157 does not impose 
reporting or recordkeeping requirements under the Paperwork Reduction 
Act of 1995.

Executive Order 13132, ``Federalism''

    It has been certified that 32 CFR part 157 does not have federalism 
implications, as set forth in Executive Order 13132. This rule does not 
have substantial direct effects on:
    (1) The States;
    (2) The relationship between the National Government and the 
States; or
    (3) The distribution of power and responsibilities among the 
various levels of Government.

List of Subjects in 32 CFR Part 157

    Privacy, Security measures, Social Security numbers.

    Accordingly, 32 CFR part 157 is proposed to be added to read as 
follows:

PART 157--REDUCTION OF USE OF SOCIAL SECURITY NUMBERS (SSN) IN THE 
DEPARTMENT OF DEFENSE (DOD)

Sec.
157.1 Purpose.
157.2 Applicability.
157.3 Definitions.
157.4 Policy.
157.5 Responsibilities.
157.6. Guidance on the use of the SSN by the DoD.
157.7. DoD SSN reduction in forms and systems.
157.8. Approval for use of the SSN.
157.9 Information requirements.

[[Page 9549]]

Appendix A to Part 157--Sample SSN Justification Memorandum
Appendix B to Part 157--Sample SSN Elimination Plan

    Authority:  5 U.S.C. 301.


Sec.  157.1  Purpose.

    This part establishes policy and assign responsibilities for social 
security number (SSN) reduction in the Department of Defense (DoD). It 
establishes a DoD SSN Reduction Plan.


Sec.  157.2  Applicability.

    This part:
    (a) Applies to the Office of the Secretary of Defense, the Military 
Departments, the Office of the Chairman of the Joint Chiefs of Staff 
and the Joint Staff, the Combatant Commands, the Office of the 
Inspector General of the Department of Defense (IG, DoD), the Defense 
Agencies, the DoD Field Activities, and all other organizational 
entities within DoD (hereafter referred to collectively as the ``DoD 
Components'').
    (b) Covers all uses of SSNs within DoD, to include DoD data managed 
or retained in contractor-owned, -managed, or -operated systems 
according to section 552a of title 5, United States Code.


Sec.  157.3  Definitions.

    These terms and their definitions are for the purpose of this part.
    Application. Software program that performs a specific function 
directly for a user and can be executed without access to system 
control, monitoring, or administrative privileges. Examples include 
office automation, electronic mail, Web services, and major functional 
or mission software programs.
    Authentication. The process of establishing that an individual, 
previously identified and with whom a business relationship has been 
established, is the same as the individual who initially created the 
relationship. This is generally done by presenting information that is 
known only to the individual and the organization. Authentication is 
also a security measure designed to establish the validity of a 
transmission, message, or originator, or a means of verifying an 
individual's authorization to receive specific categories of 
information.
    Computer network. The constituent element of an enclave responsible 
for connecting computing environments by providing short-haul data 
transport capabilities such as local or campus area networks, or long-
haul data transport capabilities such as operational, metropolitan, or 
wide area and backbone networks.
    DoD information system. Set of information resources organized for 
the collection, storage, processing, maintenance, use, sharing, 
dissemination, disposition, display, or transmission of information. 
Includes automated information system applications, enclaves, 
outsourced information technology (IT)-based processes, and platform IT 
interconnections.
    Electronic form. An officially prescribed set of data residing in 
an electronic medium that is used to produce as near to a mirror-like 
image as the creation software will allow of the officially prescribed 
form. An electronic form can also be one in which prescribed fields for 
collecting data can be integrated, managed, processed, and/or 
transmitted through an organization's IT system. There are two types of 
electronic forms: One that is part of an automated transaction, and one 
whose image and/or data elements reside on a computer.
    Form. A fixed arrangement of captioned spaces designed for entering 
and extracting prescribed information. Forms may be preprinted paper 
forms or electronic forms.
    Identification. The act of establishing who a person is. This is 
generally done by the collection and review of certain identity 
attributes, including but not limited to: Name, SSN, address, and date 
of birth. Identification is generally associated with a business 
process and includes establishing the relationship based on the need or 
desire of an individual to participate in the given business process.
    Privacy Impact Assessment (PIA). An analysis of how information is 
handled: To ensure handling conforms to applicable legal, regulatory, 
and policy requirements regarding privacy; to determine the risks and 
effects of collecting, maintaining, and disseminating Personally 
Identifiable Information (PII) information in an electronic information 
system; and to examine and evaluate protections and alternative 
processes for handling information to mitigate potential privacy risks.
    Record. All books, papers, maps, photographs, machine readable 
materials, or other documentary materials, regardless of physical form 
or characteristics, made or received by an agency of the United States 
Government under Federal law or in connection with the transaction of 
public business and preserved or appropriate for preservation by that 
agency or its legitimate successor as evidence of the organization, 
functions, policies, decisions, procedures, operations or other 
activities of the Government or because of the information value of the 
data in them.
    Survey. An instrument designed to gather data or attitudes by 
polling a section of the population.
    System. See definition of DoD Information System.
    System identifiers. Identifiers used for system-to-system 
electronic communications across the enterprise. They are not to be 
declared by, nor in fact generally known to, the person they are 
assigned to. Their primary purpose is to limit the ambiguity in 
identity caused by human entry of declarative identifiers (e.g., 
transpositions and typographical errors that occur when entering SSNs). 
Once they are assigned they are used only for technology-to-technology 
communications and never printed on any media. Their scope is only for 
use within DoD.
    System of records. A group of any records under the control of any 
agency from which information is retrieved by the name of the 
individual or by some identifying number, symbol, or other identifying 
particular assigned to the individual.


