[Federal Register Volume 84, Number 99 (Wednesday, May 22, 2019)]
[Notices]
[Pages 23636-23639]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-10632]
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DEPARTMENT OF THE TREASURY
Privacy Act of 1974; System of Records
AGENCY: Department of the Treasury.
ACTION: Notice of a Modified System of Records.
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SUMMARY: In accordance with the requirements of the Privacy Act of
1974, the Department of the Treasury (``Treasury'' or the
``Department'') proposes to modify a current Treasury system of records
titled, ``Treasury .007--Personnel Security System--System of
Records.'' This system supports the Department in conducting end-to-end
personnel security, fitness, suitability and credentialing processes.
This system of records contains records related to employee and
contractor vetting as well as investigative, administrative,
adjudicative, and/or determination information for decisions concerning
whether an individual is suitable or fit for Government employment or
eligible to access classified national security information. This
action is necessary to meet the requirements of the Privacy Act to
publish in the Federal Register notice of the existence and character
of system of records maintained by the agency (5 U.S.C. 552a(e)(4)).
DATES: Submit comments on or before June 21, 2019. The new routine uses
will be applicable on June 21, 2019 unless Treasury receives comments
and determines that changes to the system of records notice are
necessary.
ADDRESSES: Comments may be submitted to the Federal eRulemaking Portal
electronically at http://www.regulations.gov. Comments can also be sent
to the Deputy Assistant Secretary for Privacy, Transparency, and
Records, Department of the Treasury, 1500 Pennsylvania Avenue NW,
Washington, DC 20220, Attention: Revisions to Privacy Act Systems of
Records. All comments received, including attachments and other
supporting documents, are part of the public record and subject to
public disclosure. All comments received will be posted without change
to www.regulations.gov, including any personal information provided.
You should submit only information that you wish to make publicly
available.
FOR FURTHER INFORMATION CONTACT: For general questions and for privacy
issues please contact: Deputy Assistant Secretary for Privacy,
Transparency, and Records (202-622-5710), Department of the Treasury,
1500 Pennsylvania Avenue NW, Washington, DC 20220.
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
Treasury proposes to modify a current Treasury system of records
titled, ``Treasury .007--Personnel Security System.''
The Department of the Treasury is an early adopter of a Department
of Defense (DoD)-provided electronic adjudicative case management
shared service through DoD's Defense Information System for Security
(``DISS'') (system of records notice (SORN): ``DMDC 24 DoD--Defense
Information System for Security (DISS)''). DISS maintains information
on security clearance access, personnel security eligibility,
suitability for Government employment, fitness to perform work for or
on behalf of the U.S. Government as a contractor, and eligibility for
logical and physical access to Treasury controlled facilities and
information systems. It also provides an all-inclusive medium to
document personnel security adjudicative actions within the subscribing
agency, allowing users to provide investigation and adjudication
updates to security managers and other security officials. All users of
DISS must be appropriately screened, investigated, and granted access
based on the user's specific functions, security eligibility, and
access level. Treasury maintenance of its records--currently outlined
in Treasury .007--within DISS will be used to ensure Treasury is
upholding the highest standards of integrity,
[[Page 23637]]
loyalty, conduct, and security among its employees and contract
personnel. It will also help streamline the vetting process by
utilizing a single system for all phases of vetting operations to
include adjudication, continuous evaluation/continuous vetting, and
case management, while maintaining compliance with all applicable
legal, regulatory and policy authorities.
To allow Treasury's participation and continued involvement in
DISS, Treasury is implementing the changes to the SORN listed below:
(1) To add the following categories of records maintained in the
system: ``to include names and addresses of neighbors and references,''
``to include names of supervisors and colleagues,'' ``publicly
available social media information,'' ``position sensitivity; status of
current adjudicative action; status of security clearance eligibility
and/or access, suitability, fitness, or Homeland Security Presidential
Directive-12 (HSPD-12) Personal Identity Verification (PIV)
determinations; and investigative records related to initial vetting,
reinvestigation, continuous evaluation, and/or continuous vetting.'' To
update the categories of records to state that ``[t]his system
maintains information collected as part of the investigative vetting
process. This information may include the individual's personally
identifiable information; residential, educational, employment, and
mental health history; financial details, and criminal and disciplinary
histories; to include:'';
(2) To update existing applicable authorities for maintenance of
the system;
(3) To clarify the purpose(s) of records stored in the system, by
modifying the clause ``investigatory information,'' to the following:
``investigative and related administrative, adjudicative, and other
information necessary'';
(4) To add routine uses to share information (a) with other federal
agencies or federal entities as required by the Office of Management
and Budget (OMB) Memorandum 17-12, ``Preparing for and Responding to a
Breach of Personally Identifiable Information,'' dated January 3, 2017,
to assist Treasury in responding to a suspected or confirmed breach or
prevent, minimize, or remedy the risk of harm to the requesters,
Treasury, the Federal Government, or national security, and (b) with
the Department of Defense, other Federal agency or other appropriate
entity to authorize Treasury's participation in DISS, which allows
Treasury to transfer the records covered by Treasury .007 to DISS for
storage and maintenance only; though records will be maintained in a
DoD-managed system, only Treasury-affiliated users will have access to
these records.
