Privacy Act of 1974; Systems of Records, 50998-51002 [E7-17496]

Agencies

• Office of Special Counsel

[Federal Register Volume 72, Number 171 (Wednesday, September 5, 2007)]
[Notices]
[Pages 50998-51002]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-17496]


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OFFICE OF SPECIAL COUNSEL


Privacy Act of 1974; Systems of Records

AGENCY: Office of Special Counsel

ACTION: Notice of systems of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, this 
notice describes two U.S. Office of Special Counsel (OSC) systems of 
records consisting of internal agency administrative records dealing 
with employee security and suitability and pay management. The public 
is invited to comment on these notices.

DATES: Public comments must be received by October 5, 2007. The 
proposed routine uses will become effective without change and without 
further notice on October 15, 2007, unless comments are received that 
result in a contrary determination by OSC.

ADDRESSES: Written comments should be sent by mail to: Office of 
Special Counsel, 1730 M. Street, NW., Suite 218, Washington, DC 20036-
4505, Attention: Kathryn Stackhouse, or by fax to (202) 653-5161, Attn: 
Kathryn Stackhouse.

FOR FURTHER INFORMATION CONTACT: Kathryn Stackhouse, General Law 
Counsel, Office of Special Counsel, by telephone at (202) 254-3600 or 
(800) 877-8339 (TDD), or by fax at (202) 653-5161.

SUPPLEMENTARY INFORMATION: This notice describes two systems of records 
consisting of internal agency administrative records dealing with 
employee security and suitability and pay management. Implementation of 
the system identified in this notice as OSC-2 (Personnel Security 
Records) will facilitate OSC's collection and management of personnel 
security information needed to comply with Homeland Security 
Presidential Directive (HSPD) 12 (``Policy for a Common Identification 
Standard for Federal Employees and Contractors''), dated August 27, 
2004, and implementing guidance issued by the Office of Management and 
Budget. The records covered by OSC-2 are those dealing with decisions 
about clearance for access to classified information; suitability, 
eligibility, and fitness for service of applicants for federal 
employment and contract positions, including students, interns, 
volunteers and other individuals to the extent their duties require 
access to federal facilities, information, systems, or applications. 
Records covered by the system proposed as OSC-3 (Pay Management 
Records) are those dealing with pay and leave.

OSC-2

SYSTEM NAME:

    Personnel Security Records

SYSTEM LOCATION:

    Security Office, U.S. Office of Special Counsel, 1730 M. Street, 
NW., Suite 218, Washington, DC 20036-4505.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Individuals who require regular, ongoing access to federal 
facilities, information technology systems, or information classified 
in the interest of national security, including applicants for 
employment or contracts, federal employees, temporary hires, 
contractors, students, interns (both paid and unpaid), volunteers, 
affiliates, individuals authorized to perform services provided in OSC 
facilities (e.g., building security, office cleaning, building 
contractors, 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 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; 
Standard Forms SF-85, SF-85P, SF-86, SF-86C, SF-87, FD-258.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    Depending upon the purpose of the investigation, the U.S. 
government is authorized to ask for this information under Executive 
orders 10450, 10865, 12333, and 12356; 5 U.S.C. 3301 and 9101; 42 
U.S.C. 2165 and 2201; 50 U.S.C. 781-887; 5 C.F.R. parts 5, 732, and 
736; and HSPD 12.

