81 FR 8736 - Office of Chief Information Officer; Agency Information Collection Activities: REAL ID: Minimum Standards for Driver's Licenses and Identification Cards Acceptable by Federal Agencies for Official Purposes
DEPARTMENT OF HOMELAND SECURITY Federal Register Volume 81, Issue 34 (February 22, 2016)
Federal Register Volume 81, Issue 34 (February 22, 2016)
| Page Range | 8736-8737 | |
| FR Document | 2016-03536 |
[Federal Register Volume 81, Number 34 (Monday, February 22, 2016)] [Notices] [Pages 8736-8737] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-03536] ----------------------------------------------------------------------- DEPARTMENT OF HOMELAND SECURITY [Docket No. DHS-2016-0009] Office of Chief Information Officer; Agency Information Collection Activities: REAL ID: Minimum Standards for Driver's Licenses and Identification Cards Acceptable by Federal Agencies for Official Purposes AGENCY: Office of the Secretary, DHS. ACTION: 60-Day notice and request for comments; reinstatement with change, 1601-0005. ----------------------------------------------------------------------- SUMMARY: The Department of Homeland Security, Office of the Secretary, will submit the following Information Collection Request (ICR) to the Office of Management and Budget (OMB) for review and clearance in accordance with the Paperwork Reduction Act of 1995 (Pub. L. 104-13, 44 U.S.C. Chapter 35). DATES: Comments are encouraged and will be accepted until April 22, 2016. This process is conducted in accordance with 5 CFR 1320.1. ADDRESSES: You may submit comments, identified by docket number 2016- 0009, by one of the following methods:Federal eRulemaking Portal: http://www.regulations.gov. Please follow the instructions for submitting comments. Email: [email protected]. Please include docket number DHS-2016-0009 in the subject line of the message. SUPPLEMENTARY INFORMATION: The REAL ID Act of 2005 (the Act) prohibits Federal agencies from accepting State-issued drivers' licenses or identification cards for any official purpose--defined by the Act and regulations as boarding commercial aircraft, accessing federal facilities, or entering nuclear power plants--unless the license or card is issued by a State that meets the requirements set forth in the Act. Title II of Division B of Public Law 109-13, codified at 49 U.S.C. 30301 note. The REAL ID regulations, which DHS issued in January 2008, establish the minimum standards that States must meet to comply with the Act. See 73 FR 5272, also 6 CFR part 37 (Jan. 29, 2008). These include requirements for presentation and verification of documents to establish identity and lawful status, standards for document issuance and security, and physical security requirements for drivers' license production facilities. For a State to achieve full compliance, the Department of Homeland Security (DHS) must make a final determination that the State has met the requirements contained in the regulations and is compliant with the Act. The regulations include new information reporting and record keeping requirements for States seeking a full compliance determination by DHS. As discussed in more detail below, States seeking DHS's full compliance determination must certify that they are meeting certain standards in the issuance of drivers' licenses and identification cards and submit security plans covering physical security of document production and storage facilities as well as security of personally identifiable information. 6 CFR 37.55(a). States also must conduct background checks and training for employees involved in the document production and issuance processes and retain and store applicant photographs and other source documents. 6 CFR 37.31 and 37.45. States must recertify compliance with REAL ID every three years on a rolling basis as determined by the Secretary of Homeland Security. 6 CFR 37.55. Certification Process Generally--Section 202(a)(2) of the REAL ID Act requires the Secretary to determine whether a state is meeting its requirements, ``based on certifications made by the State to the Secretary.'' To assist DHS in making a final compliance determination, 37.55 of the rule requires the submission of the following materials: (1) A certification by the highest level Executive official in the State overseeing the DMV that the State has implemented a program for issuing driver's licenses and identification cards in compliance with the REAL ID Act; (2) A letter from the Attorney General of the State confirming the State has the legal authority to impose requirements necessary to meet the standards; (3) A description of a State's exceptions process to accept alternate documents to establish identity and lawful status and wavier process used when conducting background checks for individuals involved in the document production process; and (4) The State's security plan. Additionally, after a final compliance determination by DHS, states must recertify compliance every three years on a rolling basis as determined by DHS. 6 CFR 37.55(b). State REAL ID programs will be subject to DHS review to determine whether the State meets the requirements for compliance. States must cooperate with DHS's compliance review and provide any reasonable information requested by DHS relevant to determining compliance. Under the rule, DHS may inspect sites associated with the enrollment of applicants and the production, manufacture, personalization, and issuance of driver's licenses or identification cards. DHS also may conduct interviews of employees and contractors involved in the document issuance, verification, and production processes. 