Privacy Act of 1974; System of Records, 24242-24246 [2012-9605]
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Federal Register / Vol. 77, No. 78 / Monday, April 23, 2012 / Notices
facing business, would be able to
participate in the SLP program.
As noted above, the Exchange would
continue to require that a DMM be
registered in every security at the
Exchange, and similar to NYSE Arca’s
market maker program, which has two
classes of market maker, the SLMMs
would provide supplemental liquidity
in addition to the DMMs. Because the
proposed SLMMs would be required to
meet the Two-Sided Obligation
applicable to all equities market makers,
the Exchange believes that the proposed
rule change would also remove
impediments to and perfect the
mechanism of a free and open market
and a national market system by
increasing the number of market
participants that are required to
maintain a continuous two-sided
quotation in the securities in which they
are registered. The Exchange further
believes that adding additional
registered market makers would protect
investors and the public interest by
providing additional sources of liquidity
for trading.
In addition, the Exchange believes
that the proposed rule change is
consistent with the requirements of the
Act because the proposed requirements
for the SLMMs are based on existing,
approved requirements for registered
market makers on other exchanges. In
addition to the Two-Sided Obligation,
the proposed SLMMs would also be
required to assist in the maintenance of
a fair and orderly market, as reasonably
practicable, and maintain net capital
consistent with federal requirements for
market makers.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will impose
any burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act.
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C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received with respect to the proposed
rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Within 45 days of the date of
publication of this notice in the Federal
Register or within such longer period (i)
as the Commission may designate up to
90 days of such date if it finds such
longer period to be appropriate and
publishes its reasons for so finding or
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(ii) as to which the self-regulatory
organization consents, the Commission
will:
(A) By order approve or disapprove
the proposed rule change, or
(B) Institute proceedings to determine
whether the proposed rule change
should be disapproved.
should refer to File Number SR–NYSE–
2012–10 and should be submitted on or
before May 14, 2012.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.17
Kevin M. O’Neill,
Deputy Secretary.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
[FR Doc. 2012–9629 Filed 4–20–12; 8:45 am]
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rulecomments@sec.gov. Please include File
Number SR–NYSE–2012–10 on the
subject line.
AGENCY:
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549–1090.
All submissions should refer to File
Number SR–NYSE–2012–10. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
Internet Web site (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for Web site viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE.,
Washington, DC 20549, on official
business days between the hours of
10 a.m. and 3 p.m. Copies of such filing
also will be available for inspection and
copying at the principal office of the
Exchange. All comments received will
be posted without change; the
Commission does not edit personal
identifying information from
submissions. You should submit only
information that you wish to make
publicly available. All submissions
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BILLING CODE 8011–01–P
OFFICE OF SPECIAL COUNSEL
Privacy Act of 1974; System of
Records
U.S. Office of Special Counsel.
Notice of Proposed Revisions to
Existing System of Records.
ACTION:
In accordance with the
Privacy Act of 1974 (5 U.S.C. 552a), as
amended, the U.S. Office of Special
Counsel (OSC) is publishing notice of
proposed revisions to its system of
records entitled ‘‘OSC/GOVT-1—OSC
Complaint, Litigation, and Political
Activity Files,’’ last published in full in
the Federal Register on July 12, 2001
(66 FR 36611), and corrected on October
5, 2001 (66 FR 51095). OSC proposes to
modify this system of records to make
necessary revisions to include:
—Revising the title of the system to
clarify that Disclosure Unit records
are included;
—Modifications to update statutory
coverage, OSC procedures, and OSC’s
administrative changes;
—Revisions to some existing routine
uses to clarify coverage and add
necessary disclosures;
—Adding new routine uses; and
—Making plain language or technical
revisions throughout.
In accordance with 5 U.S.C. 552a(e)(4)
and (11), the public is given a 30-day
period in which to comment; and the
Office of Management and Budget
(OMB), which has oversight
responsibility under the Privacy Act,
requires a 40-day period in which to
conclude its review of the system.
Therefore, please submit any comments
within 30 days of this notice. In
accordance with 5 U.S.C. 552a(r), OSC
is providing a report to OMB and the
Congress.
SUMMARY:
Comments should be received on
or before May 23, 2012. The proposed
revisions to the system of records will
become effective without further notice
on May 23, 2012, unless OSC
determines otherwise based on
comments received.
