[Federal Register: September 19, 2006 (Volume 71, Number 181)]
[Notices]
[Page 54834-54836]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr19se06-55]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4922-N-22]
Privacy Act of 1974; New System of Records, Personnel Security
Files
AGENCY: Office of the Chief Information Officer, HUD.
ACTION: Notification of a new Privacy Act System of Records, Personnel
Security Files.
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SUMMARY: HUD is creating a new Privacy Act System of Records, Personnel
Security Files. The records in this system of records are used to
document and support decisions regarding clearance for access to
classified information, the suitability, eligibility, and fitness for
service of applicants for federal employment and contract positions,
including students, interns, or volunteers to the extent their duties
require access to federal facilities, information, systems, or
applications. The records may be used to document security violations
and supervisory actions taken.
DATES: Effective Date: This proposal shall become effective without
further notice in 30 calendar days, October 19, 2006, unless comments
are received during or before this period which would result in a
contrary determination.
Comments Due Date: October 19, 2006.
ADDRESSES: Interested persons are invited to submit comments regarding
this notice to the Rules Docket Clerk, Office of General Counsel,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Room 10276, Washington, DC 20410-0500. Communications should refer to
the above docket number and title. Facsimile (FAX) comments are not
acceptable. A copy of each communication submitted will be available
for public inspection and copying between 8 a.m. and 5 p.m. weekdays at
the above address.
FOR FURTHER INFORMATION CONTACT: Jeanette Smith, Departmental Privacy
Act Officer, telephone number (202) 708-2374. [This is not a toll-free
number.] A telecommunications device for hearing and speech-impaired
persons (TTY) is available at (800) 877-8339 (Federal Information Relay
Services). [This is a toll-free number.]
SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5
U.S.C. 552a), as amended, notice is given that HUD proposes to create a
new Privacy Act System of Records, Personnel Security Files.
Title 5 U.S.C. 552a(e)(4) and (11) provide that the public be
afforded a 30-day period in which to comment on the new record system.
The new system report was submitted to the Office of Management and
Budget (OMB), the Senate Committee on Governmental Affairs, and the
House Committee on Governmental Reform pursuant to paragraph 4c of
Appendix 1 to OMB Circular No. A-130, ``Federal Responsibilities for
Maintaining Records About Individuals,'' July 25, 1994 (59 FR 37914).
Accordingly, this notice creates a new system of records for the
Office of Administration and accompanying routine uses to be submitted
and accessed in the management of the Personnel Security Files.
Dated: September 12, 2006.
Ed Dorris,
Deputy Chief Information Officer, Office of Systems Integration and
Efficiency.
HUD/ADMIN-6
System Name:
Personnel Security Files.
System Location:
HUD Headquarters.
Security Classification:
Most personnel identity verification records are not classified.
However, in some cases, records of certain individuals, or portions of
some records, may be classified in the interest of national security.
Categories Of Individuals Covered By The System:
Individuals who require regular, ongoing access to federal
facilities,
[[Page 54835]]
information technology systems, or information classified in the
interest of national security, including applicants for employment or
contracts, federal employees, contractors, students, interns,
volunteers, affiliates, individuals authorized to perform or use
services provided in HUD facilities (e.g., Credit Union, Fitness
Center, etc.), and individuals formerly in any of these positions. The
system also includes individuals accused of security violations or
found in violation.
Categories Of Records In The System:
Name, former names, birth date, birth place, Social Security
number, home address, phone numbers, employment history, residential
history, education and degrees earned, names of associates and
references and their contact information, citizenship, names of
relatives, birthdates and birth places of relatives, citizenship of
relatives, names of relatives who work for the Federal government,
criminal history, mental health history, drug use, financial
information, fingerprints, summary report of investigation, results of
suitability decisions, level of security clearance, date of issuance of
security clearance, requests for appeal, witness statements,
investigator's notes, tax return information, credit reports, security
violations, circumstances of violation, and agency action taken.
Authority For Maintenance Of The System:
Depending upon the purpose of your investigation, the U.S.
government is authorized to ask for this information under Executive
Orders 10450, 10865, 12333, and 12356; sections 3301 and 9101 of title
5, U.S. Code; sections 2165 and 2201 of title 42, U.S. Code; sections
781 to 887 of title 50, U.S. Code; parts 5, 732, and 736 of title 5,
Code of Federal Regulations; and Homeland Security Presidential
Directive (HSPD) 12, Policy for a Common Identification Standard for
Federal Employees and Contractors, August 21, 2004.
Forms: SF-85, SF-85P, SF-86, SF-87.
Purpose(S):
The records in this system of records are used to document and
support decisions regarding the suitability, eligibility, and fitness
for service of applicants for federal employment and contract
positions, including long-term students, interns, or volunteers to the
extent their duties require access to federal facilities, information,
systems, or applications. For some positions, the records may also be
used to document and support decisions regarding National Security
Clearance for access to classified information. 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:
1. To the Department of Justice when:
(a) The agency or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
(c) Any employee of the agency in his or her individual capacity
where agency or the Department of Justice has agreed to represent the
employee; or
(d) The United States Government, is a party to litigation or has
an interest in such litigation, and by careful review, the agency
determines that the records are both relevant and necessary to the
litigation and the use of such records by DOJ is therefore deemed by
the agency to be for a purpose compatible with the purpose for which
the agency collected the records.