Sec.  157.4  Policy.

    It is DoD policy that:
    (a) All DoD personnel and contractors shall reduce or eliminate the 
use of SSNs wherever possible.
    (b) Use of the SSN includes the SSN in any form, including, but not 
limited to, truncated, masked, partially masked, encrypted, or 
disguised SSNs.
    (c) SSNs will not be used in surveys, spreadsheets, or hard copy 
lists. The policy that SSNs will not be used in surveys only includes 
survey responses.
    (d) SSNs will be used only in approved forms and systems when they 
meet one or more of the acceptable use criteria in Sec.  157.6(b) of 
this part.
    (e) Specific reviews of forms and systems will be conducted to 
reduce SSN use. Follow guidance in Sec.  157.7 and Sec.  157.8 of this 
part.


Sec.  157.5  Responsibilities.

    (a) The Under Secretary of Defense for Personnel and Readiness (USD 
(P&R)) shall establish a SSN Reduction Plan for DoD and shall monitor 
its execution.
    (b) The Director of Administration and Management shall ensure that 
the DoD Forms Management Officer and the Director, Defense Privacy 
Office (DPO) fulfill their responsibilities related to the SSN 
Reduction Plan.
    (1) The DoD Forms Management Officer shall review SSN use and 
justifications on new and existing Department of Defense (DD) and 
Secretary of Defense (SD) forms and produce an annual report on 
results.

[[Page 9550]]

    (2) The Director, DPO, shall:
    (i) Provide the final approval authority for SSN use and 
justification. The authorization for use of personally identifiable 
information (PII) is governed through the DoD Privacy Program.
    (ii) Review SSN use and justifications on the DoD Information 
Technology Portfolio Repository (DITPR) as part of the Biennial Privacy 
Act System of Records Notices Review and prepare an annual report on 
results (see Sec.  157.7(b)(2)(iii) of this part).
    (iii) Submit the Privacy Section of the annual Federal Information 
Security Management Act (FISMA) Report. This report requires agencies 
to review and update their progress on the reduction of holdings of 
PII. Provide specific guidance annually to reflect the reporting 
elements. FISMA elements are subject to change. The DoD Component 
Privacy Act offices are responsible for providing input to the Defense 
Privacy Office for inclusion in the report.
    (c) The Heads of the DoD Components shall review, or delegate 
responsibility for review within their Component SSN use and 
justifications for new and existing Component-wide forms, and produce 
an annual report on results in accordance with the process described in 
Sec.  157.8(b)(2)(i) of this part. New and existing command and 
installation level forms also will be reviewed with limited reporting 
in accordance with the process described in Sec.  157.8(b)(2)(ii) of 
this part.
    (d) The Commanders of the Combatant Commands, through the Chairman 
of the Joint Chiefs of Staff, shall review and approve uses of the SSN 
that are required as a result of operational necessity.
    (e) The IG, DoD, is requested to review the implementation of the 
DoD SSN Reduction Plan at key milestones as reflected in Sec.  157.7(c) 
of this part.


