[Federal Register Volume 74, Number 11 (Friday, January 16, 2009)]
[Notices]
[Pages 3084-3088]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-924]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0120]


Privacy Act of 1974; Department of Homeland Security--023 
Personnel Security Management System of Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 and as part of the 
Department of Homeland Security's ongoing effort to review and update 
system of records notices, the Department of Homeland Security proposes 
to consolidate into a new Department of Homeland Security system of 
records notice titled, Personnel Security Management System of Records: 
Treasury/CS.270 Background-Record File of Non-Customs Employees, 
Treasury/CS.284 Personnel Verification System, and DOT/CG 611 
Investigative Case System, and partially consolidate DHS/OS-001 Office 
of Security File System and FEMA/SEC-1 Security Support System. 
Categories of individuals, categories of records, and the routine uses 
of these legacy systems have been reviewed and updated to better 
reflect the Department's personnel security management record system. 
Additionally, the Department of Homeland Security is issuing a Notice 
of Proposed Rulemaking concurrent with this system of records elsewhere 
in the Federal Register. The activities performed by the Department's 
Personnel Security program often overlap with other security-related 
activities such as access control and investigatory records. 
Accordingly, data within each of the categories of individuals, 
categories of records, and routine uses may have similarities with 
other security-related systems of records, but each system is distinct 
based on its purpose. This consolidated system will be included in the 
Department of Homeland Security's inventory of record systems.

DATES: Written comments must be submitted on or before February 17, 
2009. This new system will be effective February 17, 2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0120 by one of the following methods:
    <bullet> Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> Fax: 703-483-2999.
    <bullet> Mail: Hugo Teufel III, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
    <bullet> Instructions: All submissions received must include the 
agency name and docket number for this rulemaking. All comments 
received will be posted without change and may be read at http://www.regulations.gov, including any personal information provided.
    <bullet> Docket: For access to the docket to read background 
documents or comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions and privacy 
issues

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please contact: Hugo Teufel III (703-235-0780), Chief Privacy Officer, 
Privacy Office, Department of Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION: 

