Privacy Act of 1974; System of Records, 35161-35164 [E9-17150]

Agencies

• DEPARTMENT OF DEFENSE
• Office of the Secretary

[Federal Register Volume 74, Number 137 (Monday, July 20, 2009)]
[Notices]
[Pages 35161-35164]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-17150]


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DEPARTMENT OF DEFENSE

Office of the Secretary

[Docket ID DOD-2009-OS-0106]


Privacy Act of 1974; System of Records

AGENCY: Office of the Secretary, DoD.

ACTION: Notice to alter a system of records.

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SUMMARY: The Office of the Secretary of Defense is proposing to alter 
DHRA 02 systems of records notice in its existing inventory of record 
systems subject to the Privacy Act of 1974, (5 U.S.C. 552a), as 
amended.

DATES: This proposed action will be effective without further notice on 
August 19, 2009 unless comments are received which result in a contrary 
determination.

ADDRESSES: Send comments to the Privacy Act Officer, Freedom of 
Information Directorate, Washington Headquarters Services, 1155 Defense 
Pentagon, Washington, DC 20301-1155.

FOR FURTHER INFORMATION CONTACT: Mrs. Cindy Allard at (703) 588-6830.

SUPPLEMENTARY INFORMATION: The Office of the Secretary of Defense 
systems of records notices subject to the Privacy Act of 1974, (5 
U.S.C. 552a), as amended, have been published in the Federal Register 
and are available from the address above.
    The proposed system report, as required by 5 U.S.C. 552a(r) of the 
Privacy Act of 1974, as amended, was submitted on July 13, 2009 to the 
House Committee on Oversight and Government Reform, the Senate 
Committee on Homeland Security and Governmental Affairs, and the Office 
of Management and Budget (OMB) pursuant to paragraph 4c of Appendix I 
to OMB Circular No. A-130, `Federal Agency Responsibilities for 
Maintaining Records About Individuals,' dated February 8, 1996 
(February 20, 1996, 61 FR 6427).

    Dated: July 13, 2009.
Morgan E. Frazier,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
DHRA 02

System Name:
    PERSEREC Research Files (November 29, 2002, 67 FR 69205).

Changes:
* * * * *

Categories of individuals covered by the system:
    Delete entry and replace with ``Present and former Executive branch 
civilian employees, military members, contractor employees and all 
others who have had or applied for security clearances, positions with 
the Federal government that require background investigations, or 
government identification cards that would grant them access to 
information technology systems and/or unescorted access to government 
facilities.''

Categories of records in the system:
    Delete entry and replace with ``Applications, adjudication 
information, and records identifying people authorized to hold Federal 
positions of trust, granted access, or access eligibility to sensitive 
information, facilities, materials, or systems.
    Results of record checks to meet investigative standards or 
accomplish continuous evaluation, such as checks addressing criminal 
history, financial behavior, employment, education, investigative, 
immigration, pay and personnel records, records of foreign travel and 
foreign contacts, and asset ownership.
    Information in this system includes background investigation 
reports; reference interview documentation, recommendations, and 
comments; dates and reports of subject interviews; results of subject 
interrogatories; security violations; data relating to misuse of 
information technology systems; pre-employment investigations reports 
and results of record checks required to test new investigative 
sources.
    Dates and types of past investigations, access granted based on 
qualifying investigations, denials, revocations, debarments, 
administrative actions, and other adverse actions based on adjudication 
of investigations; and responses from personnel security-related 
interviews.
    Data is also derived from responses to questions contained on 
future, current, and prior personnel security related questionnaires. 
Agency Use Block (AUB) question responses include type of investigation 
requested, case number, extra coverage/advance results, sensitivity 
level, access/eligibility, nature and date of action, geographic 
location, position code and title, Submitting Office Number (SON), 
location of official personnel folder, Security Office Identifier 
(SOI), use of the Intra-governmental Payment and Collection (IPAC) 
system, Treasury Account Symbol (TAS), obligating document number, 
Business Event Type Code (BETC), investigative requirement, requesting 
officials' name, title, email address, phone number, and applicant 
affiliation.
    Data derived from responses to questions contained on future, 
current, and prior personnel security related questionnaires provided 
by filers include name, Social Security Number (SSN); current home 
address, telephone number, home e-mail, cell/mobile phone number; date 
and place of birth, gender, other names used, citizenship, mother's 
maiden name; U.S. passport number and issue date, alien registration 
number, previous addresses and dates of residence.
    Educational data on schools and dates of attendance; conduct 
information that include, disciplinary actions, transcripts, 
commendations, degrees, certificates, subject's explanations regarding 
education conduct.
    References that consist of name, current address, phone number, and 
e-mail address.
    Current and previous employment information that consists of 
employer name, dates employed, address; name and phone number of 
supervisor. Conduct information that includes disciplinary actions, 
dates and reason for termination; performance evaluation; and subject's 
explanations regarding employment conduct. Employment reference names, 
current address, phone number and e-mail address.
    Selective Service record, military history, and conduct 
information.
    Responses from questionnaires that include the individual's 
physical description of height, weight, hair, and eye color. Date of 
marriage, separation, and divorce information including spouse or 
cohabitant name, Social Security Number (SSN), date and place of birth, 
citizenship of spouse, former spouse, or cohabitant. Relative's names, 
relationship, date, place of birth, citizenship, and current addresses.
    Foreign contact and activities information that include names, 
dates of individuals known, country(ies) of citizenship, country of 
residence, type and nature of contact, financial

