42132 Federal Register / Vol. 76, No. 137 / Monday, July 18, 2011 / Notices 

OMB Number: 1610–0001. 

Frequency: Annually. 

Affected Public: Federal Government. 

Number of Respondents: 1200. 

Estimated Time per Respondent: 0.5 

hours (30 minutes). 

Total Burden Hours: 600 hours. 

Total Burden Cost (capital/startup): 

$0.00. 

Total Burden Cost (operating/ 

maintaining): $30,246.00. 

Richard Spires, 

Chief Information Officer. 

[FR Doc. 2011–17936 Filed 7–15–11; 8:45 am] 

BILLING CODE 9110–9B–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Office of the Secretary 

Agency Information Collection 

Activities: Minimum Standards for 

Driver’s Licenses and Identification 

Cards Acceptable by Federal Agencies 

for Official Purposes 

AGENCY: Department of Homeland 

Security. 

ACTION: 60-Day Notice and request for 

comments; Revision of a currently 

approved collection. 

SUMMARY: The Department of Homeland 

Security, Office of the Secretary, will 

submit the following Information 

Collection Request (ICR) to the Office of 

Management and Budget (OMB) for 

review and clearance in accordance 

with the Paperwork Reduction Act of 

1995 (Pub. L. 104–13, 44 U.S.C. Chapter 

35). 

DATES: Comments are encouraged and 

will be accepted until September 16, 

2011. This process is conducted in 

accordance with 5 CFR 1320.1. 

ADDRESSES: Written comments and 

questions about this Information 

Collection Request should be forwarded 

to Office of the Secretary, DHS Attn.: 

Steve Kozar Steven.Kozar@hq.dhs.gov, 

(202) 447–3368. 

SUPPLEMENTARY INFORMATION: The REAL 

ID Act of 2005 (the Act) prohibits 

Federal agencies from accepting stateissued drivers’ licenses or identification 

cards for any official purpose—defined 

by the Act and regulations as boarding 

commercial aircraft, accessing Federal 

facilities, or entering nuclear power 

plants—unless the license or card is 

issued by a state that meets the 

requirements set forth in the Act. Title 

II of Division B of Public Law 109–13, 

codified at 49 U.S.C. 30301 note. The 

REAL ID regulations, which DHS issued 

in January 2008, establish the minimum 

standards that states must meet to 

comply with the Act. See 73 FR 5272, 

also 6 CFR part 37 (Jan. 29, 2008). These 

include requirements for presentation 

and verification of documents to 

establish identity and lawful status, 

standards for document issuance and 

security, and physical security 

requirements for driver’s license 

production facilities. For a state to 

achieve full compliance, the Department 

of Homeland Security (DHS) must make 

a final determination on or before 

January 15, 2013, that the state has met 

the requirements contained in the 

regulations and is compliant with the 

Act. The regulations include new 

information reporting and record 

keeping requirements for states seeking 

a full compliance determination by 

DHS. As discussed in more detail 

below, states seeking DHS’s full 

compliance determination must certify 

that they are meeting certain standards 

in the issuance of driver’s licenses and 

identification cards and submit security 

plans covering physical security of 

document production and storage 

facilities as well as security of 

personally identifiable information. 6 

CFR 37.55(a). States also must conduct 

background checks and training for 

employees involved in the document 

production and issuance processes and 

retain and store applicant photographs 

and other source documents. 6 CFR 

37.31 and 37.45. States must recertify 

compliance with REAL ID every three 

years on a rolling basis as determined by 

the Secretary of Homeland Security. 6 

CFR 37.55. 

Certification Process Generally— 

Section 202(a)(2) of the REAL ID Act 

requires the Secretary to determine 

whether a state is meeting its 

requirements, ‘‘based on certifications 

made by the State to the Secretary.’’ To 

assist DHS in making a final compliance 

determination, 37.55 of the rule requires 

the submission of the following 

materials: 

(1) A certification by the highest level 

Executive official in the state overseeing 

the DMV that the state has implemented 

a program for issuing driver’s licenses 

and identification cards in compliance 

with the REAL ID Act. 

(2) A letter from the Attorney General 

of the state confirming the state has the 

legal authority to impose requirements 

necessary to meet the standards. 

