[Federal Register Volume 85, Number 198 (Tuesday, October 13, 2020)]
[Notices]
[Pages 64511-64515]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-22536]


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DEPARTMENT OF HOMELAND SECURITY

[Docket No. DHS-2020-0005]


Privacy Act of 1974; System of Records

AGENCY: Department of Homeland Security.

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security (DHS) proposes to modify a current DHS system of 
records titled, ``Department of Homeland Security/ALL-023 Personnel 
Security Management System of Records.'' This system of records 
describes DHS's collection and maintenance of records related to the 
processing of personnel security-related clearance actions, suitability 
determinations, fitness determinations, whether security clearances are 
issued or denied, and the verification of eligibility for access to 
classified information or assignment to a sensitive position.

DATES: Submit comments on or before November 12, 2020. This modified 
system will be effective upon publication. New or modified routine uses 
will be effective November 12, 2020.

ADDRESSES: You may submit comments, identified by docket number DHS-
2020-0005 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Constantina Kozanas, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528-0655.
    Instructions: All submissions received must include the agency name 
and docket number DHS-2020-0005. All comments received will be posted 
without change to http://www.regulations.gov, including any personal 
information provided.
    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 and privacy questions, 
please contact: Constantina Kozanas, 202-343-1717, [email protected], 
Chief Privacy Officer, Privacy Office, Department of Homeland Security, 
Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    The Department of Homeland Security requires certain individuals, 
such as employees and contractors, to undergo a background 
investigation prior to being granted access to DHS information and 
facilities. Some DHS components have delegated authority from the 
Office of Personnel Management as the Suitability Executive Agent and 
the Office of the Director of National Intelligence as the Security 
Executive Agent to conduct their own personnel security investigations. 
This system of records covers background investigations completed by 
those DHS components with delegated authority (e.g., CBP, ICE), and 
adjudications of background investigations for all DHS personnel.\1\ 
DHS is modifying and reissuing DHS/ALL-023 Personnel Security 
Management SORN. DHS and its components and offices rely on this SORN 
for the collection and maintenance of records that pertain to personnel 
security management. The DHS/ALL-023 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. DHS is updating the purpose of this SORN to include:
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    \1\ Background investigations for all other components are 
conducted by the Department of Defense and fall under Personnel 
Vetting Records System, DUSDI 02-DoD, 83 FR 52420 (October 17, 
2018).
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     Adding the use of personnel security records to assess 
eligibility for Law Enforcement Officers Safety Act (LEOSA) 
Photographic identification cards.
     Adding the Prison Rape Elimination Act of 2003 (PREA) as 
an authority for collection.
     Updating the category of individuals to include those 
individuals who are seeking a credential that requires review of 
information contained in this system of records.
     Updating the categories of records to include publicly 
available information, such as information obtained from social media, 
that may be collected as part of the background investigation process, 
as described in Office of the Director of National Intelligence (ODNI) 
Security Executive Agent Directive (SEAD) 5; address and phone number 
for individuals; polygraph records; fingerprints and fingerprint 
records; and information about an individual's character reference(s). 
Additionally, DHS is updating the category of records to include 
information collected as part of the Department's compliance with the 
Prison Rape Elimination Act of 2003.
     Modifying routine uses E and F as required by OMB 
Memorandum M-17-12, modifying routine use J to clarify when DHS may 
share information from this SORN with a potential or current employer; 
and adding routine use M to document sharing with the National 
Counterintelligence and Security Center (NCSC) for the purpose of 
continuous evaluation.
     Updating the retention schedule to conform to the new 
General Records Schedule 5.6.
    This notice also includes non-substantive changes to simplify the 
formatting and text of the previously published notice.
    Consistent with DHS's information sharing mission, information 
stored in the DHS/ALL-023 Personnel Management System of Records may be 
shared with other DHS Components that have a need to know the 
information to carry out their national security, law enforcement, 
immigration, intelligence, or other homeland security functions. In 
addition, DHS may share information with appropriate federal, state, 
local, tribal, territorial, foreign, or international government 
agencies consistent with the routine uses set forth in this system of 
records notice.
    There will be no change to the Privacy Act exemptions currently in 
place for this system of records and therefore they

[[Page 64512]]

remain in effect. This updated system will continue to be included in 
DHS's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a 
statutory framework governing the means by which Federal Government 
agencies collect, maintain, use, and disseminate individuals' 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 retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. In the Privacy Act, 
an individual is defined to encompass U.S. citizens and lawful 
permanent residents. Additionally, the Judicial Redress Act (JRA) 
provides covered persons with a statutory right to make requests for 
access and amendment to covered records, as defined by the JRA, along 
with judicial review for denials of such requests. In addition, the JRA 
prohibits disclosures of covered records, except as otherwise permitted 
by the Privacy Act.
    Below is the description of the DHS/ALL-023 Personnel Security 
Management System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.

SYSTEM NAME AND NUMBER:
    Department of Homeland Security (DHS)/ALL-023 Personnel Security 
Management System of Records.

SECURITY CLASSIFICATION:
    Unclassified and classified.

