[Federal Register: October 30, 2006 (Volume 71, Number 209)]
[Notices]               
[Page 63329-63332]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr30oc06-107]                         

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

DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[DHS-2006-0041]

 
Privacy Act of 1974; System of Records

AGENCY: Office of the Chief Human Capital Officer; 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 proposes to add a new system of records to the 
Department's inventory, entitled ``the MaxHR e-Performance Management 
System.'' This system is an employee performance management e-tool that 
will standardize and automate related human resources functions that 
will support a portion of the Department's MaxHR program. This program 
will support the Department's ability to continue to attract, retain, 
and reward a robust and highly qualified workforce by transforming DHS 
human resources policies, processes, systems, streamlining business 
processes, and consolidating several disparate systems currently in 
operation. Implementation of the the MaxHR e-Performance Management 
System will provide greater flexibility and accountability in the way 
employees are paid, developed, and evaluated. Employees, through a 
password protected portal, can access the system to initiate each step 
in the performance cycle, including

[[Page 63330]]

performance planning, quarterly reviews, and performance appraisals. 
Supervisors will utilize various features of the system to review 
employees' performance, determine completion of goals, and complete 
performance appraisals. Each step in the performance management cycle, 
as reflected in the automated system, will serve as a catalyst for 
increased communication between supervisor and employees to enhance 
performance and ensure that work is accomplished in an efficient and 
effective manner.

DATES: The new system of records will be effective November 29, 2006, 
unless comments are received that result in a contrary determination.

ADDRESSES: You may submit comments, identified by docket number DHS-
2006-0041, by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 

Follow the instructions for submitting comments.
     FAX: 202-357-8474 (Not a toll-free number).
     Mail: John S. Allen, U.S. Department of Homeland Security, 
Director of Human Capital Business Systems, Office of the Chief Human 
Capital Officer, 245 Murray Lane, SW., Building 410, Washington, DC 
20528; or E-mail: John.s.allen@dhs.gov.

FOR FURTHER INFORMATION CONTACT: John S. Allen, U.S. Department of 
Homeland Security, Office of the Chief Human Capital Officer, Human 
Capital Business Systems, 245 Murray Lane, SW., Building 410, 
Washington, DC 20528; or Shila Ressler, U.S. Department of Homeland 
Security, Executive Secretariat-Management, Washington, DC 20393. For 
privacy issues please contact: Hugo Teufel III (571-227-3813), Chief 
Privacy Officer, Privacy Office, U.S. Department of Homeland Security, 
Washington, DC 20528.

SUPPLEMENTARY INFORMATION:
    The Department of Homeland Security (DHS), Office of the Chief 
Human Capital Officer (OCHCO), is publishing a Privacy Act System of 
Records Notice to cover its collection, use, and maintenance of records 
relating to its performance management responsibilities 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 Department has been relying on 
legacy Privacy Act systems for this purpose, including Office of 
Personnel Management's (OPM) Government 2--Employee Performance File 
System of Records.
    The MaxHR Program was established by DHS to implement the human 
capital provisions of the Homeland Security Act of 2002. The MaxHR 
program is a collection of functions and systems centered on a core 
enterprise entitled the Human Resource Management System. A primary 
component of this overall system is an electronic performance 
management program based on pay-for-performance principles. Each 
employee's goals are cascaded down from the organization's goals. By 
using this approach, each employee's individual work plan is linked to 
the organization's goals.
    DHS developed the MaxHR ePerformance Management System (``the 
ePerformance System'') to facilitate the implementation and management 
of this new automated pay-for-performance program. The ePerformance 
System is designed to support the ongoing review and evaluation of 
employees by their supervisors. This system collects personally 
identifiable data from DHS employees, including their full name, Social 
Security number, pay plan, grade, step, series, supervisory code, 
organizational code, employee status, probationary dates, and duty 
locations. The ePerformance tool will be used to set and communicate 
performance expectations; monitor performance and provide feedback; 
develop performance goals; complete the appraisal process; address poor 
performance and reward good performance; and produce performance-
related reports. The new system will replace current performance 
management systems that are largely paper-based and that do not 
adequately support the new MaxHR program requirements for pay-for-
performance.
    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the U.S. 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 such as property 
address, mailing address, symbol, or other identifying particular 
assigned to the individual. The MaxHR Performance 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 MaxHR e-Performance Management System.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this new system of records to the Office of Management and Budget and 
to Congress.
DHS/OCHCO-001

System Name:
    MAXHR ePerformance Management System.

Security Classification:
    Unclassified but sensitive.

System Location:
    The system is located at ServerVault, 1506 Moran Road, Dulles, VA 
20166.

Categories of Individuals Covered by the System:
    Department of Homeland Security managers, supervisors, and non-
bargaining unit employees.

Categories of Records in the System:
    The following records are maintained in the ePerformance system: 
personnel position information, such as position title, name, Social 
Security number, occupational series, grade, organization, component 
and duty location; information related to employee performance, 
including performance goals and competencies, performance appraisals, 
individual development plans, and notes regarding employee performance.

Authority for Maintenance of the System:
    Homeland Security Act of 2002 at Section 841; 5 U.S.C. 9701(a); 5 
CFR 9701; DHS Management Directive 3181.