Sec.  157.6  Guidance on the use of the SSN by DoD.

    (a) Overview. (1) The SSN has been used as a means to efficiently 
identify and authenticate individuals. Expanded use of the SSN has 
increased efficiency, enabling DoD information systems and processes to 
interoperate and transfer information with a greatly reduced chance of 
errors. However, the threat of identity theft has rendered this wide-
spread use unacceptable, resulting in the requirement that all Federal 
agencies evaluate how the SSN is used and eliminate its unnecessary use 
(President's Task Force on Identity Theft Strategic Plan \1\ and Office 
of Management and Budget (OMB) Memo M-07-16 \2\).
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    \1\ Available at http://www.idtheft.gov/reports/strategicplan.pdf.
    \2\ Available at http://www.whitehouse.gov/omb/memoranda/fy2007/m07-16.pdf.
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    (2) This guidance identifies the acceptable uses of the SSN, 
describes how authorized uses shall be documented, presents 
alternatives to using the SSN, and explains the role Privacy Act 
training plays in protecting privacy information within DoD. Any uses 
of the SSN not provided for in this guidance are considered to be 
unnecessary and shall be eliminated. Use of the SSN includes the SSN in 
any form, including, but not limited to, truncated (last four digits), 
masked, partially masked, encrypted, or disguised SSNs.
    (b) Acceptable uses. (1) The acceptable uses of the SSN are those 
that are provided for by law, require interoperability with 
organizations beyond DoD, or are required by operational necessities. 
Such operational necessities may be the result of the inability to 
alter systems, processes, or forms due to cost or unacceptable levels 
of risk. Those systems, processes, or forms that claim ``operational 
necessity'' shall be closely scrutinized. Ease of use or unwillingness 
to change are not acceptable justifications for this case.
    (2) Executive Order 9397 required all federal agencies to use the 
SSN as a primary means of identification for individuals working for, 
with, or conducting business with their agency. The requirement for the 
use of the SSN provided by Executive Order 9397 has been eliminated. 
Executive Order 9397 may be used to justify the use of the SSN as an 
interim measure while its use is being eliminated, but shall not, by 
itself be used to constitute justification for ongoing use of the SSN.
    (3) What follows are general categories of use that may continue to 
be acceptable for the SSN. General coverage of an application by one of 
the following use cases must also be compared with the particular way 
in which the SSN is used. The fact that a use case may loosely meet one 
or more of the justifications does not necessarily mean that a specific 
justification is acceptable. The specific legislative or regulatory 
language must be examined to determine if it is applicable. 
Justification for the use of the SSN to be contained in an application 
does not constitute authority to use the SSN in every transaction or 
interaction. Any transaction that includes the display, transfer, or 
presentation of the SSN should be closely scrutinized to determine if 
some alternate form of identification or authentication may suffice.
    (i) Geneva Conventions serial number. As of the late 1960s, the SSN 
has served as the Geneva Conventions serial number for the Armed Forces 
of the United States. Many of the systems, processes, and forms used by 
DoD categorize individuals by their SSNs. In many cases, it is 
essential to be able to identify individuals for the purpose of the 
Geneva Conventions. In addition, it may be necessary to access this 
number at short notice.
    (ii) Law enforcement, national security, credentialing. Almost 
every law enforcement application must be able to report and track 
individuals through the use of the SSN. This includes, but is not 
limited to, checks of the National Crime Information Center; state 
criminal histories; and Federal Bureau of Investigation records checks.
    (iii) Security clearance investigation or verification. The 
initiation, conduct, or verification of security clearances requires 
the use of the SSN. The SSN is the single identifier that links all of 
the aspects of these investigations together. This use case is also 
linked to other Federal agencies that continue to use the SSN as a 
primary identifier.
    (iv) Interactions with financial institutions. Federal law requires 
that individuals who hold accounts with financial institutions provide 
the SSN as part of the process to open accounts. It may therefore be 
required to provide the SSN for systems, processes, or forms that 
interface with or act on behalf of individuals or organizations in 
transactions with financial institutions.
    (v) Confirmation of employment eligibility. Federal statute 
requires that all persons employed within the United States provide an 
SSN or comparable identifier to prove that he or she is eligible to 
work for or with the government of the United States. Any system that 
deals with employment eligibility may contain the SSN.
    (vi) Administration of Federal Worker's Compensation. The Federal 
Worker's Compensation Program continues to track individuals through 
the use of the SSN. As such, systems, processes, or forms that interact 
with or provide information for the administration of this system or 
associated systems may be required to retain the SSN.
    (vii) Federal taxpayer identification number. The application of 
Federal and State income tax programs rely on the use of the SSN. As 
such, systems that have any function that pertains to the collection, 
payment, or record keeping of this use case may contain the SSN. 
Additionally, individuals who operate