6 CFR 37.59(a). Following a review of a State's certification package, DHS may make a preliminary determination that the State needs to take corrective actions to achieve full compliance. In such cases, a State may have to respond to DHS and explain the actions it took or plans to take to correct any deficiencies cited in the preliminary determination or alternatively, detail why the DHS preliminary determination is incorrect. 6 CFR 37.59(b). Security Plans--In order for States to be in compliance with the Act, they must ensure the security of production facilities and materials and conduct background checks and fraudulent document training for employees involved in document issuance and production. REAL ID Act sec. 202(d)(7)-(9). The Act also requires compliant licenses and identification cards to include features to prevent tampering, counterfeiting, or duplication. REAL ID Act sec. 202(b). To document compliance with these requirements, the regulations require States to prepare a security plan and submit it as part of their certification package. 6 CFR 37.41. At a minimum, the security plan must address steps the State is taking to ensure: The physical security of production materials and storage and production facilities; security of personally identifiable information maintained at DMVs including a privacy policy and standards and procedures for document retention and destruction; document security features including a description of the use of biometrics and the technical standards used; facility access control including credentialing and background checks; fraudulent document and security awareness training; emergency response; internal audit controls; and an affirmation that the state possesses the authority and means to protect the confidentiality of REAL ID documents issued in support of criminal justice agencies or similar programs. The security plan also must include a report on card security and integrity. Background checks and waiver process--Within its security plans, the rule requires States to outline their [[Page 8737]] approach to conducting background checks of certain DMV employees involved in the card production process. 6 CFR 37.45. Specifically, States are required to perform background checks on persons who are involved in the manufacture or production of REAL ID driver's licenses and identification cards, as well as on individuals who have the ability to affect the identity information that appears on the driver's license or identification card and on current employees who will be assigned to such positions. The background check must include a name- based and fingerprint-based criminal history records check, an employment eligibility check, and for newer employees a prior employment reference check. The regulation permits a State to establish procedures to allow for a waiver for certain background check requirements in cases, for example, where the employee has been arrested, but no final disposition of the matter has been reached. Exceptions Process--Under the rule, a State DMV may choose to establish written, defined exceptions process for persons who, for reasons beyond their control, are unable to present all necessary documents and must rely on alternate documents to establish identity and date of birth. 6 CFR 37.11(h). Alternative documents to demonstrate lawful status will only be allowed to demonstrate U.S. citizenship. The State must retain copies or images of the alternate documents accepted under the exceptions process and submit a report with a copy of the exceptions process as part of its certification package. Recordkeeping--The rule requires States to maintain photographs of applicants and records of certain source documents. Paper or microfiche copies of these documents must be retained for a minimum of seven years. Digital images of these documents must be retained for a minimum of ten years. 6 CFR 37.31. Extension Requests--Pursuant to Sec. 37.63 of the Final Rule, States granted an initial extension may file a request for an additional extension. Subsequent extensions will be granted at the discretion of the Secretary. The collection of the information will support the information needs of DHS in its efforts to determine State compliance with requirements for issuing REAL ID driver's licenses and identification cards. States may submit the required documents in any format that they choose. DHS has not defined specific format submission requirements for States. DHS will use all of the submitted documentation to evaluate State progress in implementing the requirements of the REAL ID Final Rule. DHS has used information provided under the current collection to grant extensions and track state progress. Submission of the security plan helps to ensure the integrity of the license and identification card issuance and production process and outlines the measures taken to protect personal information collected, maintained, and used by State DMVs. Additionally, the collection will assist other Federal and State agencies conducting or assisting with necessary background and immigration checks for certain employees. The purpose of the name-based and fingerprint based CHRC requirement is to ensure the suitability and trustworthiness of individuals who have the ability to affect the identity information that appears on the license; have access to the production process; or who are involved in the manufacture or issuance of the licenses and identification cards. In compliance with GPEA, States will be permitted to electronically submit the information for their security plans, certification packages, recertifications, extensions, and written exceptions processes. States will be permitted to submit electronic signatures but must keep the original signature on file. Additionally, because they contain sensitive security information (SSI), the security plans must be handled and protected in accordance with 49 CFR part 1520. 