83 FR 57520 - Privacy Act of 1974; System of Records

SOCIAL SECURITY ADMINISTRATION

Federal Register Volume 83, Issue 221 (November 15, 2018)

In accordance with the Privacy Act, we are issuing public notice of our intent to establish a new system of records entitled, Security and Suitability Files (60-0377). This notice publishes details of the new system as set forth under the caption, SUPPLEMENTARY INFORMATION.

[Federal Register Volume 83, Number 221 (Thursday, November 15, 2018)]
[Notices]
[Pages 57520-57523]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-24853]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2018-0004]


Privacy Act of 1974; System of Records

AGENCY: Deputy Commissioner for Human Resources, Social Security 
Administration (SSA).

ACTION: Notice of a new system of records.

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SUMMARY: In accordance with the Privacy Act, we are issuing public 
notice of our intent to establish a new system of records entitled, 
Security and Suitability Files (60-0377). This notice publishes details 
of the new system as set forth under the caption, SUPPLEMENTARY 
INFORMATION.

DATES: The system of records notice (SORN) is applicable upon its 
publication in today's Federal Register, with the exception of the 
routine uses, which are effective December 17, 2018. We invite public 
comment on the routine uses or other aspects of this SORN. In 
accordance with 5 U.S.C. 552a(e)(4) and (e)(11), the public is given a 
30-day period in which to submit comments. Therefore, please submit any 
comments by December 17, 2018.

ADDRESSES: The public, Office of Management and Budget (OMB), and 
Congress may comment on this publication by writing to the Executive 
Director, Office of Privacy and Disclosure, Office of the General 
Counsel, SSA, Room G-401 West High Rise, 6401 Security Boulevard, 
Baltimore, Maryland 21235-6401, or through the Federal e-Rulemaking 
Portal at http://www.regulations.gov, please reference docket number 
SSA-2018-0004. All comments we receive will be available for public 
inspection at the above address and we will post them to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Jasson Seiden, Government Information 
Specialist, Privacy Implementation Division, Office of Privacy and 
Disclosure, Office of the General Counsel, SSA, Room G-401 West High 
Rise, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, 
telephone: (410) 597-4307, email: [email protected].

SUPPLEMENTARY INFORMATION: Persons appointed to, and under 
consideration for, Federal service or contract employment are required, 
with limited exceptions, to submit to a suitability background 
investigation. In addition, other individuals granted access to agency 
facilities and records may be required to complete such an 
investigation. The Deputy Commissioner for Human Resources, Office of 
Personnel, Center for Suitability and Personnel Security (CSPS) 
oversees and is responsible for adjudicating these investigations. 
Suitability and security related information that we collect during the 
investigations process and send to the Office of Personnel Management 
(OPM) is covered by OPM/Central-9, Personnel Investigations Records. 
The new Security and Suitability Files system of records covers 
suitability and security related information that we generate during 
the investigation process but that we do not send to OPM. We will use 
the information we collect to conduct background investigations for the 
purpose of establishing that individuals employed by us, working under 
contract for us, or otherwise granted access to our facilities and 
records are suitable for such employment or access.
    In accordance with 5 U.S.C. 552a(r), we have provided a report to 
OMB and Congress on this new system of records.

    Dated: June 5, 2018.
Mary Ann Zimmerman,
Acting Executive Director, Office of Privacy and Disclosure, Office of 
the General Counsel.

    Editorial note:  This document was received for publication by 
the Office of the Federal Register on November 8, 2018.
System Name and Number
Security and Suitability Files, 60-0377

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Social Security Administration, Deputy Commissioner for Human 
Resources, Office of Personnel, Center for Suitability and Personnel 
Security (CSPS), 6401 Security Boulevard, Baltimore, MD 21235; or the 
initiating regional office (See Appendix C for address information).
    Office of Personnel Management, National Background Investigations 
Bureau (NBIB), 1137 Branchton Road, PO Box 618, Boyers, PA 16018.
    Defense Information Systems Agency (DISA), DISA Defense Enterprise 
Computing Center (DECC), 3990 E Broad Street, Columbus, OH 43213-1152.