PURPOSES:

    The records in this system of records are used to document and 
support decisions about clearance for access to classified information, 
the suitability, eligibility, and fitness for service of applicants for 
federal employment and contract positions, including students, interns, 
volunteers and other individuals 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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:

    When determined by OSC that disclosure of a record is a use of 
information in the record compatible with the purpose for which the 
record was collected -
    a. To the Department of Justice (DOJ) when:
    (1) The OSC, or

[[Page 50999]]

    (2) Any employee of the OSC in his or her official capacity, or
    (3) Any employee of the OSC in his or her individual capacity when 
the DOJ has been asked, or has agreed, to represent the employee, or
    (4) The United States, when the OSC determines that litigation is 
likely to affect the agency, is a party to litigation, or has an 
interest in such litigation, and the use of such records by the DOJ is 
deemed by the OSC to be relevant and necessary to the litigation.
    b. To a court or adjudicative body in a proceeding, when:
    (1) The OSC, or
    (2) Any employee of the OSC in his or her official capacity,
    (3) Any employee of the OSC in his or her individual capacity when 
the OSC has agreed to represent the employee, or
    (4) The United States, when the OSC determines that litigation is 
likely to affect the OSC, is a party to litigation or has an interest 
in such litigation, and the use of such records by the DOJ is deemed by 
the OSC to be relevant and necessary to the litigation.
    c. Except as noted on Standard Forms SF 85, 85-P, 86, and 86-C, 
when a record, alone or in conjunction with other records, indicates a 
violation or potential 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 to such a statute, to the appropriate public authority, 
whether federal, state, local, foreign, tribal, or otherwise, 
responsible for enforcing, investigating or prosecuting such violation 
or charged with enforcing or implementing the statute, or rule, 
regulation, or order issued pursuant to the statute, if the information 
disclosed is relevant to any enforcement, regulatory, investigative or 
prosecutorial responsibility of the receiving entity.
    d. To a congressional office in response to an inquiry from that 
office made at the written request of the constituent about whom the 
record is maintained.
    e. To the National Archives and Records Administration (NARA) for 
records management functions authorized by laws, regulations, and 
policies governing NARA operations and agency records management 
responsibilities.
    f. To agency contractors, experts, consultants, detailees, or non-
OSC employees performing or working on a contract, service, or other 
activity related to the system of records, subject to the requirements 
of the Privacy Act, when necessary to accomplish an agency function 
related to the system of records.
    g. 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.
    h. 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.
    i. 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.
    j. 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 approved by the Attorney General and 
promulgated pursuant to such statutes, orders or directives.
    k. To the Office of Management and Budget (OMB) when necessary to 
the review of private relief legislation pursuant to OMB Circular No. 
A-19.
    l. To appropriate agencies, entities, and persons when: (1) The OSC 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (2) the OSC 
has determined that as a result of the suspected or confirmed 
compromise there is a risk of harm to economic or property interests, 
identity theft or fraud, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by the OSC or 
another agency or entity) that rely upon the compromised information; 
and (3) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with OSC efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

    Records are stored on paper in a secure location on government 
premises.

RETRIEVABILITY:

    Background investigation files are retrieved by name.

SAFEGUARDS:

    Records are kept in a locked metal file cabinet in a lockable room 
at the OSC office responsible for suitability determinations. Access to 
the records is limited to those employees who have a need for them in 
the performance of their official duties.

RETENTION AND DISPOSAL:

    Records in the system are retained and disposed of in accordance 
with General Records Schedule 18, item 22a, issued by NARA. The records 
are disposed of in accordance with OSC's disposal policies which call 
for shredding. Records are destroyed upon notification of death or not 
later than six months after separation or transfer of employee to 
another agency or department, whichever is applicable.

SYSTEM MANAGER AND ADDRESS:

    Security Officer, U.S. Office of Special Counsel, 1730 M. Street, 
NW., Suite 218, Washington, DC 20036-4505.

NOTIFICATION PROCEDURES:

    Individuals who wish to inquire whether this system contains 
information about them should contact the Privacy Act Officer, U.S. 
Office of Special Counsel: (1) by mail at: 1730 M. Street, NW., Suite 
218, Washington, DC 20036-4505; (2) by telephone at: 202-254-3600; or 
(3) by fax at: 202-653-5161. To assist in the process of locating and 
identifying records, individuals should furnish the following:
    a. Name and home address;
    b. Business title and address;

[[Page 51000]]

    c. A description of the circumstances under which records may have 
been included in the system; and
    d. Any other information deemed necessary by OSC to properly 
process the request.