DATES:
17 17
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Written comments may be
sent to Office of General Counsel, U.S.
Office of Special Counsel, by mail at
1730 M Street NW., Suite 218,
Washington, DC 20036–4505; or by fax
to (202) 653–5151.
FOR FURTHER INFORMATION CONTACT:
Kathryn Stackhouse, Associate General
Counsel, U.S. Office of Special Counsel,
at (202) 254–3600, or write to the
address above.
SUPPLEMENTARY INFORMATION:
OSC proposes the following revisions
to its Privacy Act system of records
‘‘OSC/GOVT-1—OSC Complaint,
Litigation, and Political Activity Files.’’
The system name has been revised
from ‘‘OSC/GOVT-1—OSC Complaint,
Litigation, and Political Activity Files’’
to ‘‘OSC/GOVT-1, OSC Complaint,
Litigation, Political Activity, and
Disclosure Files’’ to clarify that this
system includes Disclosure Unit
records. In addition, the system location
and system manager address have been
updated.
The categories of individuals covered
have been modified to reflect current
coverage. The description of categories
of records in the system has been
revised to more clearly describe the
system’s records by including specific
examples and descriptions.
The statement of authorities for
maintenance of the system has been
updated to add the Administrative
Dispute Resolution Act of 1996 (Pub. L.
104–320), codified at 5 U.S.C. 571–574,
and USERRA demonstration projects
under Sec. 204 of the Veterans Benefits
Improvement Act of 2004 (Pub. L. 108–
454), and Sec. 105 of the Veterans
Benefits Act of 2010 (Pub. L. 111–175),
codified at 38 U.S.C. 4301 note. A
purposes section has been added.
Revisions to the existing routine uses
include the following:
(1) Routine use ‘‘g’’ has been revised:
To clarify that disclosures under this
provision include those disclosures
required under 5 U.S.C. 1213; and to
clarify that disclosures may be made as
part of resolving an allegation by
settlement or otherwise;
(2) Routine use ‘‘h’’ has been revised
to add disclosures where necessary to
obtain information relevant to an agency
decision pertaining to the classification
of a job;
(3) Routine use ‘‘k’’ has been revised
to clarify that all functions authorized
by laws, regulations, and policies
governing National Archives and
Records Administration (NARA)
operations and OSC records
management responsibilities are
included;
(4) Routine use ‘‘m’’ has been revised
to add that a disclosure may be made to
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the Department of Justice (DOJ) in order
for OSC to request that DOJ represent an
agency employee. In addition, routine
uses ‘‘m’’ and ‘‘n’’ have been revised for
clarification purposes;
(5) Routine use ‘‘p’’ has been revised
to clarify that disclosures under this
provision include notifying an Office of
Inspector General (OIG) (or comparable
office) of the disposition of matters
referred by such office to the OSC;
(6) Routine use ‘‘r’’ has been revised
to state that the reference to litigation
under 38 U.S.C. 4324 includes ‘‘possible
litigation,’’ and to add disclosures
pertaining to a USERRA demonstration
project, or to mediation by the U.S.
Department of Defense, Employer
Support of the Guard and Reserve.
Nine routine uses have been added.
They are:
(1) Routine use ‘‘s’’ to disclose
records, when OSC has agreed to
represent a USERRA complainant under
38 U.S.C. 4324 (a)(2)(A), from the
corresponding USERRA investigative
file to the relevant USERRA litigation
file, and to disclose records from the
relevant USERRA litigation file to the
USERRA complainant;
(2) Routine use ‘‘t’’ to disclose
information to agency contractors,
experts, consultants, detailees, or nonOSC employees performing or working
on a contract, service, or other activity
related to the system of records, when
necessary to accomplish an agency
function related to the system;
(3) Routine use ‘‘u’’ to make lists and
reports available to the public as
required by 5 U.S.C. 1219;
(4) Routine use ‘‘v’’ to make
disclosures that may be needed in the
case of a data breach, pursuant to OMB
Memorandum M–07–16, ‘‘Safeguarding
Against and Responding to the Breach
of Personally Identifiable Information;
(5) Routine use ‘‘w’’ for disclosures to
other agencies with subject matter
expertise when needed;
(6) Routine use ‘‘x’’ for disclosures to
appropriate authorities when violations
or potential violations of law or
regulation are indicated, and as required
under 28 U.S.C. 535 and 5 U.S.C. 1214;
(7) Routine use ‘‘y’’ for necessary
disclosures to the Integrity Committee of
the Council of the Inspectors General on
Integrity and Efficiency;
(8) Routine use ‘‘z’’ for disclosures to
DOJ and the Federal Bureau of
Investigation required for inclusion in
the National Instant Criminal
Background Check System (NICS),
under the reporting requirements of the
Brady Handgun Violence Prevention
Act, as amended by the NICS
Improvement Amendments Act of 2007;
and
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(9) Routine use ‘‘aa’’ for disclosures
that may be required when processing
certain FOIA or Privacy Act matters.