[[Page 35162]]

interests, assets, benefits from foreign governments.
    Additionally, responses to questions about the respondent's mental 
health and emotional health are in this system. Information that 
pertains to police records, use of alcohol, other illegal drugs, and 
use of information technology systems.
    U.S. and foreign finance and real estate information that consists 
of names of financial institutions, number of accounts held, monthly 
and year-end account balances for bank and investment accounts, 
address, year of purchase and price, capital investment costs, lease or 
rental information, year of lease or rental, and monthly payments.
    Information on leased vehicles, boats, airplanes and other U.S. and 
foreign assets that include type, make model/year, plate or 
identification number, year leased, monthly rental payment; year of 
purchase and price, and year-end fair market value.
    U.S. and foreign mortgages, loans, and liabilities information that 
consist of type of loan, name and address of creditor, original 
balance, monthly and year-end balance, monthly payment, payment 
history, and name and address of institution where safe deposit box is 
located.''

Authority for maintenance of the system:
    Delete entry and replace with ``E.O. 13467, Reforming Processes 
Related to Suitability for Government Employment, Fitness for 
Contractor Employees, and Eligibility for Access to Classified National 
Security Information; E.O. 12968, Access to Classified Information; 50 
U.S.C. 781-887, Internal Security Act of 1950; E.O. 10450, Security 
Requirements for Government Employment; E.O. 10865, Safeguarding 
Classified Information Within Industry; E.O. 12333, United States 
Intelligence Activities; E.O. 13470, Further Amendments to Executive 
Order 12333; E.O. 12958, Classified National Security Information; 5 
U.S.C. 9101, Access to Criminal History Information for National 
Security and Other Purposes; and 5 U.S.C. 301, Departmental 
Regulations, which authorizes DoD Directive 5200.2-R, DoD Personnel 
Security Program Regulation, Memorandum of Agreement assigning mission 
and support functions to the Defense Personnel Security Research Center 
between the Under Secretary of Defense for Personnel and Readiness and 
the Assistant Secretary of Defense for Command, Control, Communications 
and Intelligence dated 8/12/2000, and E.O. 9397 (SSN).''

Purpose(s):
    Delete entry and replace with ``To perform research, development, 
and analyses for: (1) Evaluating and improving DoD and Federal 
personnel security and other background vetting procedures, programs, 
and policies; (2) assisting in providing training, instruction, advice 
on personnel security, and continuing reliability of subjects for DoD 
Components and other elements of the Federal government; (3) 
encouraging cooperative research within and among DoD Components, the 
Intelligence Community, and the Executive branch on the projects having 
DoD or Federal government-wide implications in order to avoid 
duplication; (4) addressing items of special interest to personnel 
security officials within DoD Components, the Intelligence Community, 
and the Executive branch; and (5) identifying areas in the personnel 
security, suitability, fitness, and military accessions fields that 
warrant more intense scrutiny; and (6) conducting personnel security, 
suitability, and fitness pilot test projects.''