SYSTEM MANAGER(S):
    Social Security Administration, Deputy Commissioner for Human 
Resources, Office of Personnel, Center for Suitability and Personnel 
Security (CSPS), 6401 Security Boulevard, Baltimore, MD 21235; or the 
initiating regional office (See Appendix C for address information).
    [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 205(a) of the Social Security Act, as amended, HSPD-12 
(Policy for a Common Identification Standard for Federal Employees and 
Contractors), Executive Orders 13764 (Amending the Civil Service Rules, 
Executive Order 13488, and Executive Order 13467 To Modernize the 
Executive Branch-Wide Governance Structure and Processes for Security 
Clearances, Suitability and Fitness for Employment, and Credentialing, 
and Related Matters) and 12968 (Access to Classified Information), 
Sections 3301 and 3302 of Title 5, U.S.C., and Parts 5, 731, 732, and 
736 of Title 5 of the Code of Federal Regulations; and Fair Credit 
Reporting Act.

[[Page 57521]]

PURPOSE(S) OF THE SYSTEM:
    We will use the information in the Security and Suitability Files 
to determine the suitability of individuals for appointment or 
retention as an SSA employee, for access to SSA facilities and 
information systems, to hold sensitive positions, and to perform work 
or services for or on behalf of SSA as a contractor or volunteer. This 
will ensure that all of our prospective, current, and former employees, 
students, contractors, grantees, appointees, cooperative agreement 
awardees, volunteers, and others granted access to our facilities and 
records are investigated appropriately for security and suitability, 
and that the results of the investigations when necessary, are 
adjudicated based on federal law and regulations and are recorded in 
the official records.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals seeking, or who have sought, to fill an available 
vacancy with SSA, or to otherwise be granted access to SSA facilities 
and records. This category of individuals include, but are not limited 
to, prospective, current, and former employees, students, contractors, 
grantees, appointees, cooperative agreement awardees, volunteers, and 
others who perform services for SSA.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system maintains information collected as part of our security 
and suitability investigative process. This information may include the 
individual's name, address, date of birth (DOB), Social Security number 
(SSN), phone number, driver's license information, fingerprints, 
residential and employment addresses, employment history (e.g., names 
of supervisors and colleagues), financial and educational background, 
professional experience information, and information from personal and 
professional references. We may also collect information about personal 
and professional conduct that could include disciplinary, criminal, and 
credit histories. This system may also include determinations of 
sensitivity and risk level for different positions and information to 
ensure compliance with security and suitability requirements, and 
information necessary to monitor and track security and suitability 
investigations for management workload purposes.

