[Federal Register: September 12, 2006 (Volume 71, Number 176)]
[Notices]
[Page 53700-53703]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr12se06-70]
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DEPARTMENT OF HOMELAND SECURITY
Office of the Secretary
[Docket Number DHS-2006-0025]
Privacy Act; Systems of Records
AGENCY: Office of Security, Department of Homeland Security.
ACTION: Notice of Privacy Act system of records.
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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 ``Office of Security
File System.'' This system will support the administration of a program
which provides security for the Department by safeguarding and
protecting the Department's personnel, property, facilities, and
information.
DATES: The established system of records will be effective October 12,
2006, unless comments are received that result in a contrary
determination.
ADDRESSES: You may submit comments identified by docket number DHS-
2006-0025 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: Marc E. Frey, Senior Advisor, 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: Marc E. Frey, Senior Advisor, 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
security 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:
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;
Security Operations: Badging and credentialing programs.
The Office of Security records will cover not only DHS employees,
but also contractors, consultants, volunteers, student interns,
visitors, and others who have access to DHS facilities. The personal
information to be collected will consist of data elements necessary to
identify the individual and to
[[Page 53701]]
perform background or other investigations concerning the individual.
The system has been designed to closely align with the Office of
Security's 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 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
retrieved by the name of the individual or by some identifying number,
symbol, or other identifying particular assigned to the individual. The
Office of Security File 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 Office of Security File 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-001
System name:
Office of Security File System.
Security classification:
Unclassified and Classified.
System location:
The records maintained by the Office of Security are located within
the headquarters facilities of the Department of Homeland Security
(DHS), Washington, DC 20528.
Categories of individuals covered by the system:
Individuals involved in, or of interest to, DHS Office of Security
activities, operations, or programs, including, but not limited to:
current and former DHS employees; applicants for employment with DHS
(including student interns); contractors and consultants providing
services to DHS; Sate and local government personnel and private-sector
individuals who maintain an access control card permitting access to a
DHS facility or access to information technology systems that process
national or homeland security information; DHS employees and
contractors who may be a subject of a counter-terrorism,
counterintelligence, or counter-espionage, or law enforcement
investigation; senders of unsolicited communications that raise a
security concern to the Department or its personnel; state and local
government personnel and private-sector individuals who serve on an
advisory committee and board sponsored by DHS; and state and local
government personnel and private-sector individuals who are authorized
by DHS to access sensitive or classified homeland security information,
classified facilities, communications security equipment, and
information technology systems that process national or homeland
security classified information. The system also includes individuals
accused of security violations or found in violation.
Categories of records in the system:
Records relating to the management and operation of the DHS
personnel security and suitability program, including but not limited
to, completed standard form questionnaires issued by the Office of
Personnel Management; originals or copies of background investigative
reports; supporting documentation related to the background
investigations and adjudications; and other information relating to an
individual's eligibility for access to classified or sensitive
information.
Records relating to management and operation of DHS programs to
safeguard classified and sensitive but unclassified information,
including but not limited to, document control registries; courier
authorization requests; non-disclosure agreements; record(s) of
security violations; record(s) of document transmittal(s); and requests
for secure storage and communications equipment.
Records relating to the management and operation of DHS special
security programs, including but not limited to, requests for access to
sensitive compartmented information (SCI); and foreign travel and
foreign contact registries for individuals with SCI access.
Records relating to the management and operation of the DHS
internal security program, including but not limited to, inquiries
relating to suspected security violation(s); recommended remedial
actions for possible security violation(s); reports of investigation
regarding security violations; statements of individuals; affidavits;
correspondence; and other documentation pertaining to investigative or
analytical efforts by the DHS Office of Security to identify threats to
the Department's personnel, property, facilities, and information;
intelligence reports and database results relating to DHS personnel,
applicants or candidates for DHS employment or a DHS contract, or other
individuals interacting or having contact with DHS personnel or
contractors; foreign contact registries for individuals; or unsolicited
communications with DHS personnel or contractors that raise a security
concern.
Records relating to the management and operation of the Office of
Security's physical security, operations security, and security
training and awareness programs, including but not limited to, briefing
and course registries; facility access registries; access control card
requests; and credential registries.
Additionally, specific information from standard forms used to
conduct background investigations.
Authority for maintenance of the system:
Homeland Security Act of 2002; National Security Act of 1947; 44
U.S.C. Chapters 21, 29, 31, 33, and 35; 5 U.S.C. Sections 301, 3301,
and 7902; 40 U.S.C. 1315; Executive Orders 10450,10865, 12333,12356,
12958, as amended, 12968, 13142, 13284; the Intelligence Reform and
Terrorism Prevention Act of 2004, Public Law 108-458, Section 3001 (50
U.S.C. 435b).
Purpose(s):
The records in this system are used in the management and
implementation of Office of Security programs and activities that
support the protection of the Department's personnel, property,
facilities, and information. These purposes include, but are not
limited to, investigation and adjudication of personnel security and
suitability determinations and access to classified national security
information and sensitive but unclassified information; verification of
access to classified national security information; determination of
access to DHS facilities; certification of storage and processing
facilities for classified national security information meet required
standards; audit of contracts involving classified national security
information; inventory of communications security equipment, materials/
keys for such equipment, and classified publications; analysis,
identification, and addressing of efforts to infiltrate the Department
or collect classified or sensitive information; production of access
control cards and audit of access to DHS facilities; notification of
DHS personnel in
[[Page 53702]]
emergency situations; maintenance of a central databank for
investigations of misconduct involving the Department, its personnel,
or its property. The records may be used to document security
violations and supervisory actions taken.
