Agency Information Collection Activities: REAL ID: Minimum Standards for Driver's Licenses and Identification Cards Acceptable by Federal Agencies for Office Purposes
| Published date | 16 April 2019 |
| Citation | 84 FR 15624 |
| Record Number | 2019-07565 |
| Section | Notices |
| Court | Homeland Security Department |
Federal Register, Volume 84 Issue 73 (Tuesday, April 16, 2019)
[Federal Register Volume 84, Number 73 (Tuesday, April 16, 2019)]
[Notices]
[Pages 15624-15626]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-07565]
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DEPARTMENT OF HOMELAND SECURITY
[Docket No. DHS-2019-0018]
Agency Information Collection Activities: REAL ID: Minimum
Standards for Driver's Licenses and Identification Cards Acceptable by
Federal Agencies for Office Purposes
AGENCY: Office of the Secretary, Department of Homeland Security.
ACTION: 60-Day notice and request for comments; extension without
change of a currently approved collection, 1601-0005.
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SUMMARY: The Department of Homeland Security (DHS), 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.
DATES: Comments are encouraged and will be accepted until June 17,
2019. This process is conducted in accordance with 5 CFR 1320.1
ADDRESSES: You may submit comments, identified by docket number DHS-
2019-0018, 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-2019-0018 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 driver's 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.\1\ 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
driver's licenses and
[[Page 15625]]
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.
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Certification and Recertification 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.
(4) The State's security plan.
(5) State Certification Checklist
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/recertification
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.
Background Checks and Waiver Process
Within its security plans, the rule requires States to outline
their 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.
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
[[Page 15626]]
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.
This information will be collected directly from the States to
assist DHS in making REAL ID compliance determinations and is not
otherwise available.
The information collection discussed in this analysis applies to
states, state agencies, and certain employees involved in the card
production process. Therefore, it is DHS's belief that the information
collection does not have a significant impact on a substantial number
of small businesses.
In accordance with the regulations, submission of certification
materials and security plans will assist DHS in determining full
compliance. DHS may also review documents, audit processes, and conduct
inspections. Failure to make a compliance determination would prevent
state-issued licenses and identification cards from being used for
official purposes, which includes boarding commercial aircraft and
accessing federal facilities. Additional requirements for
recordkeeping, document retention and storage, as well as background
checks for certain employees help to ensure the integrity of the card
production and issuance process and will assist DHS during audits or
inspections of a state's processes.
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 has been no program changes or new requirements established
as a result of this collection 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: Agency Information Collection Activities: REAL ID: Minimum
Standards for Driver's Licenses and Identification Cards Acceptable by
Federal Agencies for Office Purposes.
OMB Number: 1601-0005.
Frequency: Annually.
Affected Public: State, local, and tribal governments.
Number of Respondents: 18.
Estimated Time per Respondent: 750 hours.
Total Burden Hours: 13,500 hours.
Dated: April 8, 2019.
Scott Ewalt,
Acting Executive Director, Enterprise Business Management Office.
[FR Doc. 2019-07565 Filed 4-15-19; 8:45 am]
BILLING CODE 9110-9B-P