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Delete entry and replace with ``In addition to those disclosures 
generally permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, 
these records contained therein may specifically be disclosed outside 
the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    To Federal, State, and local government agencies, if necessary, to 
obtain information from them, which will assist PERSEREC in identifying 
areas in the personnel security field that may warrant more training, 
instruction, research, or intense scrutiny. This would typically 
involve obtaining nationwide statistical data or relevant information 
at the unit or individual level on a specific security issue (i.e., 
financial, criminal, alcohol, etc.) or set of issues that could be used 
to assist an investigator or adjudicator in evaluating an individual's 
conduct.
    To Federal Bureau of Investigation and U.S. Office of Personnel 
Management counterintelligence personnel to assist them with their 
investigations and inquires.
    To the Office of Personnel Management and other Federal government 
agencies responsible for conducting background investigations in order 
to provide them with information relevant to their inquiries and 
investigations.
    The DoD `Blanket Routine Uses' set forth at the beginning of the 
OSD compilation of systems of records notices apply to this system.''
* * * * *

Storage:
    Delete entry and replace with ``Paper records maintained in file 
folders and electronic storage media.''

Retrievability:
    Delete entry and replace with ``Records may be retrieved by name 
and Social Security Number (SSN).''

Safeguards:
    Delete entry and replace with ``Records are stored under lock and 
key, in secure containers, or on electronic media with intrusion 
safeguards. Access to these investigative and clearance records 
(although usually not classified) is limited only to staff who have a 
need to know, who have been investigated, granted the requisite 
security clearance eligibility level, and who have been advised as to 
both the sensitivity of these records and of their responsibility for 
safeguarding the information contained in them from unauthorized 
disclosure.''
* * * * *

Record access procedures:
    Delete entry and replace with ``Individuals seeking access to 
information about themselves contained in this system of records should 
address written inquires to the Office of the Secretary of Defense/
Joint Staff Freedom of Information Act Requester Service Center, Office 
of Freedom of Information, 1155 Defense Pentagon, Washington, DC 20301-
1155.
    The individual should include the name and number of this system of 
records notice and provide sufficient proof of identity such as, full 
name, Social Security Number (SSN), and/or date and place of birth. The 
request must be signed.''
* * * * *

Record source categories:
    Delete entry and replace with ``The individual. Information is also 
obtained from the Defense Clearance and Investigative Index, military 
records, DoD civilian employment and military personnel records, Office 
of Personnel Management Records, Defense Security Service records, 
records of the Departments of Justice and Treasury, other commercial 
and government sources providing personnel security-relevant 
information.''
* * * * *


[[Page 35163]]

DHRA 02

System name:
    PERSEREC Research Files.

System location:
    Defense Personnel Security Research Center, 99 Pacific Street, 
Building 455E, Monterey, CA 93940-2481;
    Defense Manpower Data Center, 400 Gigling Road, Seaside, CA 93955-
6771; and
    Data Center, Naval Postgraduate School, Spanagel Hall, 833 Dyer 
Road, Monterey, CA 93943-5216.

Categories of individuals covered by the system:
    Present and former Executive branch civilian employees, military 
members, contractor employees and all others who have had or applied 
for security clearances, positions with the Federal government that 
require background investigations, or government identification cards 
that would grant them access to information technology systems and/or 
unescorted access to government facilities.