(3) A description of a state’s 

exceptions process to accept alternate 

documents to establish identity and 

lawful status and wavier process used 

when conducting background checks for 

individuals involved in the document 

production process. 

(4) The state’s security plan. 

Additionally, after a final compliance 

determination by DHS, states must 

recertify compliance every three years 

on a rolling basis as determined by DHS. 

6 CFR 37.55(b). 

State REAL ID programs will be 

subject to DHS review to determine 

whether the state meets the 

requirements for compliance. States 

must cooperate with DHS’s compliance 

review and provide any reasonable 

information requested by DHS relevant 

to determining compliance. Under the 

rule, DHS may inspect sites associated 

with the enrollment of applicants and 

the production, manufacture, 

personalization, and issuance of driver’s 

licenses or identification cards. DHS 

also may conduct interviews of 

employees and contractors involved in 

the document issuance, verification, and 

production processes. 6 CFR 37.59(a). 

Following a review of a state’s 

certification package, DHS may make a 

preliminary determination that the State 

needs to take corrective actions to 

achieve full compliance. In such cases, 

a state may have to respond to DHS and 

explain the actions it took or plans to 

take to correct any deficiencies cited in 

the preliminary determination or 

alternatively, detail why the DHS 

preliminary determination is incorrect. 

6 CFR 37.59(b). 

Security plans—In order for states to 

be in compliance with the Act, they 

must ensure the security of production 

facilities and materials and conduct 

background checks and fraudulent 

document training for employees 

involved in document issuance and 

production. REAL ID Act section 

202(d)(7)–(9). The Act also requires 

compliant licenses and identification 

cards to include features to prevent 

tampering, counterfeiting, or 

duplication. REAL ID Act section 

202(b). To document compliance with 

these requirements the regulations 

require states to prepare a security plan 

and submit it as part of their 

certification package. 6 CFR 37.41. At a 

minimum, the security plan must 

address steps the state is taking to 

ensure: 

• The physical security of production 

materials and storage and production 

facilities; 

• Security of personally identifiable 

information maintained at DMVs 

including a privacy policy and 

standards and procedures for document 

retention and destruction; 

• Document security features 

including a description of the use of 

biometrics and the technical standards 

used; 

• Facility access control including 

credentialing and background checks; 


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Federal Register / Vol. 76, No. 137 / Monday, July 18, 2011 / Notices 42133 

• Fraudulent document and security 

awareness training; 

• Emergency response; 

• Internal audit controls; and 

• An affirmation that the state 

possesses the authority and means to 

protect the confidentiality of REAL ID 

documents issued in support of criminal 

justice agencies or similar programs. 

The security plan also must include a 

report on card security and integrity. 

Background checks and waiver 

process—Within its security plans, the 

rule requires states to outline their 

approach to conducting background 

checks of certain DMV employees 

involved in the card production process. 

6 CFR 37.45. Specifically, states are 

required to perform background checks 

on persons who are involved in the 

manufacture or production of REAL ID 

driver’s licenses and identification 

cards, as well as on individuals who 

have the ability to affect the identity 

information that appears on the driver’s 

license or identification card and on 

current employees who will be assigned 

to such positions. The background 

check must include a name-based and 

fingerprint-based criminal history 

records check, an employment 

eligibility check, and for newer 

employees a prior employment 

reference check. The regulation permits 

a state to establish procedures to allow 

for a waiver for certain background 

check requirements in cases, for 

example, where the employee has been 

arrested, but no final disposition of the 

matter has been reached. 

Exceptions process—Under the rule, a 

state DMV may choose to establish 

written, defined exceptions process for 

persons who, for reasons beyond their 

control, are unable to present all 

necessary documents and must rely on 

alternate documents to establish 

identity, date of birth, or SSN (including 

not having an SSN). 6 CFR 37.11(h). 

Alternative documents to demonstrate 

lawful status will only be allowed to 

demonstrate U.S. citizenship. The state 

must retain copies or images of the 

alternate documents accepted under the 

exceptions process and submit a report 

with a copy of the exceptions process as 

part of its certification package. 