(5) To update the storage of records in the system;
(6) To add social security number (SSN), date of birth, place of
birth, Investigative Service Provider's investigation number, DISS
adjudicative case identification number or some combination thereof as
sources for retrieval of records;
(7) To update the agency's safeguards;
(8) To clarify that records may be sourced not only from the
individual, but from authorized investigative, employment, and security
entities as well;
(9) To update the policies and practices for retention and disposal
of records; and
(10) Other changes throughout the document are editorial in nature
and consist primarily of changes to clarify language and processes.
This modified system will be included in Treasury's inventory of
record systems. Below is the description of the Department of the
Treasury, Treasury .007--Personnel Security System.
Treasury has provided a report of this system of records to the
Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and OMB, pursuant to 5 U.S.C. 552a(r) and OMB
Circular A-108, ``Federal Agency Responsibilities for Review,
Reporting, and Publication under the Privacy Act,'' dated December 23,
2016.
Ryan Law,
Deputy Assistant Secretary for Privacy, Transparency, and Records.
SYSTEM NAME AND NUMBER:
Department of the Treasury, Treasury .007--Personnel Security
System.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Department of the Treasury, 1500 Pennsylvania Avenue NW, Room 3180
Annex, Washington, DC 20220 in the Office of Security Programs (and
other office locations identified below) which is responsible for
making suitability, fitness, security clearance, access, and Homeland
Security Presidential Directive-12 (HSPD-12) credentialing decisions.
Other locations at which the system is maintained by Treasury bureaus
and their associated offices are:
(1) Departmental Offices (DO):
a. 1500 Pennsylvania Avenue NW, Room 3180 Annex, Washington, DC
20220.
b. Special Inspector General for the Troubled Asset Relief Program
(SIGTARP): 1801 L Street NW, Washington, DC 20036.
(2) Office of Inspector General (OIG): 320 Avery Street
Parkersburg, West Virginia 26101.
(3) Treasury Inspector General for Tax Administration (TIGTA): 1401
H Street NW, Suite 469, Washington, DC 20005.
(4) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G Street
NW, Washington, DC 20220.
(5) Office of the Comptroller of the Currency (OCC): 400 7th Street
SW, Washington, DC 20219.
(6) Bureau of Engraving and Printing (BEP): 14th & C Streets SW,
Washington, DC 20228.
(7) Bureau of the Fiscal Service (BFS): Security Operations
Division, Personnel Security Branch, 3700 East West Highway,
Hyattsville, Maryland and BFS at 320 Avery Street, Parkersburg, West
Virginia 26101.
(8) United States Mint (MINT): 801 9th Street NW, Washington, DC
20220.
(9) Financial Crimes Enforcement Network (FinCEN), Vienna, Virginia
22183-0039.
(10) Internal Revenue Service (IRS), 1111 Constitution Avenue NW,
Washington, DC 20224.
SYSTEM MANAGER(S):
Department of the Treasury Official prescribing policies and
practices: Director, Office of Security Programs, 1500 Pennsylvania
Avenue NW, Room 3180 Annex, Washington, DC 20220.
The system managers for the Treasury bureau components are:
(1) Departmental Offices:
a. Chief, Personnel Security, 1500 Pennsylvania Avenue NW, Room
3180 Annex, Washington, DC 20220.
b. SIGTARP: Director, Human Resources, 1801 L Street NW,
Washington, DC 20036.
(2) OIG: Personnel Officer, 740 15th Street NW, Suite 510,
Washington, DC 20220.
(3) TIGTA: Personnel Security Officer, 1401 H Street NW, Suite 469,
Washington, DC 20005.
(4) TTB: Alcohol and Tobacco Tax and Trade Bureau: Director of
Security and Emergency Preparedness 1310 G Street NW, Washington, DC
20220.
(5) BFS: Director, Division of Security and Emergency Preparedness,
Director, Division of Human Resources Operations Division, Avery Street
Building, 320 Avery Street, Parkersburg, West Virginia 26101 and
Director, Administrative Programs Division, 3700
[[Page 23638]]
East West Highway, Hyattsville, Maryland 20782.
(6) OCC: Director, Administrative Services Division, 400 7th Street
SW, Washington, DC 20219.
(7) BEP: Chief, Office of Security, 14th & C Streets NW,
Washington, DC 20228.
(8) Mint: Associate Director for Protection, 801 9th Street NW, 8th
Floor, Washington, DC 20220.
