SORN_DHS-2006-0047_Privacy Act System of Record

[Federal Register: September 12, 2006 (Volume 71, Number 176)]
[Notices]
[Page 53697-53700]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr12se06-69]
----------------------------------------------------------------------DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket Number DHS-2006-0047]

Privacy Act; Systems of Records
AGENCY: Office of Security, Department of Homeland Security.
ACTION: Notice of Privacy Act system of records.
----------------------------------------------------------------------SUMMARY: Pursuant to the Privacy Act of 1974, the Department of
Homeland Security, Office of Security, proposes to add a new system of
records to the Department's inventory, entitled the ``Personal Identity
Verification Management System.'' This system will support 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. This system
will enhance security, increase efficiency, reduce identify fraud, and
protect personal privacy.
DATES: The established system of records will be effective October 12,
[[Page 53698]]
2006, unless comments are received that result in a contrary
determination.
ADDRESSES: You may submit comments identified by docket number DHS2006-0047 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
Fax: (202) 401-4514 (not a toll-free number).
Mail: Cynthia Sjoberg, Office, DHS HSPD-12 Program Manager, Office
of Security, 245 Murray Lane, SW., Building 410, Washington, DC 20528;
Hugo Teufel III, Chief Privacy Officer, 601 S. 12th Street, Arlington,
VA 22202.
FOR FURTHER INFORMATION CONTACT: Cynthia Sjoberg, DHS HSPD-12 Program
Manager, Office of Security, 245 Murray Lane, SW., Building 410,
Washington, DC 20528 by telephone (202) 772-5096 or facsimile (202)
401-4514; Hugo Teufel III, Chief Privacy Officer, 601 S. 12th Street,
Arlington, VA 22202 by telephone (571) 227-3813 or facsimile (571) 227-

4171.
SUPPLEMENTARY INFORMATION: The Department of Homeland Security (DHS),
Office of Security is publishing a Privacy Act system of records notice
to cover its collection, use and maintenance of records relating to its
role in the collection and management of personally identifiable
information for the purpose of issuing credentials (ID badges) to meet
the requirements of the Homeland Security Presidential Directive-12
(HSPD-12) and in furtherance of the Office of Security's mission for
the Department. Until now, pursuant to the savings clause in the
Homeland Security Act of 2002, Public Law 107-296, Sec. 1512, 116 Stat.
2310 (Nov. 25, 2002) (6 U.S.C. 552), the Office of Security has been
relying on legacy Privacy Act systems for this purpose.
DHS established the Office of Security to protect and safeguard the
Department's personnel, property, facilities, and information. The
Office of Security develops, coordinates, implements, and oversees the
Department's security policies, programs, and standards; delivers
security training and education to DHS personnel; and provides security
support to DHS components when necessary. In addition, the Office of
Security coordinates and collaborates with the Intelligence Community
on security issues and the protection of information. The Office of
Security works to integrate security into every aspect of the
Department's operations.
The Office of Security is divided into seven divisions, as follows,
and in order of relevance to this notice:
Security Operations: This division implements and
maintains the Department's badging and credentialing programs and
ensures that the Department is in full compliance with all applicable
laws. It is within this Division and area of responsibility that the
Office of Security is giving notice of its intent to create the
Personal Identity Verification Management System (PIVMS) pursuant to
HSPD-12;
Personnel Security: background investigations,
adjudications, and security clearances for DHS employees, as well as
for State and local government personnel and private-sector partners;
Administrative Security: the protection of classified and
sensitive but unclassified information;
Physical Security: security surveys, vulnerability
assessments, and access control for DHS facilities;
Special Security Programs: Sensitive Compartmented
Information (SCI) and Special Access Programs;
Internal Security and Investigations: protection against
espionage, foreign intelligence service elicitation activities, and
terrorist collection efforts directed against the Department;
investigations of crimes against the Department's personnel and
property;
Training and Operations Security: integrated security
training policy and programs.
The PIVMS records will cover all DHS employees, contractors and
their employees, consultants, volunteers engaged by DHS who require
long-term access to federal buildings and emergency ``first
responders'' who work in federally controlled facilities. The personal
information to be collected will consist of data elements necessary to
identify the individual and to perform background or other
investigations concerning the individual. The PIVMS will collect
several data elements from the PIV card applicant, including: date of
birth, Social Security Number, organizational and employee