[[Page 9551]]

business vehicles under their own name may use their SSN as the tax 
number for that business function.
    (viii) Computer matching. Systems, processes, or forms that 
interact with other Government agencies may require the continued use 
of the SSN as a primary identifier until such time as the applications 
to which they are linked move to some other identifier as a primary 
means for transferring, matching, or checking information. These 
applications shall be rigorously scrutinized to determine the 
availability of some other means for conducting these transactions.
    (ix) Foreign travel. DoD personnel are often required to travel 
beyond the borders of the United States and many members often require 
official clearance prior to travel. Currently, the SSN is used as the 
identifier for these purposes.
    (x) Noncombatant evacuation operations (NEOs). The Department of 
State requires that all persons repatriated to the United States as 
part of a NEO present their SSN as part of this process. Any systems, 
forms, or processes supporting NEOs may be required to process 
individuals using the SSN as the primary identifier.
    (xi) Legacy system interface. Many systems, processes, or forms 
that do not meet the criteria in paragraphs (b)(3)(i) through (b)(3)(x) 
of this section for the continued use of the SSN may not be able to 
transition to another identifier in a timely manner due to the 
excessive cost associated with the change. In these cases, the 
continued use of the SSN may be acceptable for a specified period of 
time, provided that plans are in place for the migration away from the 
SSN in the future. Plans to alter these use cases must take into 
account interactions with other applications as well as all methods for 
entry, processing, or transfer of information from said application. It 
is critical that transfer away from the SSN does not cause unacceptably 
long interruptions to continued operations.
    (xii) Operational necessity. It is not the intention of this part 
to preclude operational capabilities. In austere or tactical 
environments where continuity of operations requires the use of SSN, to 
include the use of hard copy lists and spreadsheets, approval can be 
granted that supersede normal requirements. An example of this may 
include a system in a tactical environment where hard copies are used 
in the event of a loss of power to the system. To ensure that this is 
only used in cases of absolute necessity, justification of this use 
case must be approved by the Combatant Commander. The higher risk and 
increased liability to our Service members and the Department should be 
strongly considered prior to granting approval using this category of 
justification.
    (xiii) Other cases. The previous categories may not include all 
uses of the SSN delineated by law. Should an application owner be able 
to show sufficient grounds that a use case not specified in paragraphs 
(b)(3)(i) through (b)(3)(x) of this section is required by law, then 
that use case may continue to use the SSN. Any application that seeks 
to use this clause as justification must provide specific documentation 
in order to continue use under this provision.
    (c) Documenting authorized uses. (1) Any system, process, or form 
that collects, transfers, or retains PII must properly document the 
authority for that use. This includes, but is not limited to, 
justification for the collection, retention, or use of the SSN. It is 
unacceptable to collect, retain, or transfer PII without such 
justification. The authorization for use of PII is governed through 32 
CFR part 310. In addition to the documentation required for the use of 
PII, the use of the SSN as part of any collection, transfer, or 
retention must be specifically documented and justified. This 
documentation shall include justification per paragraph (b)(3) of this 
section as well as any specific legislative requirements for use of the 
SSN. The method by which this is documented shall be consistent with 
existing program requirements. Forms, processes, or systems, to include 
any locally created applications, must be properly documented. 
Additionally, if the SSN (or other personal identifier) is used to 
retrieve information, a Privacy Act system of record notice must exist 
or be established prior to its use per 32 CFR part 310. The Defense 
Privacy Office will work with the DoD Component privacy official to 
develop the notice and forward for publication in the Federal Register. 
Individuals who choose to use PII without proper documentation may be 
in violation of section 552a of title 5, Unites States Code and may be 
held accountable to the stated consequences.
    (2) Forms used to collect PII shall be coordinated with the DoD 
Component's Privacy Act officer. The DD Form 67, ``Forms Processing 
Action Request,'' \3\ submitted by the DoD Component to create or 
revise a form, shall provide the name, initials, office symbol, and 
telephone number of the coordinating DoD Component Privacy Act officer 
and the system of records number entered. Copies of the justification 
to collect PII and systems of records notice are included with the DD 
Form 67.
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    \3\ Available at http://www.dtic.mil/whs/directives/infomgt/forms/eforms/dd0067.pdf.
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    (3) Documentation for this justification shall be retained and 
available upon request.
    (d) Alternatives. One of the primary reasons that many systems, 
processes, and forms shifted to use of the SSN is that it provided 
greater efficiency and required individuals to remember a single 
identifier. To counteract the vulnerability that this expanded use of 
the SSN created, alternatives to the SSN shall be used whenever 
possible. The following list is not meant to be definitive. For 
assistance in situations which are not specified, contact the Defense 
Manpower Data Center (acossntigerteam@osd.pentagon.mil). Alternatives 
include:
    (1) Electronic Data Interchange--Personal Identifier (EDI-PI).
    (i) The EDI-PI is a unique system identifier that is used for 
machine-to-machine transactions by DoD. In the Defense Enrollment 
Eligibility Reporting System, the central repository for DoD personnel 
data, the EDI-PI is used as the primary identifier for all individuals. 
It is not a number that is known to the individuals, and it is never 
intended that the EDI-PI be used outside of machine-to-machine 
transactions.
    (ii) The EDI-PI is the personal unique identifier used as part of 
the Cardholder Unique Identifier, which is part of the Homeland 
Security Presidential Directive-12 \4\ solution for DoD. As such, it 
may be used as an identifier when the CAC is used to electronically 
authenticate an individual. A greater shift to electronic 
authentication would reduce the use of the SSN and provide greater 
security for transactions.
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    \4\ Available at http://www.whitehouse.gov/news/releases/2004/08/20040827-8.html.
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    (2) System-specific identifiers. In use cases that are linked to a 
limited number of other applications, the best opportunity may be to 
create a unique identifier for those uses. In particular, for 
situations in which members of the public are required to gain access, 
particularly on a temporary basis, this may solve many privacy 
concerns.
    (3) Net-centric environment. A growing number of systems and 
processes are relying on authentication of individuals with a minimum 
of collection and storage of PII. These systems and processes rely on 
an authoritative data source as the storage of this PII, and access to 
that information is granted on an ``as needed'' basis.
    (4) Elimination of identifier. Many instances where the SSN is 
collected or used may be able to be eliminated. The

