9548 Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 

an inmate to accumulate vacation credit 

when: 

(1) The inmate is transferred to 

another institution for the benefit of the 

government or because of the inmate’s 

favorable adjustment (custody 

reduction); or 

(2) The inmate is placed in a new 

work assignment in the institution for 

the benefit of the government or 

institution, rather than solely at the 

inmate’s request or because of the 

inmate’s poor performance or adverse 

behavior. 

§ 545.28 Achievement awards. 

Inmates may receive achievement 

awards in the following manner: 

(a) Education program completion. 

With prior approval of the Education 

Department, each inmate who 

completes the Literacy program, 

Vocational Training, or related trades 

classroom work that is part of a certified 

apprenticeship program may be granted 

an achievement award from 

performance pay funds. 

(b) Drug treatment satisfactory 

progress/completion. With prior 

approval of the Psychology Services 

Department, each inmate who is making 

satisfactory progress or completes a 

residential drug treatment program may 

also be granted an achievement award 

from performance pay funds. 

§ 545.29 Special awards. 

Inmates who perform exceptional 

services not ordinarily a part of the 

inmate’s regular assignment may be 

granted a special award regardless of the 

inmate’s work or program status. The 

special award may be in the form of a 

monetary payment in addition to any 

other award (e.g., extra good time) 

given. 

§ 545.30 Funds due deceased inmates. 

If performance pay is due to a 

deceased inmate for work performed 

and not yet paid, the Bureau will make 

the payment to a legal representative of 

the inmate’s estate or in accordance 

with the laws of descent and 

distribution of the state of domicile 

(most recent legal residence). 

[FR Doc. 2010–3902 Filed 3–2–10; 8:45 am] 

BILLING CODE 4410–05–P 

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. 

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. 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 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. 

§ 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. 

§ 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. 

§ 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-totechnology 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. 

§ 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 § 157.6(b) of this part. 

(e) Specific reviews of forms and 

systems will be conducted to reduce 

SSN use. Follow guidance in § 157.7 

and § 157.8 of this part. 

§ 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. 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
9550 Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 

1Available at http://www.idtheft.gov/reports/ 

strategicplan.pdf. 

2Available at http://www.whitehouse.gov/omb/ 

memoranda/fy2007/m07-16.pdf. 

(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 

§ 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 § 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 § 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 § 157.7(c) of this part. 

§ 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 widespread 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). 

(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 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 9551 

3Available at http://www.dtic.mil/whs/directives/ 

infomgt/forms/eforms/dd0067.pdf. 

4Available at http://www.whitehouse.gov/news/ 

releases/2004/08/20040827-8.html. 

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. 

(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-tomachine 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. 

(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 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
9552 Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 

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. 

§ 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 

§ 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 § 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 § 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 

§ 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 § 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 § 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 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 9553 

5Copies of this document are may be obtained by 

contacting DoD CIO (IT Policy) at 703–601–4729. 

6Available at http://www.dtic.mil/whs/directives/ 

corres/pdf/775007p.pdf. 

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. 

(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 § 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 § 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 § 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? 

§ 157.8 Approval for use of the SSN. 

(a) Acceptable uses. (1) The general 

list of acceptable uses of the SSN is 

listed in § 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. 

(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. 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
9554 Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 

7Available at http://www.dtic.mil/whs/directives/ 

corres/pdf/891001m.pdf. 

(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. 

§ 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

BILLING CODE 5001–06–P 


erowe on DSK5CLS3C1PROD with PROPOSALS-1
Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 9555 

Appendix A to Part 157—Sample SSN 

Justification Memorandum 


erowe on DSK5CLS3C1PROD with PROPOSALS-1EP03MR10.000</GPH>
9556 Federal Register / Vol. 75, No. 41 / Wednesday, March 3, 2010 / Proposed Rules 

Appendix B to Part 157—Sample SSN 

Elimination Plan 

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 


erowe on DSK5CLS3C1PROD with PROPOSALS-1EP03MR10.001</GPH>