SYSTEM LOCATION:
    Records are maintained at several DHS Headquarters locations and 
component offices in Washington, DC and field locations. For records on 
background investigations maintained and adjudicated by the Office of 
Personnel Management (OPM) or the Department of Defense's (DoD) Defense 
Counterintelligence and Security Agency, OPM or DoD's DCSA may retain 
copies of those records and files pursuant to their records retention 
schedules.

SYSTEM MANAGER(S):
    Enterprise Security Services Division (202-447-5010), Office of the 
Chief Security Officer, Department of Homeland Security, Washington, DC 
20528.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    8 U.S.C. 1357(g); 19 U.S.C. 1401(i); Prison Rape Elimination Act of 
2003, Public Law 108-79, 117 Stat. 972 (45 U.S.C. 15601 et seq.); 
Executive Order (E.O.) 9397, as amended by E.O. 13478; E.O. 10450; E.O. 
12968; E.O. 13467; E.O. 13764; E.O. 13869; 5 CFR 731; 5 CFR 732; 5 CFR 
736; Homeland Security Presidential Directive 12; SEAD 2; SEAD 4; SEAD 
5; SEAD 6; 6 CFR part 115; and Intelligence Community Directive 704.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to collect and maintain records of 
processing of personnel security-related clearance actions, to record 
suitability determinations, fitness determinations, whether security 
clearances are 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, 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; directing the clearance process for granting, suspending, 
revoking, and denying other federal, state, local, or foreign law 
enforcement officers the authority to enforce federal laws on behalf of 
DHS; managing state, local, tribal, and private sector clearance 
programs and contractor fitness programs; determining eligibility for 
credentials such as the Law Enforcement Officers Safety Act (LEOSA) 
Photographic identification card; determining eligibility for 
unescorted access to DHS-owned, DHS-occupied, or DHS-secured facilities 
or information technology systems; and/or other activities relating to 
personnel security management responsibilities at DHS.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this system include federal 
employees, applicants, excepted service federal employees, contractor 
employees, retired employees, and past employees providing support to 
DHS who require or required: (1) Unescorted access to DHS-owned 
facilities, DHS-controlled facilities, DHS-secured facilities, or 
commercial facilities operating on behalf of DHS; (2) access to DHS 
information technology (IT) systems and the systems' data; or (3) 
access to national security information, including classified 
information.
    Also covered are: (1) State, local, and tribal government personnel 
and private sector individuals who serve on an advisory committee or 
board sponsored by DHS; (2) federal, state, local, and foreign law 
enforcement personnel who apply for or are granted authority to enforce 
federal laws on behalf of DHS; and (3) individuals, including state, 
local, and tribal government personnel and private sector individuals, 
who are authorized by DHS to access Departmental facilities, 
communications security equipment, and/or information technology 
systems that process sensitive or classified national security 
information.

CATEGORIES OF RECORDS IN THE SYSTEM:
     Individual's name;
     Individual's address;
     Individual's phone number;
     Date and place of birth;
     Social Security number;
     Citizenship;
     Access Control Pass or Credential number;
     Facial photograph;
     Fingerprints and fingerprint records;
     Polygraph reports, polygraph charts, polygraph tapes, and 
notes from polygraph interviews or activities related to polygraph 
interviews;
     Records relating to the management and operation of DHS 
personnel security programs, including but not limited to:
    [cir] Completed standard form questionnaires such as SF-85, SF-85P, 
and SF-86;
    [cir] Originals or copies of background investigative reports;
    [cir] For individuals covered by the DHS PREA rule, information 
related to whether the individual has been convicted of engaging or 
attempting to engage in sexual activity facilitated by force, overt or 
implied threats of force, or coercion, or if the victim did not consent 
or was unable to consent or refuse; or who has been civilly or 
administratively adjudicated to have engaged in such activity;
    [cir] Supporting documentation related to the background 
investigations and adjudications including criminal background, 
medical, and financial data;
    [cir] Documentation related to an individual's character 
reference(s), including names, addresses, telephone numbers, and 
statements;
    [cir] Publicly available electronic information, including 
information obtained from social media;

[[Page 64513]]

    [cir] Information related to congressional inquiry; and
    [cir] 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:
    [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.
     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.
     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 (e.g., travel records 
obtained as part of continuous evaluation); and
    [cir] Intelligence reports and database results relating to DHS 
personnel, applicants, or candidates for DHS employment or access to 
DHS facilities or information.

RECORD SOURCE CATEGORIES:
    Records are generated from the individual receiving the background 
investigation, relevant law enforcement databases, publicly available 
electronic information, and from sources contacted during personnel and 
background investigations.