[[Page 9552]]

technology associated with newer applications is such that it is 
possible to specifically identify individuals through other pieces of 
information, negating the need for a unique identifier. This is 
particularly true of applications that are finite in scope and do not 
interoperate with other applications.
    (5) Biometrics. Biometrics is an enabling tool that can be used as 
part of a multi-factor authentication process. As an authentication 
factor, biometrics leverages ``something one is'' (as opposed to 
``something one has'' (e.g., a CAC with PKI certificates) and 
``something one knows'' (e.g., a PIN)), and it cannot be shared or 
easily compromised. While biometrics first requires an initial 
enrollment and thus cannot perform the role of initial identification, 
it can be used for continuing authentication in circumstances other 
than network access. (See http://www.biometrics.dod.mil/for more 
information.)
    (6) Situational elimination/protection. As previously stated, 
authority to collect, maintain, or use the SSN does not constitute 
blanket approval to use the SSN throughout the business process. Every 
report, display, printout, and transaction shall be reviewed to 
determine the requirement for the use of the SSN. If there is not a 
requirement for the SSN at that point, an alternative shall be found or 
the use should be eliminated. If where there is a requirement, 
determine whether the use can be further protected through truncation 
or masking.
    (e) Training. It is vital to DoD that the collection, retention, 
storage, use, and disposal of PII be handled appropriately and only by 
individuals who are qualified to do so. To ensure that all personnel 
are so trained, 32 CFR part 310 requires that, prior to operating 
systems that contain or use PII, individuals be trained on appropriate 
handling. In addition to this use-specific training, 32 CFR part 310 
requires DoD Components and subordinate organizations to have training 
programs that promote strong precautions and heightened awareness for 
the handling of PII. Properly completing and documenting this training 
is essential to reducing the chance of loss or breach of PII and the 
consequences thereof.