(9) FinCEN: Director, Vienna, Virginia 22183-0039.
(10) IRS: Director, Personnel Security, 1111 Constitution Avenue
NW, Washington, DC 20224.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Executive Order 12968, as amended, Executive Order 13467, Executive
Order 13488, and Homeland Security Presidential Directive 12 (HSPD-12).
PURPOSE(S) OF THE SYSTEM:
(1) The records in this system are used to provide investigative
and related administrative, adjudicative, and other information
necessary to determine whether an individual is suitable or fit for
Government employment; eligible for logical and physical access to
Treasury controlled facilities and information systems; eligible to
hold sensitive positions (including but not limited to eligibility for
access to classified information); fit to perform work for or on behalf
of the U.S. Government as a contractor; qualified to perform contractor
services for the U.S. Government; or loyal to the United States; and
(2) while maintaining compliance with applicable legal, regulatory
and policy authorities.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Current and former government employees, applicants,
consultants, experts, contractor personnel occupying sensitive
positions in the Department; (2) current and former U.S. Executive
Directors and Alternates employed at International Financial
Institutions; (3) personnel who are appealing a denial or a revocation
of a Treasury-issued security clearance; (4) employees and contractor
personnel who have applied for the HSPD-12 Personal Identity
Verification (PIV) Card; (5) individuals who are not Treasury
employees, but who are or were involved in Treasury Department programs
under a co-operative assignment or under a similar agreement; and (6)
State, Local, Tribal and Private sector partners identified by Treasury
sponsors for eligibility to access classified information in support of
homeland defense initiatives.
CATEGORIES OF RECORDS IN THE SYSTEM:
Applicable records containing the following information from one or
more of the categories within background investigations relating to
personnel investigations conducted by the Office of Personnel
Management, select Treasury bureaus (IRS, Mint and BEP) and other
Federal agencies and departments on a pre-placement and post-placement
basis to make suitability, fitness, and HSPD-12 PIV determinations and
for granting security clearances. This system maintains information
collected as part of the investigative vetting process. This
information may include the individual's personally identifiable
information; residential, educational, employment, and mental health
history; financial details, and criminal and disciplinary histories; to
include:
(1) An individual's name, former names and aliases; date and place
of birth; social security number (SSN); height; weight; hair and eye
color; gender; mother's maiden name; current and former home addresses
to include names and addresses of neighbors and references, phone
numbers, and email addresses; employment history to include names of
supervisors and colleagues; military record information; selective
service registration record; education and degrees earned; names of
associates and references with their contact information; citizenship;
passport information; criminal history; civil court actions; prior
security clearance and investigative information; mental health
history; records related to drug and/or alcohol use; financial record
information; information from the IRS pertaining to income tax returns;
credit reports; the name, date and place of birth, SSN, and citizenship
information for spouse or cohabitant; the name and marriage information
for current and former spouse(s); the citizenship, name, date and place
of birth, and address for relatives; information on foreign contacts
and activities; association records; information on loyalty to the
United States; publicly available social media information; and other
agency reports furnished to Treasury in connection with the background
investigation process, and other information developed from the above;
(2) position sensitivity; status of current adjudicative action; status
of security clearance eligibility and/or access, suitability, fitness,
or HSPD-12 PIV determinations; and investigative records related to
initial vetting, reinvestigation, continuous evaluation, and/or
continuous vetting; (3) summaries of personal and third party
interviews conducted during the course of the background investigation;
(4) previously used card index records comprised of Notice of Personnel
Security Investigation (OS F 67-32.2); (5) signed Classified
Information Non-disclosure Agreement (SF 311), and related supplemental
documents for those persons issued a security clearance; (6) completed
Security Orientation Acknowledgment (TD F 15-05.01) for persons having
received initial security training on safeguarding classified
information; (7) an automated data system reflecting identification
data on incumbents and former employees, disclosure and authorization
forms, and record of investigations, level and date of security
clearance, if any, as well as status of investigations; (8) records
pertaining to suspensions or an appeal of a denial or a revocation of a
Treasury-issued security clearance; (9) records pertaining to the
personal identification verification process mandated by HSPD-12 and
the issuance, denial or revocation of a PIV card; and (10) records of
personnel background investigations conducted by other Federal
agencies.