affiliations, fingerprints, digital color photograph, digital signature
and phone number(s) as well additional verification information. The
Office of Security has designed this system to align closely with their
current business practices.
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 personally identifiable
information. The Privacy Act applies to information that a Federal
agency maintains in a ``system of records.'' A ``system of records'' is
a group of any records under the control of an agency from which the
agency retrieves information by the name of the individual or by some
identifying number, symbol, or other identifying particular assigned to
the individual. The Office of Security Personal Identity Verification
Management System is such a system of records.
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 to
which personally identifiable information is put, and to assist
individuals to more easily find such files within the agency. Below is
the description of the Personal Identity Verification Management
System.
In accordance with 5 U.S.C. 552a(r), a report on this system has
been sent to Congress and to the Office of Management and Budget.
DHS-OS-2006-047
System name:
Personal Identity Verification Management System (PIVMS).
Security Classification:
Sensitive but unclassified.
System Location:
Data covered by this system are maintained at the following
location: DHS Data Center, Ashburn, VA.
Categories of Individuals Covered By the System:
The PIVMS records will cover all DHS employees, contractors and
their employees, consultants, volunteers engaged by DHS who require
long-term access to federal buildings and emergency ``first
responders'' who work in federally controlled facilities. Individuals
who require regular, ongoing access to agency facilities, information
technology systems, or information classified in the interest of
national security.
The system does not apply to occasional visitors or short-term
guests to whom DHS will issue temporary identification and credentials.
Categories of Records in the System:
Records maintained on individuals issued a PIV credential by DHS
include the following data fields: full name; Social Security number;
date of birth; current address; digital signature; digital color
photograph; fingerprints; biometric identifiers (two fingerprints);
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organization/office of assignment; employee affiliation; telephone

number(s); copies of identity source documents; signed SF 85 or
equivalent; PIV card issue and expiration dates; PIV request form; PIV
registrar approval digital signature; PIV card serial number; emergency
responder designation; computer system user name; user access and
permission rights, authentication certificates; digital signature
information.
Authority for Maintenance of the System:
5 U.S.C. 301; Federal Information Security Act (Pub.L. 104-106,
Sec. 5113); E-Government Act (Pub.L. 104-347, sec. 203); the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501); and the Government Paperwork
Elimination Act (Pub.L. 105-277, 44 U.S.C. 3504); Homeland Security
Presidential Directive-12 (HSPD-12); Policy for a Common Identification
Standard for Federal Employees and Contractors, August 27, 2004;
Federal Property and Administrative Act of 1949, as amended; the
Intelligence Reform and Terrorism Prevention Act of 2004, P.L. 108-458,
Section 3001 (50 U.S.C. 435b) and the Homeland Security Act of 2002,
P.L. 107-296, as amended.
Purpose(s):
The primary purposes of the system are: (a) To ensure the safety
and security of DHS facilities, systems, or information, and our
occupants and users; (b) To verify that all persons entering Federal
facilities, using Federal information resources, are authorized to do
so; (c) to track and control PIV cards issued to persons entering and
exiting the DHS facilities or using DHS systems.
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.
Section 552a(b) of the Privacy Act, all or a portion of the records or
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 (DOJ) when: (a) The agency or any
component thereof; or (b) any employee of the agency in his or her
official capacity; (c) any employee of the agency in his or her
individual capacity where agency or the Department of Justice has
agreed to represent the employee; or (d) the United States Government,
is a party to litigation or has an interest in such litigation, and by
careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records by
DOJ is therefore deemed by the agency to be for a purpose compatible
with the purpose for which the agency collected the records.
B. To a court or adjudicative body in a proceeding when: (a) The
agency or any component thereof; (b) any employee of the agency in his
or her official capacity; (c) any employee of the agency in his or her
individual capacity where agency or the Department of Justice has
agreed to represent the employee; or (d) the United States Government,
is a party to litigation or has an interest in such litigation, and by
careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records is
therefore deemed by the agency to be for a purpose that is compatible
with the purpose for which the agency collected the records.
C. Except as noted on Forms SF 85, 85-P, and 86, when a record on
its face, or in conjunction with other records, indicates a violation
or potential violation of law, whether civil, criminal, or regulatory
in nature, and whether arising by general statute or particular program