Purpose(s):
    The MaxHR ePerformance Management System will help DHS meet its 
critical mission needs by transforming disparate paper-based and 
automated performance management systems into one cohesive, unified 
enterprise-wide electronic system. The ePerformance System will be used 
to set and communicate performance expectations; monitor performance 
and provide feedback; develop performance goals; complete the appraisal 
process; address poor performance and reward good performance; and 
produce performance-related reports. By leveraging technology to 
transform a wide variety of processes and systems, the end result will 
be greater flexibility and accountability in the way

[[Page 63331]]

employees are paid, developed, and evaluated.

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 as follows:
    A. To the National Finance Center, United States Department of 
Agriculture, to update employee personnel records and meet government 
record keeping and reporting requirements.
    B. When a record, either on its face on in conjunction with other 
information, indicates a violation or potential violation of law, 
whether criminal, civil or administrative, the relevant records may be 
referred to an appropriate Federal, State, territorial, tribal, local, 
international, or foreign law enforcement agency or other appropriate 
authority charged with investigating or prosecuting such a violation or 
enforcing or implementing such law.
    C. To a Federal, state, tribal, local or foreign government agency 
or professional licensing authority in response to its request, in 
connection with 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 or status of a license, 
grant, or other benefit by the requesting entity, to the extent that 
the information is relevant and necessary to the requesting entity's 
decision on the matter.
    D. To the news media and the public where there exists a legitimate 
public interest in the disclosure of the information or when disclosure 
is necessary to preserve confidence in the integrity of the Department 
or is necessary to demonstrate the accountability of the Department's 
officers, employees, or individuals covered by the system, except to 
the extent it is determined that release of the specific information in 
the context of a particular case would constitute an unwarranted 
invasion of personal privacy.
    E. To the National Archives and Records Administration or other 
federal government agencies in records management inspections conducted 
under the authority of 44 U.S.C. 2904 and 2906.
    F. 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.
    G. To the Department of Justice (DOJ) or other Federal agency 
conducting litigation or in proceedings before any court, adjudicative 
or administrative body, when: (a) DHS, or (b) any employee of DHS in 
his/her official capacity, or (c) any employee of DHS in his/her 
individual capacity where DOJ or DHS has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation, and DHS 
determines that disclosure is relevant and necessary to the litigation.
    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 an agency, organization, or individual for the purposes of 
performing audit or oversight operations as authorized by law.
    J. To the Equal Employment Opportunity Commission, Merit Systems 
Protection Board, Office of the Special Counsel, Federal Labor 
Relations Authority, or Office of Personnel Management or to 
arbitrators and other parties responsible for processing any personnel 
actions or conducting administrative hearings or appeals, or if needed 
in the performance of authorized duties.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Data is stored in a commercial database management system, 
(Microsoft SQL Server) located at ServerVault, 1506 Moran Road, Dulles, 
VA 20166. The magnetic storage devices used to store the database are 
located in a locked vault, accessed only by authorized personnel. The 
storage media is further protected from loss or damage due to media 
failure using redundant storage technology that simultaneously updates 
a backup copy of the database.

Retrievability:
    Data may be retrieved by the individual's name, Social Security 
number, or other assigned personal identifier.

Safeguards:
    Information in this system is safeguarded in accordance with 
applicable laws, rules, and policies, including the DHS Information 
Technology Security Program Handbook. 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,'' using locks and 
password protection identification features. DHS file areas are locked 
after normal duty hours and the facilities are protected from the 
outside by security personnel.
    Further system and data safeguards are outlined in detail in the 
System Security Plan developed by DHS and Softscape (Automated Service 
Provider makers of commercial off the shelf software) and ServerVault 
(the hosting center). Additionally, DHS's Privacy Office is reissuing 
the ePerformance Privacy Impact Assessment (PIA) with the issuance of 
this notice. The PIA can be accessed at http://www.dhs.gov/privacy.


Retention and Disposal:
    The General Records Schedule specifies that performance records for 
non-Senior Executive Service employees should be destroyed when four 
(4) years old or no longer needed; for Senior Executive Service 
employees, when five (5) years old or no longer needed. OCHCO will 
follow this and the NARA guidance on Employee Performance File System 
Records.

System Manager(s) and Address:
    John S. Allen, U.S. Department of Homeland Security, Chief Human 
Capital Officer, Human Capital Business Systems, 1201 New York Avenue, 
NW., Suite 1200, Washington, DC, 20005; or Shila Ressler, U.S. 
Department of Homeland Security, Executive Secretariat--Management, 
Washington, DC 20393.

Notification and Procedure:
    To determine whether this system contains records relating to you, 
write to the System Manager identified above.

Record Access Procedure:
    A request for access to records in this system may be made by 
writing to the System Manager, identified above, or to the Director for 
Departmental Disclosure and FOIA in conformance with 6 CFR part 5, 
subpart B, which provides the rules for requesting access to Privacy 
Act records maintained by DHS.

Contesting Record Procedures:
    See ``Notification Procedure'' above.

[[Page 63332]]

Record Source Categories:
    Records are obtained from employees, supervisors, and the National 
Finance Center.

Exemption Claimed for the System:
    None.

    Dated: October 17, 2006.
Hugo Teufel III,
Chief Privacy Officer.
[FR Doc. E6-17949 Filed 10-27-06; 8:45 am]

BILLING CODE 4410-10-P