2. To a court or adjudicative body in a proceeding when:
(a) The agency or any component thereof;
(b) Any employee of the agency in his or her official capacity;
(c) Any employee of the agency in his or her individual capacity
where agency or the Department of Justice has agreed to represent the
employee; or
(d) The United States Government, is a party to litigation or has
an interest in such litigation, and by careful review, the agency
determines that the records are both relevant and necessary to the
litigation and the use of such records is therefore deemed by the
agency to be for a purpose that is compatible with the purpose for
which the agency collected the records.
3. Except as noted on Forms SF-85, 85-P, and 86, when a record on
its face, or in conjunction with other records, indicates a violation
of law, whether civil, criminal, or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule, or order issued pursuant thereto, disclosure may be
made to the appropriate public authority, whether Federal, foreign,
State, local, or tribal, or otherwise, enforcing or implementing the
statute, or rule, regulation, or order issued pursuant thereto, if the
information disclosed is relevant to any enforcement, regulatory,
investigative or prosecutorial responsibility of the receiving entity.
4. To a Member of Congress or to a Congressional staff member in
response to an inquiry of the Congressional office made at the written
request of the constituent about whom the record is maintained.
5. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
6. To HUD contractors, grantees, or volunteers who have been
engaged to assist the agency in the performance of a contract service,
grant, cooperative agreement, or other activity related to this system
of records and who need to have access to the records in order to
perform their activity. Recipients shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
7. 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.
8. To a Federal, State, local, foreign, or tribal or other public
authority the fact that this system of records contains information
relevant to the retention of an employee, the retention of a security
clearance, the letting of a contract, or the issuance or retention of a
license, grant, or other benefit. The other agency or licensing
organization may then make a request supported by the written consent
of the individual for the entire record if it so chooses. No disclosure
will be made unless the information has been determined to be
sufficiently reliable to support a referral to another office within
the agency or to another Federal agency for criminal, civil,
administrative personnel or regulatory action.
9. To the news media or the general public, factual information the
disclosure of which would be in the public interest and which would not
constitute an unwarranted invasion of personal privacy, consistent with
Freedom of Information Act standards.
10. 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
[[Page 54836]]
approved by the Attorney General and promulgated pursuant to such
statutes, orders or directives.
11. To the Office of Management and Budget when necessary to the
review of private relief legislation pursuant to OMB Circular No. A-19.
Policies And Practice For Storing, Retrieving, Accessing, Retaining And
Disposing Of Records In The System:
Storage:
Records are stored on paper and electronically in a secure
location.
Retrievability:
Background investigation files are retrieved by name, Social
Security number (SSN), or fingerprint.
Safeguards:
For paper records: Comprehensive paper records are kept in locked
metal file cabinets in locked rooms in HUD Headquarters, in the Office
of Security and Emergency Planning, which is the office responsible for
suitability determinations. Some paper records (limited in number and
scope) are kept in the HUD's Regional Human Resources in locked metal
file cabinets in locked rooms. Access to the records is limited to
those employees who have a need for them in the performance of their
official duties.
For electronic records: Comprehensive electronic records are kept
in the Office of Security and Emergency Planning. Access to the records
is restricted to those with specific role in the PIV process that
requires access to background investigation forms to perform their
duties, and who have been given a password to access that part of the
system including background investigation records. An audit trail is
maintained and reviewed periodically to identify unauthorized access.
Persons given roles in the PIV process must complete training specific
to their roles to ensure they are knowledgeable about how to protect
individually identifiable information.
Retention And Disposal:
These records are retained and disposed of in accordance with
General Records Schedule 18, item 22a, approved by the National
Archives and Records Administration (NARA). The records are disposed in
accordance with HUD's disposal policies. Records are destroyed upon
notification of death, or not later than five years after separation or
transfer of employee to another agency or department, whichever is
applicable.
System Manager(S) And Address:
Director, Office of Security and Emergency Planning, 451 Seventh
Street, SW., Washington, DC 20410.
Notification And Record Access Procedures:
Individuals seeking to determine whether this system of records
contains information about them, or those seeking access to such
records, should address inquiries to the Director, Office of Security
and Emergency Planning, 451 Seventh St., SW., Washington, DC 20410.
Written requests must include the full name, current address, and
telephone number of the individual making the request, including a
description of the requester's relationship to the information in
question. The System Manager will accept inquiries from individuals
seeking notification of whether the system contains records pertaining
to them.
Contesting Record Procedures:
The procedures for requesting amendment or correction of records
appear in 24 CFR 16. If additional information or assistance is
required, contact the Privacy Act Appeals Officer, Office of General
Counsel, Department of Housing and Urban Development, 451 Seventh
Street, SW., Washington, DC 20410
Record Source Categories:
Depending on the level of background investigation being conducted,
information may be obtained from a variety of sources, including the
employee, contractor, or applicant via use of the SF-85, SF-85P, or SF-
86, as well as personal interviews; employers' and former employers'
records; FBI criminal history records and other databases; financial
institutions and credit reports; medical records and health care
providers; educational institutions; interviews of witnesses such as
neighbors, friends, co-workers, business associates, teachers,
landlords, or family members; tax records; and other public records.
Security violation information is obtained from a variety of sources,
such as guard reports, security inspections, witnesses, supervisor's
reports, audit reports.
Systems Exempted From Certain Provisions Of The Privacy Act:
Upon publication of a final rule in the Federal Register, this
system of records will be exempt in accordance with 5 U.S.C.
552a(k)(5). Information will be withheld to the extent it identifies
witnesses promised confidentiality as a condition of providing
information during the course of the background investigation.
[FR Doc. E6-15492 Filed 9-18-06; 8:45 am]
BILLING CODE 4210-67-P