RECORDS ACCESS PROCEDURES:

    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. Rules about access to Privacy 
Act records appear in 5 C.F.R. part 1830.

CONTESTING RECORD PROCEDURES:

    Individuals who wish to contest records about themselves should 
contact the OSC Privacy Act Officer, identify any information they 
believe should be corrected, and furnish a statement of the basis for 
the requested correction along with all available supporting documents 
and materials. See OSC Privacy Act regulations at 5 C.F.R. part 1830.

RECORD SOURCE CATEGORIES:

    Information is obtained from a variety of sources including the 
employee, contractor, or applicant through use of the SF-85, SF-85P, 
SF-86, or SF-86C and 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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

    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 background investigation.

OSC-3

SYSTEM NAME:

    Pay Management Records

SYSTEM LOCATION:

    Human Resources Branch, U.S. Office of Special Counsel, 1730 M. 
Street, NW., Suite 218, Washington, DC 20036-4505, and in the offices 
of other federal agencies or entities retained by OSC to provide 
administrative processing services, including associated budget, 
accounting, audit, and other oversight functions.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

    Current and former OSC employees, including consultants.

CATEGORIES OF RECORDS IN THE SYSTEM:

    This system contains financial information relating to pay, cash 
awards and leave awards, incentive payments, deductions and payments to 
other accounts, leave, and time and attendance. This includes, but is 
not limited to, information such as name, date of birth, social 
security number, home address, grade, employing organization, salary, 
pay plan, number of hours worked, leave accrual rate, usage, and 
balances; Civil Service Retirement System and Federal Employees 
Retirement System contributions, including Thrift Savings Plan data; 
Federal Insurance Contributions Act (FICA) withholdings; federal, 
state, and local tax withholdings; Federal Employee Group Life 
Insurance (FEGLI) withholdings; Federal Employee Health Benefits (FEHB) 
withholdings; charitable deductions; allotments to financial 
organizations; garnishment data; savings bond allotments; deductions 
for Internal Revenue Service (IRS) levies; court-ordered child support 
levies; federal salary offset deductions; injury compensation; 
unemployment compensation; leave transfer program data; direct deposit 
accounts; time and attendance reports; and leave requests and 
approvals.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

    5 U.S.C. 1212, and chapters 55 and 63; 31 U.S.C. 1501(a); and the 
Personal Responsibility and Work Opportunity Reconciliation Act of 1996 
(PRWORA) (Pub. L. 104-193).

PURPOSE:

    To administer agency pay and leave functions and obligations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:

    When determined by OSC, or by other agencies or entities retained 
by OSC to provide administrative processing services, that disclosure 
of a record is a use of information in the record compatible with the 
purpose for which the record was collected -
    a. To authorized employees of other agencies retained by the OSC to 
provide administrative processing services, including associated 
budget, accounting, audit, and other oversight functions.
    b. To the Department of the Treasury in connection with issuance of 
funds electronically and by check, and U.S. Savings Bonds.
    c. To the Department of Labor (DOL) in connection with a claim by 
an employee for compensation based on job-connected injury or illness.
    d. To state and District of Columbia offices of unemployment 
compensation in connection with a claim by a former employee for 
unemployment compensation.
    e. To federal, state, and local tax authorities and the Social 
Security Administration (SSA) in connection with income tax 
withholding, FICA tax withholding and other employment tax withholding 
and benefits.
    f. To the Office of Personnel Management (OPM) in connection with 
payroll deductions for federal employee retirement systems, or 
otherwise as needed in the performance of its duties.
    g. To FEGLI and FEHB plan providers in connection with survivor 
annuity or health benefits enrollment, claims, or records 
reconciliation.
    h. To the Combined Federal Campaign in connection with authorized 
payroll deductions for charitable contributions.
    i. To banking institutions in enabling individual receipt of 
payments by direct deposit and electronic funds transfer.
    j. To any source from which OSC requests information relevant to an 
OSC determination about an individual's pay, deductions, reimbursement, 
leave, or related transaction, to the extent necessary to identify the 
individual, inform the source of the purpose of the request, and 
describe the type of information requested.
    k. To a congressional office in response to an inquiry from that 
office made at the written request of the constituent about whom the 
record is maintained.
    l. If the individual to whom the record pertains dies, to the 
executor or personal representative of the estate of the individual, 
the individual's designee or designated beneficiary, or next of kin, in 
connection with estate administration.
    m. To the Office of Management and Budget (OMB) when necessary to 
the review of private relief legislation pursuant to OMB Circular No. 
A-19.
    n. To the Department of Justice (DOJ), OPM, DOL, IRS, or other 
agency with subject matter expertise to the extent necessary to obtain 
advice on any