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 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 the Department of Justice (DOJ), including the U.S. Attorneys 
Offices, or other federal agencies conducting litigation or proceedings 
before any court, adjudicative, or administrative body, when it is 
relevant or 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 or former employee of DHS in his/her official 
capacity;
    3. Any employee or former employee of DHS in his/her individual 
capacity, only when DOJ or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.
    B. 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.
    C. To the National Archives and Records Administration (NARA) or 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. secs. 2904 
and 2906.
    D. To an agency or organization 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 there has been a breach of the system of 
records; (2) DHS has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, DHS (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 DHS's efforts to respond to the suspected or confirmed 
breach or to prevent, minimize, or remedy such harm.
    F. To another Federal agency or Federal entity, when DHS 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.
    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, when 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 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.
    I. 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, delegation or designation of authority, 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, delegation 
or designation of authority, or other benefit and disclosure is 
appropriate to the proper performance of the official duties of the 
person making the request.
    J. To a prospective or current employer that has, or is likely to 
have, access to any government facility, information, equipment, 
network, or system, to the extent necessary to determine the employment 
eligibility of an individual, based on actions taken by the Department 
pursuant to a personnel security matter involving the individual.
    K. 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; in connection with criminal law proceedings; or pursuant

[[Page 64514]]

to the order of a court of competent jurisdiction.
    L. 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.
    M. 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.
    N. To the National Counterintelligence and Security Center (NCSC) 
to assist in the ongoing review of an individual's eligibility for 
access to classified information or to hold a sensitive position.
    O. To the news media and the public, with the approval of the Chief 
Privacy Officer in consultation with counsel, when there exists a 
legitimate public interest in the disclosure of the information, when 
disclosure is necessary to preserve confidence in the integrity of DHS, 
or when disclosure is necessary to demonstrate the accountability of 
DHS's officers, employees, or individuals covered by the system, except 
to the extent the Chief Privacy Officer determines that release of the 
specific information in the context of a particular case would 
constitute an unwarranted invasion of personal privacy.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    DHS stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, and digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    DHS may be retrieve records by individual's name, date of birth, 
Social Security number, if applicable, or other unique individual 
identifier such as access control pass or credential number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Pursuant to GRS 5.6, Items 170 through 200, records relating to 
persons who were not granted security clearances are destroyed one year 
after consideration of the candidate ends, but longer retention is 
authorized if required for business use. Records related to individuals 
granted a clearance are destroyed five years after employee or 
contractor relationship ends, but longer retention is authorized if 
required for business use. Records related to alleged security 
violations are destroyed five years after closure of case or final 
action, whichever is sooner, but longer retention is authorized if 
required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DHS safeguards records in this system according to applicable rules 
and policies, including all applicable DHS automated systems security 
and access policies. DHS has imposed strict controls 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 or permissions.

RECORD ACCESS PROCEDURES:
    The Secretary of Homeland Security has exempted this system from 
the notification, access, and amendment procedures of the Privacy Act, 
and the Judicial Redress Act if applicable, because it is a law 
enforcement system. However, DHS will consider individual requests to 
determine whether or not information may be released. Thus, individuals 
seeking access to and notification of any record contained in this 
system of records, or seeking to contest its content, may submit a 
request in writing to the Chief Privacy Officer and Chief Freedom of 
Information Act (FOIA) Officer, whose contact information can be found 
at http://www.dhs.gov/foia under ``Contact Information.'' 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 and Chief Freedom of Information Act Officer, 
Department of Homeland Security, Washington, DC 20528-0655. Even if 
neither the Privacy Act nor the Judicial Redress Act provide a right of 
access, certain records about you may be available under the Freedom of 
Information Act.
    When an individual is seeking records about himself or herself from 
this system of records or any other Departmental system of records, the 
individual's request must conform with the Privacy Act regulations set 
forth in 6 CFR part 5. The individual must first verify his/her 
identity, meaning that the individual must provide his/her full name, 
current address, and date and place of birth. The individual must sign 
the request, and the individual's 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, an individual may obtain forms for this 
purpose from the Chief Privacy Officer and Chief Freedom of Information 
Act Officer, http://www.dhs.gov/foia or 1-866-431-0486. In addition, 
the individual should:
     Explain why he or she believes the Department would have 
information being requested;
     Identify which component(s) of the Department he or she 
believes may have the information;
     Specify when the individual believes the records would 
have been created; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records;
    If the request is seeking records pertaining to another living 
individual, the requester must include an authorization from the second 
individual certifying his/her agreement for the requester to access 
his/her records.
    Without the above information, the component(s) may not be able to 
conduct an effective search, and the individual's request may be denied 
due to lack of specificity or lack of compliance with applicable 
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered JRA records, 
individuals may make a request for amendment or correction of a record 
of the Department about the individual by writing directly to the 
Department component that maintains the record, unless the record is 
not subject to amendment or correction. The request should identify 
each particular record in question, state the amendment or correction 
desired, and state why the individual believes that the record is not 
accurate, relevant, timely, or complete. The individual may submit any 
documentation that would be helpful. If the individual believes that 
the same record is in more than one system of records, the request 
should state that and be addressed to each component that maintains a 
system of records containing the record.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

[[Page 64515]]

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

HISTORY:
    DHS/ALL-023 Personnel Security Management System of Records, 74 FR 
3084 (January 16, 2009), 75 FR 8088 (February 23, 2010); Implementation 
of Exemptions, DHS/ALL-023 Personnel Security Management System of 
Records, 74 FR 50904 (October 1, 2009).

Constantina Kozanas,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2020-22536 Filed 10-9-20; 8:45 am]
BILLING CODE 9110-9B-P