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 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 designated officers and employees of Federal, State, local or
international agencies in connection with the hiring or continued
employment of an individual, the conduct of a suitability or security
investigation of an individual, the grant, renewal, suspension, or
revocation of a security clearance, or the certification of security
clearances, to the extent that DHS determines the information is
relevant and necessary to the hiring agency's decision;
B. To designated officers and employees of Federal, State, local or
international agencies maintaining civil, criminal or other relevant
enforcement information or other pertinent information, such as current
licenses, if necessary for DHS to obtain information relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit;
C. Except as noted on national security questionnaires, such as
Forms SF 85, 85-P, and 86, records to an appropriate Federal, State,
territorial, tribal, local, international, or foreign agency law
enforcement authority charged with investigating or prosecuting a
violation or enforcing or implementing a law where a record, either on
its face or in conjunction with other information, indicates a
violation or potential violation of law (e.g. criminal, civil or
regulatory);
D. 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.
E. To an organization or individual in either the public or private
sector where there is a reason to believe that the recipient is or
could become the target of a particular terrorist activity or
conspiracy, to the extent the information is relevant to the protection
of life or property.
F. To an authorized appeal or grievance examiner, formal complaints
examiner, equal employment opportunity investigator, arbitrator, or
other duly authorized official engaged in investigation or settlement
of a grievance, complaint, or appeal filed by an employee;
G. To the United States Office of Personnel Management, the Merit
Systems Protection Board, Federal Labor Relations Authority, or the
Equal Employment Opportunity Commission when requested in the
performance of their authorized duties;
H. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of the individual to whom the record pertains;
I. To contractors, grantees, experts, consultants, students, and
others performing or working on a contract, service, grant, cooperative
agreement, or other assignment for the Federal Government, when
necessary to accomplish an agency function related to this system of
records;
J. To the Department of Justice (DOJ) or in a proceeding before a
court or adjudicative body before which DHS is authorized to appear,
when: (a) DHS, or any component thereof; or, (b) any employee of DHS in
his or her official capacity; or, (c) any employee of DHS in his or her
individual capacity where the DOJ or DHS has agreed to represent the
employee; or (d) the United States, where DHS determines that
litigation is likely to affect the agency or any of its components, is
a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ or by DHS before a court or adjudicative
body is deemed by DHS to be relevant and necessary to the litigation,
provided, however, that in each case, DHS determines that disclosure of
the records is a use of the information contained in the records that
is compatible with the purpose for which the records were collected.
K. To an agency, organization, or individual for the purposes of
performing authorized audit or oversight operations.
L. To any source or potential source from which information is
requested in the course of an investigation concerning the retention of
an employee or other personnel action (other than hiring), or the
retention of a security clearance, contract, grant, license, or other
benefit, to the extent necessary to identify the individual, inform the
source of the nature and purpose of the investigation, and to identify
the type of information requested.
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:
The records maintained by the Office of Security are located within
the headquarters of DHS, Washington, DC 20528.
The records are maintained in paper files and on electronic media.
Retrievability:
Information in the records may be retrieved by the name of the
individual, social security number, or other unique individual
identifier.
Safeguards:
All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to authorized personnel who have
a ``need-to-know,'' utilization of password protection features, and
locks on doors and approved storage containers. Buildings have security
guards and secured doors, and all entrances are monitored by electronic
surveillance equipment. Classified information is appropriately stored
in accordance with applicable requirements.
Retention and disposal:
The files are destroyed in accordance with legal requirements and
the disposition instructions in the General Records Schedule 18 issued
by the National Archives and Records Administration (NARA).
System Manager and address:
DHS Privacy Office, Director of Departmental Disclosure, 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
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System Manager, 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:
Information in security files may be obtained from other sources,
including the following: Current and former DHS employees (including
student interns); applicants for employment with DHS; contractors and
consultants providing services to DHS; DHS personnel that maintain an
access control card permitting access to a DHS facility; DHS personnel
who may be a subject of a criminal, counter-terrorism, counter-
espionage, or other criminal investigation; senders of unsolicited
communications to the Department or its personnel; foreign nations who
have contact with DHS, its personnel or its offices; State and local
government personnel and private-sector individuals who serve on an
advisory committee and board sponsored by DHS; State and local
government personnel and private-sector individuals who are authorized
by DHS to access sensitive or classified homeland security information,
classified facilities, communications security equipment, and
information technology systems which process national or homeland
security classified information; State and local government personnel
and private-sector individuals who require a DHS access control device
that permits access to information technology systems which process
national or homeland security classified information; law enforcement
agencies; other government agencies; previous employers, colleagues,
neighbors, references, informants or other sources; and representatives
from educational institutions.
Exemptions claimed for the system:
In accordance with 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5), the
personnel security case files in this system of records are exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of
the Privacy Act of 1974, as amended.
Dated: September 1, 2006.
Hugo Teufel III,
Chief Privacy Officer.
[FR Doc. E6-15045 Filed 9-11-06; 8:45 am]
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