I. Background

    Pursuant to the savings clause in the Homeland Security Act of 
2002, Public Law 107-296, section 1512, 116 Stat. 2310 (November 25, 
2002), the Department of Homeland Security (DHS) and its components and 
offices have relied on preexisting Privacy Act systems of records 
notices for the collection and maintenance of records that pertain to 
personnel security management.
    As part of its efforts to streamline and consolidate its Privacy 
Act record systems, DHS is establishing a new agency-wide system of 
records under the Privacy Act (5 U.S.C. 552a) for DHS personnel 
security management records. The Personnel Security Management system 
of records is the baseline system for personnel security activities, as 
led by the DHS Office of the Chief Security Officer, for the 
Department. This will ensure that all DHS components follow the same 
privacy rules for collecting and handling personnel security management 
records.
    In accordance with the Privacy Act of 1974 and as part of DHS's 
ongoing effort to review and update system of records notices, DHS 
proposes to consolidate into a new DHS system of records notice titled, 
DHS/All--023 Personnel Security Management System of Records: Treasury/
CS.270 Background-Record File of Non-Customs Employees (66 FR 52984 
October 18, 2001), and Treasury/CS.284 Personnel Verification System 
(66 FR 52984 October 18, 2001), and partially consolidate DHS/OS-001 
Office of Security File System (71 FR 53700 September 12, 2006) and 
FEMA/SEC-1 Security Support System (55 FR 37182 September 7, 1990). 
Categories of individuals, categories of records, and the routine uses 
of these legacy systems have been reviewed and updated to better 
reflect the Department's personnel security management record system. 
Additionally, the Department of Homeland Security is issuing a Notice 
of Proposed Rulemaking concurrent with this system of records elsewhere 
in the Federal Register. The activities performed by the Department's 
Personnel Security program often overlap with other security-related 
activities such as access control and investigatory records. 
Accordingly, data within each of the categories of individuals, 
categories of records, and routine uses may have similarities with 
other security-related systems of records, but each system is distinct 
based on its purpose.
    The purpose of this system is to maintain processing records of 
personnel security-related clearance actions; to record suitability 
determinations; security clearances issued or denied; and to verify 
eligibility for access to classified information or assignment to a 
sensitive position. Also, records may be used by the Department for 
adverse personnel actions such as removal from sensitive duties, 
removal from employment, and denial to a restricted or sensitive area, 
and revocation of security clearance. The system also assists in 
capturing background investigations and adjudications; directing the 
clearance process for granting, suspending, revoking and denying access 
to classified information; managing state, local and private sector 
clearance programs and contractor suitability programs; determining 
eligibility for unescorted access to DHS facilities or information 
technology systems; and other activities relating to personnel security 
management responsibilities at DHS.
    The Office of the Chief Security Officer is currently implementing 
a new web-based personnel and information security application, 
Integrated Security Management System (ISMS). ISMS will replace the 
existing case management system currently in use for Customs and Border 
Protection, Federal Law Enforcement Training Center, Immigration and 
Customs Enforcement, and Federal Emergency Management Agency.
    Further, this system of records is separate from DHS-OS-2006-047 
Personal Identity Verification Management System (71 FR 53697 September 
12, 2006), which supports the administration of the HSPD-12 program 
that directs the use of a common identification credential for both 
logical and physical access to federally controlled facilities and 
information systems while enhancing security, increasing efficiency, 
reducing identify fraud, and protecting personal privacy. This 
consolidated system will be included in DHS's inventory of record 
systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses and disseminates individual's records. The 
Privacy Act applies to information that is maintained in a ``system of 
records.'' A ``system of records'' is a group of any records under the 
control of an agency from which information is stored and retrieved by 
the name of the individual or by some identifying number such as 
property address, mailing address, or symbol assigned to the 
individual. In the Privacy Act, an individual is defined to encompass 
United States citizens and lawful permanent residents. DHS extends 
administrative Privacy Act protections to all individuals where 
information is maintained on both U.S. citizens, lawful permanent 
residents, and visitors. Individuals may request their own records that 
are maintained in a system of records in the possession or under the 
control of DHS by complying with DHS Privacy Act regulations, 6 CFR 
part 5.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, and the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses of 
their records, and to assist individuals to more easily find such files 
within the agency. Below is a description of the Personnel Security 
Management System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this new system of records to the Office of Management and Budget (OMB) 
and to Congress.

SYSTEM OF RECORDS:
    DHS/ALL-023.

SYSTEM NAME:
    Department of Homeland Security--023 Personnel Security Management 
System of Records.

SECURITY CLASSIFICATION:
    Unclassified, sensitive, and classified.

SYSTEM LOCATION:
    Records are maintained at several Headquarters locations and in 
component offices of the Department of Homeland Security, in 
Washington, DC, field locations, and the Department of Treasury, Bureau 
of Public Debt for Office of Inspector General employees and 
applicants. For background investigations adjudicated by the Office of 
Personnel Management (OPM), OPM may retain copies of those files, 
pursuant to their records retention schedules.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include DHS 
covered individuals (e.g., federal employees,