6 CFR 37.41(c). The final rule does not dictate how States must submit their employees' fingerprints to the FBI for background checks; however it is assumed States will do so via electronic means or another means determined by the FBI. Information provided will be protected from disclosure to the extent appropriate under applicable provisions of the Freedom of Information Act, the Privacy Act of 1974, the Driver's Privacy Protection Act, as well as DHS's Privacy Impact Assessment for the REAL ID Act. There have been no program changes or new requirements established as a result of this collection request. Extensions were covered in the initial request however it was incorrectly removed from the subsequent request. The Office of Management and Budget is particularly interested in comments which: 1. Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; 2. Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; 3. Enhance the quality, utility, and clarity of the information to be collected; and 4. Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submissions of responses. Analysis Agency: Office of the Secretary, DHS. Title: REAL ID: Minimum Standards for Driver's Licenses and Identification Cards Acceptable by Federal Agencies for Official Purposes. OMB Number: 1601-0005. Frequency: Annually. Affected Public: State, local, and tribal governments. Number of Respondents: 56. Estimated Time per Respondent: 1,178 hours. Total Burden Hours: 446,246 hours. Dated: February 12, 2016. Carlene C. Ileto, Executive Director, Enterprise Business Management Office. [FR Doc. 2016-03536 Filed 2-19-16; 8:45 am] BILLING CODE 9110-9B-P
![8736 Federal Register / Vol. 81, No. 34 / Monday, February 22, 2016 / Notices
Dated: February 16, 2016. security, and physical security must cooperate with DHS’s compliance
Ira S. Reese, requirements for drivers’ license review and provide any reasonable
Executive Director, Laboratories and production facilities. For a State to information requested by DHS relevant
Scientific Services Directorate. achieve full compliance, the Department to determining compliance. Under the
[FR Doc. 2016–03557 Filed 2–19–16; 8:45 am] of Homeland Security (DHS) must make rule, DHS may inspect sites associated
BILLING CODE 9111–14–P a final determination that the State has with the enrollment of applicants and
met the requirements contained in the the production, manufacture,
regulations and is compliant with the personalization, and issuance of driver’s
DEPARTMENT OF HOMELAND Act. The regulations include new licenses or identification cards. DHS
SECURITY information reporting and record also may conduct interviews of
keeping requirements for States seeking employees and contractors involved in
[Docket No. DHS–2016–0009]
a full compliance determination by the document issuance, verification, and
Office of Chief Information Officer; DHS. As discussed in more detail production processes. 6 CFR 37.59(a).
below, States seeking DHS’s full Following a review of a State’s
Agency Information Collection
compliance determination must certify certification package, DHS may make a
Activities: REAL ID: Minimum
that they are meeting certain standards preliminary determination that the State
Standards for Driver’s Licenses and
in the issuance of drivers’ licenses and needs to take corrective actions to
Identification Cards Acceptable by
identification cards and submit security achieve full compliance. In such cases,
Federal Agencies for Official Purposes
plans covering physical security of a State may have to respond to DHS and
AGENCY: Office of the Secretary, DHS. document production and storage explain the actions it took or plans to
ACTION:60-Day notice and request for facilities as well as security of take to correct any deficiencies cited in
comments; reinstatement with change, personally identifiable information. 6 the preliminary determination or
1601–0005. CFR 37.55(a). States also must conduct alternatively, detail why the DHS
background checks and training for preliminary determination is incorrect.
SUMMARY: The Department of Homeland employees involved in the document 6 CFR 37.59(b).
Security, Office of the Secretary, will production and issuance processes and Security Plans—In order for States to
submit the following Information retain and store applicant photographs be in compliance with the Act, they
Collection Request (ICR) to the Office of and other source documents. 6 CFR must ensure the security of production
Management and Budget (OMB) for 37.31 and 37.45. States must recertify facilities and materials and conduct
review and clearance in accordance compliance with REAL ID every three background checks and fraudulent
with the Paperwork Reduction Act of years on a rolling basis as determined by document training for employees
1995 (Pub. L. 104–13, 44 U.S.C. Chapter the Secretary of Homeland Security. 6 involved in document issuance and
35). CFR 37.55. production. REAL ID Act sec. 202(d)(7)–
DATES: Comments are encouraged and Certification Process Generally— (9). The Act also requires compliant
will be accepted until April 22, 2016. Section 202(a)(2) of the REAL ID Act licenses and identification cards to
This process is conducted in accordance requires the Secretary to determine include features to prevent tampering,
with 5 CFR 1320.1. whether a state is meeting its counterfeiting, or duplication. REAL ID
requirements, ‘‘based on certifications Act sec. 202(b). To document
ADDRESSES: You may submit comments,
made by the State to the Secretary.’’ To compliance with these requirements,
identified by docket number 2016–0009, the regulations require States to prepare
assist DHS in making a final compliance
by one of the following methods: a security plan and submit it as part of
determination, 37.55 of the rule requires
• Federal eRulemaking Portal: http:// their certification package. 6 CFR 37.41.