[[Page 51001]]

authorities, programs, or functions associated with records in this 
system.
    o. When a record, alone or in conjunction with other records, 
indicates a violation or potential 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 to such a statute, disclosure may be made to the 
appropriate public authority, whether federal, state, local, foreign, 
or otherwise, responsible for enforcing, investigating or prosecuting 
such violation or charged with enforcing or implementing the statute, 
or rule, regulation, or order issued pursuant to the statute, if the 
information disclosed is relevant to any enforcement, regulatory, 
investigative or prosecutorial responsibility of the receiving entity.
    p. To agency contractors, experts, consultants, detailees, or non-
OSC employees performing or working on a contract, service, or other 
activity related to the system of records, subject to the requirements 
of the Privacy Act, when necessary to accomplish an agency function 
related to the system of records.
    q. To a federal, state, or local agency requesting information for 
purposes associated with the hiring or retention of an employee, the 
conduct of a suitability or security investigation, the issuance of a 
security clearance, the classification of a job, the letting of a 
contract, or the issuance of a license, grant or other benefit, to the 
extent that the information is relevant and necessary to the requesting 
agency's decision on the matter.
    r. To the National Archives and Records Administration (NARA) for 
records management functions authorized by laws, regulations, and 
policies governing NARA operations and agency records management 
responsibilities.
    s. To OMB for the purpose of providing reports required of OSC in 
carrying out OSC's financial and other management functions.
    t. To DOJ when:
    (1) The OSC, or
    (2) Any employee of the OSC in his or her official capacity, or
    (3) Any employee of the OSC in his or her individual capacity when 
the DOJ has been asked, or has agreed, to represent the employee, or
    (4) The United States, when the OSC determines that litigation is 
likely to affect the agency, is a party to litigation, or has an 
interest in such litigation, and the use of such records by the DOJ is 
deemed by the OSC to be relevant and necessary to the litigation.
    u. To disclose records maintained by the OSC in a proceeding before 
a court or adjudicative body before which the OSC is authorized to 
appear, when:
    (1) The OSC, or
    (2) Any employee of the OSC in his or her official capacity,
    (3) Any employee of the OSC in his or her individual capacity when 
the OSC has agreed to represent the employee, or
    (4) The United States, when the OSC determines that litigation is 
likely to affect the OSC,
    v. is a party to litigation or has an interest in such litigation, 
and the use of such records by the DOJ is deemed by the OSC to be 
relevant and necessary to the litigation.
    w. To disclose information to a grievance or complaint examiner, 
equal employment opportunity counselor or investigator, or other 
federal official engaged in investigating, or settling, a grievance, 
complaint, or appeal filed by an employee, or disciplinary or 
competence determination proceedings, when the OSC determines that use 
of such records is relevant and necessary to the matter.
    x. To an employer for the purpose of effecting salary or 
administrative offsets to satisfy a debt owed the United States by the 
record subject, in accordance with the requirements of federal debt 
collection laws.
    y. To a court of competent jurisdiction, an authorized official, or 
authorized state agency, as defined in 5 C.F.R. parts 581 and 582, in 
compliance with orders, interrogatories, and other information requests 
relevant to garnishment orders with which OSC is required to comply 
under applicable federal law.
    z. To the Department of Health and Human Services child support 
enforcement office, for the purpose of locating individuals to 
establish paternity, establishing and modifying orders of child 
support, identifying sources of income; and for other child support 
enforcement actions pursuant to the PRWORA, the names, social security 
numbers, home addresses, dates of birth, dates of hire, quarterly 
earnings, employer identifying information, and state of hire of 
employees.
    aa. To appropriate agencies, entities, and persons when: (1) the 
OSC suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (2) the OSC 
has determined that as a result of the suspected or confirmed 
compromise there is a risk of harm to economic or property interests, 
identity theft or fraud, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by the OSC or 
another agency or entity) that rely upon the compromised information; 
and (3) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with OSC efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