Sec.  157.7  DoD SSN reduction in forms and systems.

    (a) DoD Forms--(1) Use of SSN in DoD forms--(i) New forms--(A) 
Action Officer requirements. (1) Provide justification for using SSNs. 
(See Sec.  157.6(b) for acceptable uses.)
    (2) If justified, indicate if the SSN can be truncated or masked.
    (3) Relate the form to a system of records, PIA, and the DoD 
Information Technology Portfolio Repository (DITPR) ID number, as 
applicable.
    (B) Signing SSN justifications. Senior Executive Service (SES) 
grade official or a general flag officer or equivalent signature is 
required (see Sec.  157.8(c) of this part).
    (C) Requirement for reviewing SSN justifications.
    (1) For DD and SD forms, the justifications shall be reviewed by 
the DoD Forms Management Officer, who shall consult with the DPO.
    (2) For DoD Component forms, the justifications shall be reviewed 
by the Component Forms Management Officer, who shall consult with the 
DoD Component privacy officials.
    (3) For command and installation forms, the justifications shall be 
reviewed at least one administrative level above the senior signing 
official.
    (ii) Existing forms.
    (A) One-time review of SSN use and justification.
    (1) The DoD Forms Management Officer shall conduct a review of all 
DD and SD forms to ensure compliance with the guidance in Sec.  157.6 
of this part.
    (2) The DoD Component Forms Management Officers shall conduct 
reviews of all Component forms to ensure compliance with the guidance 
in Sec.  157.6 of this part.
    (3) For command and installation forms, the appropriate forms 
management officers shall conduct reviews to ensure compliance with the 
guidance in Sec.  157.6 of this part.
    (4) Where a justification for SSN use is rejected, the action 
officer will prepare a plan, to include milestones and a timeline, for 
the elimination of SSN usage (see Sec.  157.8(d) of this part). The 
final date for SSN elimination will be provided to the DoD Forms 
Management Officer.
    (B) Periodic review of SSN use and justification. SSN use and 
justification review shall be an added feature of the current periodic 
review process for all forms. This periodic review should be no less 
frequent than the Biennial Privacy Act System of Records Review.
    (2) Reporting results--(i) New forms. (A) For DD and SD forms, the 
DoD Forms Management Officer shall maintain a database to produce an 
annual report as of July 1. This report shall be an input into the 
Privacy section of the annual FISMA Report as required by subchapter 
III, chapter 35 of title 44, United States Code. The annual report 
shall contain the following elements:
    (1) Number of forms reviewed.
    (2) Number of forms requesting SSNs.
    (3) Number of SSN justifications accepted and rejected.
    (4) Identify forms where SSNs were not allowed.
    (5) Identify forms where SSN was masked or truncated.
    (B) For DoD Component forms, the Components' forms management 
officers shall maintain a similar database as the DoD Forms Management 
Officer and produce the same report for their Components every July 1 
for inclusion into the Privacy section of the annual FISMA Report.
    (C) For command and installation forms, no database shall be 
required with the exception of annual reporting on July 1 on success 
stories for forms where SSNs were requested but rejected. In the case 
where a DoD Component maintains command and installation data, it can 
also be reported in its annual report.
    (ii) Existing forms. (A) For DD and SD forms, the DoD Forms 
Management Officer shall report the results of both the one-time 
initial review of existing forms and the periodic reviews for input 
into the FISMA Report. This report shall include the following 
elements:
    (1) Total number of forms in the database.
    (2) Number of forms reviewed.
    (3) Number of forms containing SSNs.
    (4) Number of forms where justifications were questioned.
    (5) Number of SSN justifications accepted and rejected.
    (6) Identify forms where SSNs were not allowed.
    (7) Identify forms where SSN was masked or truncated.
    (B) The DoD Component forms management officers shall provide the 
same information as the DoD Forms Management Officer for their 
Components as input into the FISMA Report.
    (C) At the command and installation levels no reports are required, 
with the exception of specific examples where SSNs were eliminated or 
better masked, unless the DoD Component collects data at this level.
    (3) Schedule. Annually, on July 1, produce all data and reports 
related to new and existing forms at all levels.
    (b) DoD Systems--(1) DITPR. (i) The DITPR is a key tool in the plan 
to reduce SSN use in DoD systems.
    (ii) All data elements in the DITPR relating to SSNs are mandatory 
data fields and shall be completely filled out by all DoD Components.
    (iii) All automated systems containing SSNs shall be included in 
the DITPR according to the Chief Information