the submission of the following
www.regulations.gov. Please follow the At a minimum, the security plan must
materials: (1) A certification by the
instructions for submitting comments. address steps the State is taking to
highest level Executive official in the
• Email: dhs.pra@hq.dhs.gov. Please ensure: The physical security of
State overseeing the DMV that the State
include docket number DHS–2016–0009 production materials and storage and
has implemented a program for issuing
in the subject line of the message. driver’s licenses and identification cards production facilities; security of
SUPPLEMENTARY INFORMATION: The REAL in compliance with the REAL ID Act; (2) personally identifiable information
ID Act of 2005 (the Act) prohibits A letter from the Attorney General of the maintained at DMVs including a privacy
Federal agencies from accepting State- State confirming the State has the legal policy and standards and procedures for
issued drivers’ licenses or identification authority to impose requirements document retention and destruction;
cards for any official purpose—defined necessary to meet the standards; (3) A document security features including a
by the Act and regulations as boarding description of a State’s exceptions description of the use of biometrics and
commercial aircraft, accessing federal process to accept alternate documents to the technical standards used; facility
facilities, or entering nuclear power establish identity and lawful status and access control including credentialing
plants—unless the license or card is wavier process used when conducting and background checks; fraudulent
issued by a State that meets the background checks for individuals document and security awareness
requirements set forth in the Act. Title involved in the document production training; emergency response; internal
II of Division B of Public Law 109–13, process; and (4) The State’s security audit controls; and an affirmation that
codified at 49 U.S.C. 30301 note. The plan. the state possesses the authority and
REAL ID regulations, which DHS issued Additionally, after a final compliance means to protect the confidentiality of
mstockstill on DSK4VPTVN1PROD with NOTICES
in January 2008, establish the minimum determination by DHS, states must REAL ID documents issued in support
standards that States must meet to recertify compliance every three years of criminal justice agencies or similar
comply with the Act. See 73 FR 5272, on a rolling basis as determined by DHS. programs. The security plan also must
also 6 CFR part 37 (Jan. 29, 2008). These 6 CFR 37.55(b). include a report on card security and
include requirements for presentation State REAL ID programs will be integrity.
and verification of documents to subject to DHS review to determine Background checks and waiver
establish identity and lawful status, whether the State meets the process—Within its security plans, the
standards for document issuance and requirements for compliance. States rule requires States to outline their
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![Federal Register / Vol. 81, No. 34 / Monday, February 22, 2016 / Notices 8737
approach to conducting background State progress in implementing the proposed collection of information,
checks of certain DMV employees requirements of the REAL ID Final Rule. including the validity of the
involved in the card production process. DHS has used information provided methodology and assumptions used;
6 CFR 37.45. Specifically, States are under the current collection to grant 3. Enhance the quality, utility, and
required to perform background checks extensions and track state progress. clarity of the information to be
on persons who are involved in the Submission of the security plan helps collected; and
manufacture or production of REAL ID to ensure the integrity of the license and 4. Minimize the burden of the
driver’s licenses and identification identification card issuance and collection of information on those who
cards, as well as on individuals who production process and outlines the are to respond, including through the
have the ability to affect the identity measures taken to protect personal use of appropriate automated,
information that appears on the driver’s information collected, maintained, and electronic, mechanical, or other
license or identification card and on used by State DMVs. Additionally, the technological collection techniques or
current employees who will be assigned collection will assist other Federal and other forms of information technology,
to such positions. The background State agencies conducting or assisting e.g., permitting electronic submissions
check must include a name-based and with necessary background and of responses.
fingerprint-based criminal history immigration checks for certain
records check, an employment employees. The purpose of the name- Analysis
eligibility check, and for newer based and fingerprint based CHRC Agency: Office of the Secretary, DHS.
employees a prior employment requirement is to ensure the suitability Title: REAL ID: Minimum Standards
reference check. The regulation permits and trustworthiness of individuals who for Driver’s Licenses and Identification
a State to establish procedures to allow have the ability to affect the identity Cards Acceptable by Federal Agencies
for a waiver for certain background information that appears on the license; for Official Purposes.
check requirements in cases, for have access to the production process; OMB Number: 1601–0005.
example, where the employee has been or who are involved in the manufacture Frequency: Annually.
arrested, but no final disposition of the or issuance of the licenses and Affected Public: State, local, and tribal
matter has been reached. identification cards. governments.