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applicants, excepted service federal employees, contractor employees, 
retired employees, and past employees) providing support to DHS and who 
require unescorted access to DHS-owned facilities, DHS-controlled 
facilities, or commercial facilities operating on behalf of DHS; access 
to DHS information technology (IT) systems and the systems' data; or 
access to national security information including classified 
information.
    Also covered are State and local government personnel and private 
sector individuals who serve on an advisory committee or board 
sponsored by DHS; individuals, including State and local government 
personnel and private-sector individuals, who are authorized by DHS to 
access Departmental facilities, communications security equipment, and 
information technology systems that process sensitive or classified 
national security information.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records include:
    <bullet> Individual's name;
    <bullet> Social security number;
    <bullet> Date and place of birth;
    <bullet> Citizenship;
    <bullet> Access Control Pass or Credential number
    <bullet> Records relating to the management and operation of DHS 
personnel security program, including but not limited to:
     [cir] Completed standard form questionnaires issued by the Office 
of Personnel Management;
     [cir] Originals or copies of background investigative reports;
     [cir] Supporting documentation related to the background 
investigations and adjudications including medical and financial data;
     [cir] Information related to congressional inquiry; and
     [cir] Other information relating to an individual's eligibility 
for access to classified or sensitive information.
    <bullet> Records relating to management and operation of DHS 
programs to safeguard classified and sensitive but unclassified 
information, including but not limited to:
     [cir] Document control registries;
     [cir] Courier authorization requests;
     [cir] Non-disclosure agreements;
     [cir] Records of security violations;
     [cir] Records of document transmittals; and
     [cir] Requests for secure storage and communications equipment.
    <bullet> Records relating to the management and operation of DHS 
special security programs, including but not limited to:
     [cir] Requests for access to sensitive compartmented information 
(SCI);
     [cir] Contact with foreign officials and foreign travel 
registries; and
     [cir] Briefing/debriefing statements for special programs, 
sensitive positions, and other related information and documents 
required in connection with personnel security clearance 
determinations.
    <bullet> Records relating to the management and operation of the 
DHS security program, including but not limited to:
     [cir] Inquiries relating to suspected security violation(s);
     [cir] Recommended remedial actions for possible security 
violation(s);
     [cir] Reports of investigation regarding security violations;
     [cir] Statements of individuals;
     [cir] Affidavits;
     [cir] Correspondence;
     [cir] Documentation pertaining to investigative or analytical 
efforts by DHS Security program personnel to identify threats to DHS 
personnel, property, facilities, and information; and
     [cir] Intelligence reports and database results relating to DHS 
personnel, applicants, or candidates for DHS employment or access to 
DHS facilities or information

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Executive 
Order (EO) 9397; EO 10450; EO 12968, 5 CFR part 731; 5 CFR part 732; 5 
CFR part 736; 32 CFR part 147; and DCID 6/4.

PURPOSE(S):
    The purpose of this system is to maintain records of processing of 
personnel security-related clearance actions; to record suitability 
determinations; security clearances issued or denied; and to verify 
eligibility for access to classified information or assignment to a 
sensitive position. Also, records may be used by the Department for 
adverse personnel actions such as removal from sensitive duties, 
removal from employment, or denial to a restricted or sensitive area, 
and revocation of security clearance. The system also assists in 
capturing background investigations and adjudications; directing the 
clearance process for granting, suspending, revoking and denying access 
to classified information; managing state, local and private sector 
clearance programs and contractor suitability programs; determining 
eligibility for unescorted access to DHS facilities or information 
technology systems; and other activities relating to personnel security 
management responsibilities at DHS.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records of 
information contained in this system may be disclosed outside DHS as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    A. To the Department of Justice (including United States Attorney 
Offices) or other Federal agency conducting litigation or in 
proceedings before any court, adjudicative or administrative body when 
it is necessary to the litigation and one of the following is a party 
to the litigation or has an interest in such litigation:
    1. DHS or any component thereof;
    2. Any employee of DHS in his/her official capacity;
    3. Any employee of DHS in his/her individual capacity where DOJ or 
DHS has agreed to represent the employee; or
    4. The United States or any agency thereof, is a party to the 
litigation or has an interest in such litigation, and DHS determines 
that the records are both relevant and necessary to the litigation and 
the use of such records is compatible with the purpose for which DHS 
collected the records.
    B. To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
written request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration or other 
Federal government agencies pursuant to records management inspections 
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations as authorized by law, but only 
such information as is necessary and relevant to such audit or 
oversight function.
    E. To appropriate agencies, entities, and persons when:
    1. DHS suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised;
    2. The Department has determined that as a result of the suspected 
or confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by DHS or another agency or entity) or harm to the 
individual who relies upon the compromised information; and

[[Page 3087]]

