[Federal Register Volume 76, Number 137 (Monday, July 18, 2011)]
[Notices]
[Pages 42132-42133]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-17935]


-----------------------------------------------------------------------

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 [email protected], (202) 447-3368.

SUPPLEMENTARY INFORMATION: The REAL ID Act of 2005 (the Act) prohibits 
Federal agencies from accepting state-issued 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;

[[Page 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 name-based 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