Exceptions Process—Under the rule, a In compliance with GPEA, States will Number of Respondents: 56.
State DMV may choose to establish be permitted to electronically submit Estimated Time per Respondent:
written, defined exceptions process for the information for their security plans, 1,178 hours.
persons who, for reasons beyond their certification packages, recertifications, Total Burden Hours: 446,246 hours.
control, are unable to present all extensions, and written exceptions Dated: February 12, 2016.
necessary documents and must rely on processes. States will be permitted to Carlene C. Ileto,
alternate documents to establish submit electronic signatures but must Executive Director, Enterprise Business
identity and date of birth. 6 CFR keep the original signature on file. Management Office.
37.11(h). Alternative documents to Additionally, because they contain [FR Doc. 2016–03536 Filed 2–19–16; 8:45 am]
demonstrate lawful status will only be sensitive security information (SSI), the
BILLING CODE 9110–9B–P
allowed to demonstrate U.S. citizenship. security plans must be handled and
The State must retain copies or images protected in accordance with 49 CFR
of the alternate documents accepted part 1520. 6 CFR 37.41(c). The final rule DEPARTMENT OF HOMELAND
under the exceptions process and does not dictate how States must submit SECURITY
submit a report with a copy of the their employees’ fingerprints to the FBI
exceptions process as part of its for background checks; however it is Office of the Citizenship and
certification package. assumed States will do so via electronic Immigration Services Ombudsman;
Recordkeeping—The rule requires means or another means determined by Agency Information Collection
States to maintain photographs of the FBI. Activities: Office of the Citizenship and
applicants and records of certain source Information provided will be Immigration Services Ombudsman
documents. Paper or microfiche copies protected from disclosure to the extent Customer Satisfaction and Needs
of these documents must be retained for appropriate under applicable provisions Assessment Survey (Ombudsman
a minimum of seven years. Digital of the Freedom of Information Act, the Form DHS–NEW)
images of these documents must be Privacy Act of 1974, the Driver’s Privacy
retained for a minimum of ten years. 6 Protection Act, as well as DHS’s Privacy AGENCY: Office of the Citizenship and
CFR 37.31. Impact Assessment for the REAL ID Act. Immigration Services Ombudsman
Extension Requests—Pursuant to There have been no program changes (CISOMB), DHS.
§ 37.63 of the Final Rule, States granted or new requirements established as a ACTION: 30-Day notice and request for
an initial extension may file a request result of this collection request. comments; new collection, 1601–NEW.
for an additional extension. Subsequent Extensions were covered in the initial
extensions will be granted at the request however it was incorrectly SUMMARY: The Department of Homeland
discretion of the Secretary. removed from the subsequent request. Security (DHS), Office of the Citizenship
The collection of the information will The Office of Management and Budget and Immigration Services Ombudsman
support the information needs of DHS is particularly interested in comments (CISOMB), will submit the following
in its efforts to determine State which: Information Collection Request (ICR) to
mstockstill on DSK4VPTVN1PROD with NOTICES
compliance with requirements for 1. Evaluate whether the proposed the Office of Management and Budget
issuing REAL ID driver’s licenses and collection of information is necessary (OMB) for review and clearance in
identification cards. States may submit for the proper performance of the accordance with the Paperwork
the required documents in any format functions of the agency, including Reduction Act of 1995 (Pub. L. 104–13,
that they choose. DHS has not defined whether the information will have 44 U.S.C. Chapter 35). DHS previously
specific format submission requirements practical utility; published this information collection
for States. DHS will use all of the 2. Evaluate the accuracy of the request (ICR) in the Federal Register on
submitted documentation to evaluate agency’s estimate of the burden of the Monday, November 9, 2015 at 80 FR
VerDate Sep<11>2014 19:03 Feb 19, 2016 Jkt 238001 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\22FEN1.SGM 22FEN1](https://thefederalregister.org/doc/81_FR_8770/page/2.svg)
Document Created: 2016-02-19 23:57:17
Document Modified: 2016-02-19 23:57:17
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | 60-Day notice and request for comments; reinstatement with change, 1601-0005. | |
| Dates | Comments are encouraged and will be accepted until April 22, 2016. This process is conducted in accordance with 5 CFR 1320.1. | |
| FR Citation | 81 FR 8736 |
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