    3. The disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with DHS's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.
    F. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for DHS, when necessary to 
accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DHS officers and employees.
    G. To an appropriate Federal, State, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations and such disclosure is proper and 
consistent with the official duties of the person making the 
disclosure.
    H. To an appropriate Federal, State, local, tribal, foreign, or 
international agency, if the information is relevant and necessary to a 
requesting agency's decision concerning the hiring or retention of an 
individual, or issuance of a security clearance, license, contract, 
grant, or other benefit, or if the information is relevant and 
necessary to a DHS decision concerning the hiring or retention of an 
employee, the issuance of a security clearance, the reporting of an 
investigation of an employee, the letting of a contract, or the 
issuance of a license, grant or other benefit and disclosure is 
appropriate to the proper performance of the official duties of the 
person making the request.
    I. To an individual's prospective or current employer to the extent 
necessary to determine employment eligibility.
    J. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or pursuant 
to the order of a court of competent jurisdiction in response to a 
subpoena from a court of competent jurisdiction.
    K. To third parties during the course of a law enforcement 
investigation to the extent necessary to obtain information pertinent 
to the investigation, provided disclosure is appropriate to the proper 
performance of the official duties of the officer making the 
disclosure.
    L. To a public or professional licensing organization when such 
information indicates, either by itself or in combination with other 
information, a violation or potential violation of professional 
standards, or reflects on the moral, educational, or professional 
qualifications of an individual who is licensed or who is seeking to 
become licensed.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system are stored electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
are stored on servers, magnetic disc, tape, digital media, and CD-ROM.

RETRIEVABILITY:
    Records may be retrieved by individual's name, date of birth, 
social security number, if applicable or other unique individual 
identifier, e.g., access control pass or credential number.

SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
to minimize risk of compromising the information that is being stored. 
Access to the computer system containing the records in this system is 
limited to those individuals who have a need to know the information 
for the performance of their official duties and who have appropriate 
clearances or permissions.

RETENTION AND DISPOSAL:
    Pursuant to GRS 18, Item 21 through 25, records relating to alleged 
security violations are destroyed two years after completion of final 
action or when no longer needed, whichever is sooner; records relating 
to alleged violations of a sufficient serious nature that are referred 
for prosecutive determinations are destroyed five years after the close 
of the case; personnel security clearance files are destroyed upon 
notification of death or not later than five years after separation or 
transfer of employee or no later than five years after contract 
relationship expires, whichever is applicable.

SYSTEM MANAGER AND ADDRESS:
    For Headquarters components of DHS, the System Manager is the 
Director of Departmental Disclosure, Department of Homeland Security, 
Washington, DC 20528. For components of DHS, the System Manager can be 
found at http://www.dhs.gov/foia under ``contacts.''

NOTIFICATION PROCEDURE:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Headquarters or component's FOIA 
Officer, whose contact information can be found at http://www.dhs.gov/foia under ``contacts.'' If an individual believes more than one 
component maintains Privacy Act records concerning him or her the 
individual may submit the request to the Chief Privacy Officer, 
Department of Homeland Security, 245 Murray Drive, SW., Building 410, 
STOP-0550, Washington, DC 20528.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 6 CFR part 5. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. You must sign your 
request, and your signature must either be notarized or submitted under 
28 U.S.C. 1746, a law that permits statements to be made under penalty 
of perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Director, 
Disclosure and FOIA, http://www.dhs.gov or 1-866-431-0486. In addition 
you should provide the following:
    <bullet> An explanation of why you believe the Department would 
have information on you,
    <bullet> Identify which component(s) of the Department you believe 
may have the information about you,
    <bullet> Specify when you believe the records would have been 
created,
    <bullet> Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records,
    <bullet> If your request is seeking records pertaining to another 
living individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your

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request may be denied due to lack of specificity or lack of compliance 
with applicable regulations.

RECORD ACCESS PROCEDURES:
    See ``Notification procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification procedure'' above.

RECORD SOURCE CATEGORIES:
    Records are generated from sources contacted during personnel and 
background investigations.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    The Secretary of Homeland Security has exempted this system from 
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the 
Privacy Act pursuant to 5 U.S.C. 552a (k)(1), (k)(2), (k)(3), and 
(k)(5) of the Privacy Act.

    Dated: December 22, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
 [FR Doc. E9-924 Filed 1-15-09; 8:45 am]
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