Categories of records in the system:
    Applications, adjudication information, and records identifying 
people authorized to hold Federal positions of trust, granted access, 
or access eligibility to sensitive information, facilities, materials, 
or systems.
    Results of record checks to meet investigative standards or 
accomplish continuous evaluation such as checks addressing criminal 
history, financial behavior, employment, education, investigative, 
immigration, pay and personnel records, records of foreign travel and 
foreign contacts, and asset ownership.
    Information in this system includes background investigation 
reports; reference interview documentation, recommendations, and 
comments; dates and reports of subject interviews; results of subject 
interrogatories; security violations; data relating to misuse of 
information technology systems; pre-employment investigations reports 
and results of record checks required to test new investigative 
sources.
    Dates and types of past investigations, access granted based on 
qualifying investigations, denials, revocations, debarments, 
administrative actions, and other adverse actions based on adjudication 
of investigations; and responses from personnel security-related 
interviews.
    Data is also derived from responses to questions contained on 
future, current, and prior personnel security related questionnaires. 
Agency Use Block (AUB) question responses include type of investigation 
requested, case number, extra coverage/advance results, sensitivity 
level, access/eligibility, nature and date of action, geographic 
location, position code and title, Submitting Office Number (SON), 
location of official personnel folder, Security Office Identifier 
(SOI), use of the Intra-governmental Payment and Collection (IPAC) 
system, Treasury Account Symbol (TAS), obligating document number, 
Business Event Type Code (BETC), investigative requirement, requesting 
officials' name, title, email address, phone number, and applicant 
affiliation.
    Data derived from responses to questions contained on future, 
current, and prior personnel security related questionnaires provided 
by filers includes information from responses include name, Social 
Security Number (SSN); current home address, telephone number, home e-
mail, cell/mobile phone number; date and place of birth, gender, other 
names used, citizenship, mother's maiden name; U.S. passport number and 
issue date, alien registration number, previous addresses and dates of 
residence.
    Educational data on schools and dates of attendance; conduct 
information that include, disciplinary actions, transcripts, 
commendations, degrees, certificates, subject's explanations regarding 
education conduct.
    References that consist of name, current address, phone number, and 
e-mail address.
    Employment information on current and previous employment that 
consists of name of employer, dates employed, address, name, and phone 
number of supervisor. Conduct information that include disciplinary 
actions dates and reason for termination; performance evaluation; and 
subject's explanations regarding employment conduct. Employment 
references names, current address, phone number and e-mail address. 
Selective Service record, military history, and conduct information.
    Responses from questionnaires that include the individual's 
physical description of height, weight, hair, and eye color. Date of 
marriage, separation, and divorce information including spouse or 
cohabitant name, Social Security Number (SSN), date and place of birth, 
citizenship of spouse, former spouse, or cohabitant. Relative's names, 
relationship, date, place of birth, citizenship, and current addresses.
    Foreign contact and activities information that include names, 
dates of individuals known, country(ies) of citizenship, country of 
residence, type and nature or contact, financial interests, assets, 
benefits from foreign governments.
    Additionally, responses to questions about the respondent's mental 
health and emotional health are in this system. Information that 
pertain to police records, use of alcohol, other illegal drugs, and use 
of information technology systems.
    U.S. and foreign finance and real estate information that consist 
of names of financial institutions, number of accounts held, monthly 
and year-end account balances for bank and investment accounts, 
address, year of purchase and price, capital investment costs, lease or 
rental information, year of lease or rental, and monthly payments.
    Information on leased vehicles, boats, airplanes and other U.S. and 
foreign assets that include type, make model/year, plate or 
identification number, year leased, monthly rental payment; year of 
purchase and price, and year-end fair market value.
    U.S. and foreign mortgages, loans, and liabilities information that 
consist of type of loan, name and address of creditor, original 
balance, monthly and year-end balance, monthly payment, payment 
history, and name and address of institution where safe deposit box is 
located.

Authority for maintenance of the system:
    E.O. 13467, Reforming Processes Related to Suitability for 
Government Employment, Fitness for Contractor Employees, and 
Eligibility for Access to Classified National Security Information; 
E.O. 12968, Access to Classified Information; 50 U.S.C. 781-887, 
Internal Security Act of 1950; E.O. 10450, Security Requirements for 
Government Employment; E.O. 10865, Safeguarding Classified Information 
Within Industry; E.O. 12333, United States Intelligence Activities; E. 
O. 13470, Further Amendments to Executive Order 12333; E.O. 12958, 
Classified National Security Information; 5 U.S.C. 9101, Access to 
Criminal History Information for National Security and Other Purposes; 
and 5 U.S.C. 301, Departmental Regulations, which authorizes DoD 
Directive 5200.2-R, DoD Personnel Security Program Regulation, 
Memorandum of Agreement assigning mission and support functions to the 
Defense Personnel Security Research Center between the Under Secretary 
of Defense for Personnel and Readiness and the Assistant Secretary of 
Defense for Command, Control, Communications and Intelligence dated 8/
12/2000; and E.O. 9397 (SSN).