Recordkeeping—The rule requires 

states to maintain photographs of 

applicants and records of certain source 

documents. Paper or microfiche copies 

of these documents must be retained for 

a minimum of seven years. Digital 

images of these documents must be 

retained for a minimum of ten years. 6 

CFR 37.31. 

The collection of the information will 

support the information needs of DHS 

in its efforts to determine state 

compliance with requirements for 

issuing REAL ID driver’s licenses and 

identification cards. States may submit 

the required documents in any format 

that they choose. DHS has not defined 

specific format submission requirements 

for states. DHS will use all of the 

submitted documentation to evaluate 

State progress in implementing the 

requirements of the REAL ID final rule. 

DHS has used information provided 

under the current collection to grant 

extensions and track state progress. 

Submission of the security plan helps 

to ensure the integrity of the license and 

identification card issuance and 

production process and outlines the 

measures taken to protect personal 

information collected, maintained, and 

used by state DMVs. Additionally, the 

collection will assist other Federal and 

state agencies conducting or assisting 

with necessary background and 

immigration checks for certain 

employees. The purpose of the namebased and fingerprint based CHRC 

requirement is to ensure the suitability 

and trustworthiness of individuals who 

have the ability to affect the identity 

information that appears on the license; 

have access to the production process; 

or who are involved in the manufacture 

or issuance of the licenses and 

identification cards. 

In compliance with GPEA, states will 

be permitted to submit the required 

information for their security plans, 

certification packages, and written 

exceptions processes electronically. 

States will be permitted to submit 

electronic signatures but must keep the 

original signature on file. Additionally, 

because they contain sensitive security 

information (SSI), the security plans 

must be handled and protected in 

accordance with 49 CFR Part 1520. 6 

CFR 37.41(c). The final rule does not 

dictate how States must submit their 

employees’ fingerprints to the FBI for 

background checks; however it is 

assumed States will do so via electronic 

means or another means determined by 

the FBI. 

This is a revision to the original REAL 

ID information request that covered 

submissions of material compliance 

checklists and requests for extensions to 

meet the requirements of the regulation. 

This collection is being revised to cover 

the collection of information required 

under the regulation for full 

compliance, including recordkeeping 

requirements and employee background 

checks, and to include information to 

assist DHS in making full compliance 

determinations. States seeking 

certification of full compliance with the 

REAL ID Act must follow the 

certification requirements described in 

37.55 of the regulation and referenced in 

the response to question one of this 

supporting statement. There are no new 

or additional costs associated with this 

revised information collection. All costs 

were included in the REAL ID final rule 

that was published in January 2008. 

There has been an increase in annual 

burden hours associated with this 

collection. This increase in burden is a 

result of the collection of information 

required for full compliance. The 

number of respondents also has 

increased from 51 to 56, as the 

previously approved collection did not 

include the five U.S. Territories (Puerto 

Rico, the Commonwealth of the 

Northern Mariana Islands, Guam, the 

Virgin Islands, and American Samoa). 

The Office of Management and Budget 

is particularly interested in comments 

which: 

1. Evaluate whether the proposed 

collection of information is necessary 

for the proper performance of the 

functions of the agency, including 

whether the information will have 

practical utility; 

2. Evaluate the accuracy of the 

agency’s estimate of the burden of the 

proposed collection of information, 

including the validity of the 

methodology and assumptions used; 

3. Enhance the quality, utility, and 

clarity of the information to be 

collected; and 

4. Minimize the burden of the 

collection of information on those who 

are to respond, including through the 

use of appropriate automated, 

electronic, mechanical, or other 

technological collection techniques or 

other forms of information technology, 

e.g., permitting electronic submissions 

of responses. 

Analysis 

Agency: Office of the Secretary, DHS. 

Title: REAL ID: Minimum Standards 

for Driver’s Licenses and Identification 

Cards Acceptable by Federal Agencies. 

OMB Number: 1601–0005. 

Frequency: Once. 

Affected Public: State, Local, and 

Tribal Governments. 

Number of Respondents: 56. 

Estimated Time per Respondent: 

1,098 hours. 

Total Burden Hours: 443,606. 

Richard Spires, 

Chief Information Officer. 

[FR Doc. 2011–17935 Filed 7–15–11; 8:45 am] 

BILLING CODE 9110–9B–P 


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