    These records are maintained in file folders and on electronic 
media, including at such other agency or entity as the OSC may retain 
to provide administrative processing services, including associated 
budget, accounting, audit, and other oversight functions.

RETRIEVABILITY:

    Files in this system of records are retrieved by the names of 
individuals, and when accessed electronically, by Social Security 
number.

SAFEGUARDS:

    Records in file folders are stored by the OSC in secured areas on 
government premises. Records on computers may only be accessed by those 
authorized personnel who have a need for access to perform their 
duties, or to those individuals on whom the record is maintained. 
Electronic records are only accessible using passwords and other system 
protection methods.

RETENTION AND DISPOSAL:

    These records are kept by OSC in accordance with retention periods 
for such records established by NARA in applicable General Records 
Schedules.

SYSTEM MANAGER AND ADDRESS:

    Director, Human Resources Branch, U.S. Office of Special Counsel, 
1730 M. Street, NW., Suite 218, Washington, DC 20036-4505.

NOTIFICATION PROCEDURES:

    Individuals who wish to inquire whether this system contains 
information about them should contact the Privacy Act Officer, U.S. 
Office of Special Counsel: (1) by mail at: 1730 M. Street, NW., Suite 
218, Washington, DC 20036-4505; (2) by telephone at: 202-254-3600; or 
(3) by fax at: 202-653-5161. To assist in the process of locating and 
identifying records, individuals should furnish the following:
    a. Name and home address;

[[Page 51002]]

    b. Business title and address;
    c. A description of the circumstances under which records may have 
been included in the system; and
    d. Any other information deemed necessary by OSC to properly 
process the request.

RECORDS ACCESS PROCEDURES:

    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. Rules about access to Privacy 
Act records appear in 5 C.F.R. part 1830.

CONTESTING RECORD PROCEDURES:

    Individuals who wish to contest records about themselves should 
contact the OSC Privacy Act Officer, identify any information they 
believe should be corrected, and furnish a statement of the basis for 
the requested correction along with all available supporting documents 
and materials. See OSC Privacy Act regulations at 5 C.F.R. part 1830.

RECORD SOURCE CATEGORIES:

    Information in this system of records is obtained from a number of 
sources, including the individual to whom the record pertains, 
officials in OSC, official personnel records at OSC, OPM, IRS, SSA, 
DOL, and state government offices, and courts.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

    OSC reserves the right to assert exemptions for records received 
from another agency that could be properly claimed by that agency in 
responding to a request. OSC may, pursuant to subsection (d)(5) of the 
Privacy Act (5 U.S.C. 552a), refuse access to information compiled in 
reasonable anticipation of a civil action or proceeding.

    Dated: August 29, 2007.
James Byrne,
Deputy Special Counsel.
[FR Doc. E7-17496 Filed 9-4-07; 8:45 am]
BILLING CODE 7405-01-S