[[Page 9553]]

Officer/Network and Information Integration (CIO/NII) DoD IT Portfolio 
Repository and DoD Secret Internet Protocol Router Network (SIPRNET) IT 
Registry Guidance, 2007-2008 \5\.
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    \5\ Copies of this document are may be obtained by contacting 
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    (iv) Two new fields were added in October 2007:
    (A) Does this system (or initiative) contain SSNs (full or 
truncated) or use SSNs in the system?
    (B) What is the justification for using SSNs? (This field should be 
consistent with the categories of acceptable use of SSNs in Sec.  
157.6(b) of this part and specific legislative requirements.)
    (2) SSNs in Systems Report review process. The initial SSNs in 
Systems Report, prepared by the DPO using the process detailed in 
paragraphs (b)(2)(i) through (b)(2)(iii)(E) of this section, shall be 
due with DoD Privacy FISMA reporting requirements. Thereafter, DPO 
shall submit a report annually for input into the Privacy section of 
the annual FISMA Report, as part of the Biennial Privacy Act System of 
Records Review. Since this review is on a biennial review schedule, the 
DPO shall produce a biennial schedule for the system reviews. The 
review and reporting process is as follows:
    (i) Systems senior official (general flag officer or SES 
equivalent) signs off on SSN justification (see Sec.  157.8(c) of this 
part).
    (ii) DPO reviews SSN justifications as an extension of the Biennial 
Privacy Act System of Records Notices Review. Where a justification for 
SSN use is rejected, the action officer will prepare a plan, to include 
milestones and a timeline, for the elimination of SSN usage (see Sec.  
157.8(d) of this part). The final date for SSN elimination will be 
provided by the DoD Component Privacy Officials to the DPO.
    (iii) DPO prepares its annual report according to the annual FISMA 
schedule. This report shall include the following elements and include 
any new elements as required:
    (A) Total number of IT systems in DITPR.
    (B) Total number of IT systems with SSNs.
    (C) Total number of IT systems with SSNs reviewed.
    (D) Total number of IT systems with SSNs approved and disapproved.
    (E) Identification of IT systems disapproved.
    (c) IG review. (1) The IG, DoD and the Service audit agencies are 
requested to review the implementation of the DoD SSN Reduction Plan at 
key milestones as reflected in this document. The new internal controls 
established in the DoD SSN Reduction Plan may be considered for review 
as ``Command Interest Items.''
    (2) For DoD systems, the following issues are requested to be 
reviewed:
    (i) Are all IT systems with SSNs being registered in DITPR?
    (ii) Are there SSN justifications for systems in DITPR?
    (iii) Are there senior reviews of SSN justifications?
    (iv) Have the actual reported results been accurate?
    (v) Are Privacy Act system of records reviews conducted quarterly 
to comply with the Biennial Privacy Act System of Records Notices 
Review?
    (3) For DoD forms, the following issues are requested to be 
reviewed:
    (i) Has every organizational level followed the procedures required 
in the SSN Reduction Plan?
    (ii) Are there SSN justifications for forms?
    (iii) Are there senior reviews of SSN justifications?
    (iv) Have the actual reported results been accurate?


Sec.  157.8  Approval for use of the SSN.