[[Page 35164]]

Purpose(s):
    To perform research, development, and analyses for: (1) Evaluating 
and improving DoD and Federal personnel security and other background 
vetting procedures, programs, and policies; (2) assisting in providing 
training, instruction, advice on personnel security, and continuing 
reliability of subjects for DoD Components and other elements of the 
Federal government; (3) encouraging cooperative research within and 
among DoD Components, the Intelligence Community, and the Executive 
branch on the projects having DoD or Federal government-wide 
implications in order to avoid duplication; (4) addressing items of 
special interest to personnel security officials within DoD Components, 
the Intelligence Community, and the Executive branch; and (5) 
identifying areas in the personnel security, suitability, fitness, and 
military accessions fields that warrant more intense scrutiny; and (6) 
conducting personnel security, suitability, and fitness pilot test 
projects.

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 of 1974, these records contained therein may 
specifically be disclosed outside the DoD as a routine use pursuant to 
5 U.S.C. 552a(b)(3) as follows:
    To Federal, State, and local government agencies, if necessary, to 
obtain information from them, which will assist PERSEREC in identifying 
areas in the personnel security field that may warrant more training, 
instruction, research, or intense scrutiny. This would typically 
involve obtaining nationwide statistical data or relevant information 
at the unit or individual level on a specific security issue (i.e., 
financial, criminal, alcohol, etc.) or set of issues that could be used 
to assist an investigator or adjudicator in evaluating an individual's 
conduct.
    To Federal Bureau of Investigation and U.S. Office of Personnel 
Management counterintelligence personnel to assist them with their 
investigations and inquires.
    To the Office of Personnel Management and other Federal government 
agencies responsible for conducting background investigations in order 
to provide them with information relevant to their inquiries and 
investigations.
    The DoD `Blanket Routine Uses' set forth at the beginning of the 
OSD compilation of systems of records notices apply to this system.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records maintained in file folders and electronic storage 
media.

Retrievability:
    Records may be retrieved by name and Social Security Number (SSN).

Safeguards:
    Records are stored under lock and key, in secure containers, or on 
electronic media with intrusion safeguards. Access to these 
investigative and clearance records (although usually not classified) 
is limited only to staff who have a need to know, who have been 
investigated, granted the requisite security clearance eligibility 
level, and who have been advised as to both the sensitivity of these 
records and of their responsibility for safeguarding the information 
contained in them from unauthorized disclosure.

Retention and disposal:
    Disposition pending (until the National Achieves Records 
Administration (NARA) disposition is approved, treat as permanent).

System manager(s) and address:
    Director, Defense Personnel Security Research Center, 99 Pacific 
Street, Building 455E, Monterey, CA 93940-2481.

Notification procedure:
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to the Director, Defense Personnel Security Research Center, 99 Pacific 
Street, Building 455E, Monterey, CA 93940-2481.
    The individual should provide sufficient proof of identity such as, 
full name, Social Security Number (SSN), date and place of birth.

Record access procedures:
    Individuals seeking access to information about themselves 
contained in this system of record should address written inquires to 
the Office of the Secretary of Defense/Joint Staff Freedom of 
Information Act Requester Service Center, Office of Freedom of 
Information, 1155 Defense Pentagon, Washington, DC 20301-1155.
    The individual should include the name and number of this system of 
record notice and provide sufficient proof of identity such as, full 
name, Social Security Number (SSN), and/or date and place of birth. The 
request must be signed.

Contesting record procedures:
    The OSD rules for accessing records, for contesting contents and 
appealing initial agency determinations are published in OSD 
Administrative Instruction 81; 32 CFR part 311; or may be obtained from 
the system manager.

Record source categories:
    The individual. Information is also obtained from the Defense 
Clearance and Investigative Index, military records, DoD civilian 
employment and military personnel records, Office of Personnel 
Management Records, Defense Security Service records, records of the 
Departments of Justice and Treasury, other commercial and government 
sources providing personnel security-relevant information.

Exemptions claimed for the system:
    Investigative material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, military service, Federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    An exemption rule for this system has been promulgated in 
accordance with requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c) 
and (e) published in 32 CFR part 311. For additional information 
contact the system manager.

[FR Doc. E9-17150 Filed 7-17-09; 8:45 am]
BILLING CODE 5001-06-P