statute, or by regulation, rule, or order issued pursuant thereto,
disclosure may be made to the appropriate public authority, whether
Federal, foreign, State, local, or tribal, or otherwise, responsible
for enforcing, investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation, or
order issued pursuant thereto, if the information disclosed is relevant
to any enforcement, regulatory, investigative or prosecutorial
responsibility of the receiving entity.
D. To a Member of Congress or to a Congressional staff member in
response to an inquiry of the Congressional office made at the written
request of the constituent about whom the record is maintained.
E. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
F. To agency contractors, grantees, or volunteers who have been
engaged to assist the agency in the performance of a contract service,
grant, cooperative agreement, or other activity related to this system
of records and who need to have access to the records in order to
perform their activity. Recipients shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
G. To a Federal State, local, foreign, or tribal or other public
authority the fact that this system of records contains information
relevant to the retention of an employee, the retention of a security
clearance, the letting of a contract, or the issuance or retention of a
license, grant, or other benefit. The other agency or licensing
organization may then make a request supported by the written consent
of the individual for the entire record if it so chooses. No disclosure
will be made unless the information has been determined to be
sufficiently reliable to support a referral to another office within
the agency or to another Federal agency for criminal, civil,
administrative personnel or regulatory action.
H. To the Office of Management and Budget when necessary to the
review of private relief legislation pursuant to OMB Circular No. A-19.
I. To a Federal State, or local agency, or other appropriate
entities or individuals, or through established liaison channels to
selected foreign governments, in order to enable an intelligence agency
to carry out its responsibilities under the National Security Act of
1947, as amended, the CIA Act of 1949, as amended, Executive Order
12333 or any successor order, applicable national security directives,
or classified implementing procedures approved by the Attorney General
and promulgated pursuant to such statutes, orders or directives.
J. To notify another Federal agency when, or verify whether, a PIV
card is no longer valid.
K. To the news media or the general public, factual information the
disclosure of which would be in the public interest and which would not
constitute an unwarranted invasion of personal privacy, consistent with
Freedom of Information Act standards.
L. To an agency, organization, or individual for the purposes of
performing authorized audit or oversight operations.
Disclosure to consumer reporting agencies:
Privacy Act information may be reported to consumer reporting
agencies pursuant to 5 U.S.C. 552a(b)(12).
Policies and Practices for Storing, Retrieving, Accessing, Retaining
and Disposing of Records in the System:
Storage:

DHS Headquarters in the Offices of Security and Human Capital and
at the DHS Data Center in Ashburn, VA Records maintain and store the
records in electronic media and paper files.
Retrievability:
Records may be retrieved by name of the individual, Social Security
number
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and/or by any other unique individual identifier.
Safeguards:
The Office of Security protects all records from unauthorized
access through appropriate administrative, physical, and technical
safeguards. Access is restricted on a ``need to know'' basis,
utilization of SmartCard access, and locks on doors and approved
storage containers. DHS buildings have security guards and secured
doors. DHS monitors all entrances through electronic surveillance
equipment. Personally identifiable information is safeguarded and
protected in conformance with all Federal statutory and OMB guidance
requirements. All access has role-based restrictions, and individuals
with access privileges have undergone vetting and suitability
screening. DHS encrypts data storage and transfer. DHS maintains an
audit trail and engages in random periodic reviews to identify
unauthorized access. Persons given roles in the PIV process must
complete training specific to their roles to ensure they are
knowledgeable about how to protect personally identifiable information.
Retention and Disposal:
This is a new program and the Records Management Office (RMO) has
not finalized its retention policy. The DHS RMO will develop a records
retention schedule for approval by the NARA pertaining to this program.
Once NARA has approved the records retention schedule, DHS will amend
this document to include the retention period for the records.
System Manager and address:
DHS HSPD-12 Program Manager, Office of Security, U.S. Department of
Homeland Security, 245 Murray Lane, SW., Building 410, Washington, DC
20528.
Notification procedure:
A request for access to records in this system may be made by
writing to the System Manager, or the Director of Departmental
Disclosure, in conformance with 6 CFR part 5, which provides the rules
for requesting access to records maintained by the Department of
Homeland Security.
Record access procedures:
Same as Notification Procedure above.
Contesting record procedures:
Same as Notification Procedure above. State clearly and concisely
the information being contested, the reasons for contesting it, and the
proposed amendment to the information sought.
Record source categories:

Employee, contractor, or applicant; sponsoring agency; former
sponsoring agency; other Federal agencies; contract employer; former
employer.
Exemptions claimed for the system:
None.
Dated: September 1, 2006.
Hugo Teufel III,
Chief Privacy Officer.
[FR Doc. E6-15044 Filed 9-11-06; 8:45 am]
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