    (a) Acceptable uses. (1) The general list of acceptable uses of the 
SSN is listed in Sec.  157.6(b) of this part as well as specific 
legislative requirements.
    (2) A guide to laws requiring the use of the SSN can be found on 
the DoD Privacy Office Web site (http://www.defenselink.mil/privacy/). 
This list is merely a guide and may not cover every law.
    (3) Another place to locate legal authority that may provide 
acceptable justification for the use of the SSN may be found in the 
appropriate System of Records Notice or PIA.
    (b) Documentation--(1) DITPR. (i) The DITPR requires all DoD 
information systems to state whether or not the system collects SSNs.
    (ii) Acceptable justification shall be annotated in the appropriate 
DITPR field.
    (iii) In cases where the justification is ``Other Uses,'' 
appropriate explanation of the supporting legal authority and the 
particular use case shall be entered into the Comment field.
    (iv) Where continued use of the SSN is rejected by the DPO, a plan 
will be developed for the removal of the SSN and shall be maintained by 
the action officer.
    (2) Forms. (i) Requesting the use of SSNs will be part of the forms 
approval process, including the use of DD Form 67.
    (ii) Requesting the use of SSNs shall include supporting 
documentation described in paragraph (a) of this section.
    (iii) Reviewing of all forms shall be completed in accordance with 
DoD Instruction 7750.07 \6\.
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    \6\ Available at http://www.dtic.mil/whs/directives/corres/pdf/775007p.pdf.
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    (c) SES or General Flag Officer concurrence. (1) Senior official 
concurrence for the use of the SSN shall be documented in a Memorandum 
for the Record (MFR). (See Appendix A to this part.)
    (2) The MFR shall include the following information:
    (i) Name of the DoD information system or name and number of the 
form which will collect, use, maintain, and or disclose the SSN.
    (ii) Specific use case which grants authority for use of the SSN.
    (iii) Citation of statutory requirement for the use of the SSN.
    (iv) Appropriate system or form supporting documentation, i.e., 
System of Records Notice or Certification and Accreditation
    (v) Security precautions to be taken to reduce exposure of SSN.
    (vi) If continued use of the SSN is not justified by legislative 
requirement, a plan to eliminate the use of the SSN as described in 
paragraph (d) of this section.
    (3) In cases where the justification for the use of SSNs is 
operational necessity, approval must be from the Combatant Commander. 
Because this use case is intended for tactical situations, the approval 
does not need to be documented with an official memorandum. The format 
of the approval should be consistent with mechanism available and 
documented as applicable.
    (d) Plan to eliminate use of the SSN. (1) Any use of the SSN that 
cannot be justified through appropriate legal authorities must be 
eliminated.
    (2) Elimination of the use of SSN should be completed consistent 
with the existing life cycle to reduce impact on operations and 
decrease overall cost.
    (3) The plan to eliminate the use of the SSN shall include the 
following information.
    (i) Alternative being used to replace function for which SSNs have 
been used.
    (ii) Associated forms and systems which will be affected by 
elimination of SSN.
    (iii) Mitigation strategy to reduce or eliminate affects of removal 
of SSN in conjunction with associated forms or systems.
    (iv) Timeline, with milestones, for removal of the SSN.
    (v) Where elimination is not to occur immediately, include interim 
measures to provide additional protection of SSN.

[[Page 9554]]

    (vi) Where elimination is dependent on changes to other systems 
and/or forms, include efforts made to work with owners of those systems 
and/or forms to collaborate and eliminate the use of SSNs.
    (4) An example of an Elimination Plan can be seen in Appendix B to 
this part.


Sec.  157.9  Reporting requirements.

    The FISMA Report has been assigned Report Control Symbol (RCS) DD-
NII (Q,A) 2296. The Privacy Act Program reporting requirements have 
been assigned RCS DD-DA&M(AR) 1379. These reporting requirements have 
been approved and assigned a RCS number in accordance with DoD 8910.1-
M.\7\
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    \7\ Available at http://www.dtic.mil/whs/directives/corres/pdf/891001m.pdf.
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BILLING CODE 5001-06-P

[[Page 9555]]

Appendix A to Part 157--Sample SSN Justification Memorandum
[GRAPHIC] [TIFF OMITTED] TP03MR10.000


[[Page 9556]]



Appendix B to Part 157--Sample SSN Elimination Plan
[GRAPHIC] [TIFF OMITTED] TP03MR10.001


    Dated: February 23, 2010.
Patricia L. Toppings,
OSD Federal Register Liaison Officer, Department of Defense.

[FR Doc. 2010-4290 Filed 3-2-10; 8:45 am]
BILLING CODE 5001-06-C
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