RECORD SOURCE CATEGORIES:
Records are obtained from individual employees, applicants,
detailees, consultants, experts and contractors (including the results
of in-person interviews) whose files are on record as authorized by
those concerned; investigative reports from federal investigative
agencies; criminal or civil investigations; continuous evaluation
records; police and credit record checks; personnel records;
educational records and instructors; current and former employers;
coworkers, neighbors, family members, acquaintances; and authorized
security representatives.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under the
Privacy Act of 1974, 5 U.S.C. 552a(b), records and/or information or
portions thereof maintained as part of this system may be disclosed
outside Treasury as a routine use pursuant to 5 U.S.C. 552a(b)(3) as
follows:
(1) Designated officers and employees of agencies, offices, and
other establishments in the executive, legislative and judicial
branches of the Federal government, when such agency, office, or
establishment conducts an investigation of the individual for purposes
of granting a security clearance, or for the purpose of making
[[Page 23639]]
a determination of qualifications, suitability, fitness, or issuance of
an HSPD-12 PIV card for physical and/or logical access to facilities/IT
systems or restricted areas; to determine access to classified
information and/or in connection with performance of a service to the
Federal government under a contract or other agreement;
(2) Pursuant to the order of a court of competent jurisdiction;
(3) To the United States Department of Justice (``DOJ''), for the
purpose of representing or providing legal advice to the Department in
a proceeding before a court, adjudicative body, or other administrative
body before which the Department is authorized to appear, when such
proceeding involves:
(a) The Department or any component thereof;
(b) Any employee of the Department in his or her official capacity;
(c) Any employee of the Department in his or her individual
capacity where the Department of Justice or the Department has agreed
to represent the employee; or
(d) The United States, when the Department determines that
litigation is likely to affect the Department or any of its components;
and the use of such records by the DOJ is deemed by the DOJ or the
Department to be relevant and necessary to the litigation provided that
the disclosure is compatible with the purpose for which records were
collected;
(4) To a Congressional office in response to a written inquiry made
at the request of the individual to whom the record pertains;
(5) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is
authorized by law, and if the head of the agency or instrumentality has
made a written request to the Treasury component which maintains the
record specifying the particular portion desired and the law
enforcement activity for which the record is sought;
(6) The Office of Personnel Management, Merit Systems Protection
Board, Equal Employment Opportunity Commission, Federal Labor Relations
Authority, and the Office of Special Counsel for the purpose of
properly administering Federal personnel systems or other agencies'
systems in accordance with applicable laws, Executive Orders, and
regulations;
(7) To the Department of Defense or other Federal agency, or other
appropriate entity, in connection with providing shared services
approved by the Enterprise Investment Board (EIB) of the Performance
Accountability Council (PAC), to subscribing agencies for hiring or
retaining an employee; classifying a position; conducting a security,
suitability, fitness, or credentialing background investigation
(including continuous evaluation/continuous vetting); issuing a
security clearance or sensitive position eligibility; making a
suitability, fitness, or credentialing decision; recording the results
of any agency decision with respect to these functions; or in support
of any of the purposes or functions outlined or otherwise incorporated
in this system of records;
(8) To appropriate agencies, entities, and person when (1) the
Department of the Treasury suspects or has confirmed that there has
been a breach of the system of records; (2) the Department of the
Treasury has determined that as a result of the suspected or confirmed
breach there is a risk of harm to individuals, the Department of the
Treasury (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) the disclosure
made to such agencies, entities, and persons is reasonably necessary to
assist in connection with the Department of the Treasury's efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm; and
(9) To another Federal agency or Federal entity, when the
Department of the Treasury determines that information from this system
of records is reasonably necessary to assist the recipient agency or
entity in (1) responding to a suspected or confirmed breach or (2)
preventing, minimizing, or remedying the risk of harm to individuals,
the recipient agency or entity (including its information systems,
programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records may be retrieved by name, social security number, date of
birth, place of birth, Investigative Service Provider's investigation
number, DISS adjudicative case identification number or some
combination thereof.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The records on government employees and contractor personnel are
retained for the duration of their employment at the Treasury
Department. The records on applicants not selected and separated
employees are destroyed or sent to the Federal Records Center in
accordance with General Records Schedule 5.6, item 181. Investigative
reports are maintained in OPM Central-9 (81 FR 70191). DoD maintains
post investigative files in DMDC 24 DOD (81 FR 39032).
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable Treasury
automated systems security and access policies. Strict controls have
been imposed to minimize the 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.
RECORD ACCESS PROCEDURES:
See ``Notification Procedures'' below.
CONTESTING RECORD PROCEDURES:
See ``Notification Procedures'' below.
NOTIFICATION PROCEDURES:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest or amend its content,
as a part of a Freedom of Information Act (FOIA) request and/or Privacy
Act request (to include amendment requests, etc.) may inquire in
writing in accordance with instructions directly to individual Treasury
components appearing at 31 CFR part 1, subpart C, Appendices A-N for
Privacy Act and at 31 CFR part 1, subpart A, Appendices A-M for FOIA.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3),
and (4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(5). (See 31 CFR 1.36.)
HISTORY:
Notice of this system of records was last published in full in the
Federal Register on November 7, 2016 (81 FR 78266) as the Department of
the Treasury, Treasury .007--Personnel Security System.
[FR Doc. 2019-10632 Filed 5-21-19; 8:45 am]
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