RECORD SOURCE CATEGORIES:
    We obtain information in this system primarily from the individuals 
to whom the record pertains. Information may also be obtained from, but 
not limited to references, credit reporting agencies, other federal 
agencies, and educational institutions.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    We will disclose records pursuant to the following routine uses; 
however, we will not disclose any information defined as ``return or 
return information'' under 26 U.S.C. 6103 of the Internal Revenue 
Service Code, unless authorized by statute, the Internal Revenue 
Service (IRS), or IRS regulations.
    1. To the Office of the President in response to an inquiry from 
that office made on behalf of, and at the request of, the subject of 
the record or third party acting on the subject's behalf.
    2. To a congressional office in response to an inquiry from that 
office made on behalf of, and at the request of, the subject of the 
record or a third party acting on the subject's behalf.
    3. To the Department of Justice (DOJ), a court or other tribunal, 
or another party before such court or tribunal, when:
    (a) SSA, or any component thereof; or
    (b) any SSA employee in his/her official capacity; or:
    (c) any SSA employee in his/her individual capacity where DOJ (or 
SSA where it is authorized to do so) has agreed to represent the 
employee; or
    (d) the United States or any agency thereof where SSA determines 
the litigation is likely to affect SSA or any of its components,
    is a party to the litigation or has an interest in such litigation, 
and SSA determines that the use of such records by DOJ, a court or 
other tribunal, or another party before the tribunal is relevant and 
necessary to the litigation, provided, however, that in each case, the 
agency determines that disclosure of the records to DOJ, a court or 
other tribunal, or another party is a use of the information contained 
in the records that is compatible with the purpose for which the 
records were collected.
    4. To contractors and other Federal agencies, as necessary, for 
assisting SSA in the efficient administration of its programs. We 
disclose information under this routine use only in situations in which 
SSA may enter into a contractual or similar agreement with a third 
party to assist the accomplishing an agency function relating to this 
system of records.
    5. To student volunteers, individuals working under a personal 
services contract, and other workers who technically do not have the 
status of Federal employees, when they are performing work for SSA, as 
authorized by law, and they need access to personally identifiable 
information (PII) in SSA records in order to perform their assigned 
agency functions.
    6. To the Equal Employment Opportunity Commission (EEOC or 
Commission) when requested in connection with investigations into 
alleged or possible discriminatory practices in the Federal sector, 
examination of Federal affirmative employment programs, compliance by 
Federal agencies with the Uniform Guidelines on Employee Selection 
Procedures, or other functions vested in the Commission.
    7. To the Federal Labor Relations Authority, its General Counsel, 
the Federal Mediation and Conciliation Service, the Federal Service 
Impasses Panel, or an arbitrator when information is requested in 
connection with investigations of allegations of unfair practices, 
matters before an arbitrator or the Federal Service Impasses Panel.
    8. To the Office of Personnel Management (OPM), the Merit Systems 
Protection Board, or the Office of Special Counsel in connection with 
appeals, special studies of the civil service and other merit systems, 
review of rules and regulations, investigations of alleged or possible 
prohibited practices, and other such functions promulgated in 5 U.S.C. 
Chapter 12, or as may be required by law.
    9. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, information necessary:
    (a) To enable them to protect the safety of SSA employees and 
customers, the security of the SSA workplace, and the operation of SSA 
facilities, or
    (b) to assist in investigations or prosecutions with respect to 
activities that affect such safety and security or activities that 
disrupt the operation of SSA facilities.
    10. To the National Archives and Records Administration (NARA) 
under 44 U.S.C. 2904 and 2906.
    11. To a Federal agency in response to its request, or at SSA's 
initiative, in connection with decisions to hire or retain an employee, 
issue a security clearance, conduct a security or suitability 
investigation, classify a job, award a contract, or regarding the 
requesting agency's decision to issue a license, grant, or other 
benefit, to the extent that the information is relevant and necessary 
to the requesting agency's decision.
    12. To officials of labor organizations recognized under 5 U.S.C. 
Chapter 71 when relevant and necessary to their

[[Page 57522]]

duties of exclusive representation concerning personnel policies, 
practices, and matters affecting conditions of employment.
    13. To appropriate agencies, entities, and persons when:
    (a) SSA suspects or has confirmed that there has been a breach of 
the system of records;
    (b) SSA has determined that as the result of the suspected or 
confirmed breach there is a risk of harm to individuals, SSA (including 
its information systems, programs, and operations), the Federal 
Government, or national security; and
    (c) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with SSA's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm.
    14. To any source from which information is requested in the course 
of an investigation, 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.
    15. To another Federal agency or Federal entity, when SSA 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in:
    (a) Responding to a suspected or confirmed breach; or
    (b) 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.
    16. To the Department of Defense or other Federal agencies in 
connection with providing approved shared services to subscribing 
agencies for hiring or retaining an employee; classifying a position; 
conducting a security, suitability, fitness, or credentialing 
background investigation (including continuous evaluation/continuous 
vetting); issuing a security clearance or sensitive position 
eligibility; making a suitability, fitness, or credentialing decision; 
or recording the results of any agency decision with respect to these 
functions.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    We will maintain records in this system in paper and electronic 
form.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    We will retrieve records in this system by name, SSN, and DOB.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records are temporary. We retain and destroy this information 
in accordance with the NARA approved General Records Schedules (GRS) 
2.0, Human Resources, and GRS 5.6, Security Records. We retain 
investigative records on employees or applicants for employment, 
whether or not a security clearance is granted, and other persons, such 
as those performing work under contract or as volunteers in accordance 
with the approved records schedules. We retain investigative reports in 
accordance with OPM Central-9 (81 FR 70191) or successor Records 
Disposition Authority. Our shared service provider for tracking post-
investigation data, the Department of Defense (DoD), retains post-
investigative files and the computerized data bases in accordance with 
the Defense Manpower Data Center (DMDC) retention policies as published 
in DMDC 24 DoD (81 FR 39032) or successor Records Disposition 
Authority.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    We retain electronic and paper files with personal identifiers in 
secure storage areas accessible only by our authorized employees and 
contractors who have a need for the information when performing their 
official duties. Security measures include, but are not limited to, the 
use of codes and profiles, personal identification number and password, 
and personal identification verification cards. We keep paper records 
in locked cabinets within secure areas, with access limited to only 
those employees who have an official need for access in order to 
perform their duties.
    We annually provide our employees and contractors with appropriate 
security awareness training that includes reminders about the need to 
protect personally identifiable information (PII) and the criminal 
penalties that apply to unauthorized access to, or disclosure of, PII 
(5 U.S.C. 552a(i)(1)). Furthermore, employees and contractors with 
access to databases maintaining PII must sign a sanctions document 
annually, acknowledging their accountability for inappropriately 
accessing or disclosing such information.
    The system is protected against compromise of PII and cyberattack 
by the full suite of defenses and sensors of the DoD cybersecurity 
perimeter. Data is encrypted where it is stored, and network traffic is 
encrypted based on the type of user traffic and risk to PII data. User 
access to data is protected using Identity and Access Management with 
multifactor authentication that will only allow an authenticated user 
to access and manipulate the specific records based on user role and 
permissions. The system audits access to information. Physical entry is 
restricted by the use of locks, guards, and administrative procedures. 
All individuals granted access to the system must complete Information 
Assurance and Privacy Act training before initially accessing the 
system and annually thereafter, and these users must have also been 
through the information technology and/or security clearance 
eligibility process.

RECORD ACCESS PROCEDURES:
    This system of records has been exempted from the Privacy Act's 
access, contesting, and notification provisions as stated below. 
However, individuals may submit requests for information about whether 
this system contains a record about them by submitting a written 
request to the system manager at the above address, which includes 
their name, SSN, or other information that may be in this system of 
records that will identify them. Individuals requesting notification 
of, or access to, a record by mail must include (1) a notarized 
statement to us to verify their identity or (2) must certify in the 
request that they are the individual they claim to be and that they 
understand that the knowing and willful request for, or acquisition of, 
a record pertaining to another individual under false pretenses is a 
criminal offense.
    Individuals requesting notification of, or access to, records in 
person must provide their name, SSN, or other information that may be 
in this system of records that will identify them, as well as provide 
an identity document, preferably with a photograph, such as a driver's 
license. Individuals lacking identification documents sufficient to 
establish their identity must certify in writing that they are the 
individual they claim to be and that they understand that the knowing 
and willful request for, or acquisition of, a record pertaining to 
another individual under false pretenses is a criminal offense.
    These procedures are in accordance with our regulations at 20 CFR 
401.40 and 401.45.

CONTESTING RECORD PROCEDURES:
    Same as record access procedures. Individuals should also 
reasonably

[[Page 57523]]

identify the record, specify the information they are contesting, and 
state the corrective action sought and the reasons for the correction 
with supporting justification showing how the record is incomplete, 
untimely, inaccurate, or irrelevant. These procedures are in accordance 
with our regulations at 20 CFR 401.65(a).

NOTIFICATION PROCEDURES:
    Same as record access procedures. These procedures are in 
accordance with our regulations at 20 CFR 401.40 and 401.45.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    This system of records has been exempted from certain provisions of 
the Privacy Act pursuant to 5 U.S.C. 552a(k)(5). Rules have been 
promulgated in accordance with the requirements of 5 U.S.C. 553(b), 
(c), and (e) and have been published in today's Federal Register.

HISTORY:
    None.

[FR Doc. 2018-24853 Filed 11-14-18; 8:45 am]
 BILLING CODE 4191-02-P