The description of retrievability has
been modified to reflect actual practices.
The description of retention periods has
been updated to reflect OSC’s current
record retention practice. OSC is
revising its record retention schedule in
consultation with NARA. Records are
maintained for the current or draft
proposed retention period, whichever is
longer.
The system manager contact
information has been updated to reflect
administrative changes within the
agency.
The notification procedure has been
revised to conform with the revisions to
OSC’s regulations implementing the
Privacy Act, published October 4, 2007
(72 FR 56617). The contact information
has been changed to OSC’s Privacy Act
Officer, rather than the system manager,
to reflect current practice. The point-ofcontact for contesting records has also
been similarly revised. Reference to
OSC’s Privacy Act regulations at 5 CFR
part 1830 has been included in the
records access and contesting records
sections for consistency.
The description of record source
categories has been revised to clarify
that disclosures of information filed
with OSC are included.
The description of exemptions
claimed for the system has been
updated to reflect the revisions to OSC’s
regulations implementing the Privacy
Act, published October 4, 2007 (72 FR
56617).
Finally, several ‘‘plain language’’ edits
have been made throughout the notice.
The revised OSC/GOVT-1 reads:
OSC/GOVT-1
SYSTEM NAME:
OSC/GOVT-1, OSC Complaint,
Litigation, Political Activity, and
Disclosure Files.
SYSTEM LOCATION:
Program offices and the Document
Control Branch, U.S. Office of Special
Counsel (OSC), 1730 M Street NW.,
Suite 218, Washington, DC 20036–4505,
and records which may be located at
other agencies.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
The principal categories of
individuals covered by the system are
persons filing allegations of prohibited
personnel practices or other prohibited
activities; persons identified as engaging
or participating in improper political
activity; persons filing disclosures of
alleged wrongdoing by federal agencies;
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persons requesting advisory opinions on
political activity, or third party subjects
of such advisory opinions; persons
charged by OSC in disciplinary action
complaints filed by OSC with the Merit
Systems Protection Board (MSPB);
persons on whose behalf OSC seeks
corrective action before the MSPB;
persons filing allegations of wrongdoing
in Uniformed Services Employment and
Reemployment Rights Act (USERRA)
matters referred or transferred to OSC;
plaintiffs seeking remedies or discovery
against OSC in litigation or
administrative claims; and persons
filing requests for information or
administrative appeals under the
Freedom of Information Act (FOIA) or
the Privacy Act.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, 552a, 571–584, 1211–
1221, 1501–1508, and 7321–7326; 38
U.S.C. 4324, Sec. 204 of the Veterans
Benefits Improvement Act of 2004,
Public Law 108–454 and Sec. 105 of the
Veterans’ Benefits Act of 2010, Public
Law 111–175, both codified at 38 U.S.C.
4301 note.
PURPOSES:
Records are maintained to: (1)
Document how each matter at OSC was
handled; (2) provide a resource for
consistency in interpretation and
application of the law; and (3) allow for
statistical reports and analysis of
matters processed at OSC.
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CATEGORIES OF RECORDS IN THE SYSTEM:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
The principal types of records in the
system are complaints alleging
prohibited personnel practices,
improper political activity, or other
violations of law or regulation;
disclosures of information about alleged
wrongdoing by federal agencies; written
requests that result in formal advisory
opinions on political activity;
allegations of USERRA violations;
litigation documents served on or filed
by OSC in litigation; correspondence
with persons (or their representatives)
filing such complaints, disclosures,
requests, or litigation; communications
with other agencies, entities, or
individuals referring matters to OSC for
review or investigation; exhibits and
other documentation received from
filers and requesters, governmental
entities or third parties; interview
records, including notes, summaries, or
transcripts; affidavits; reports or other
summaries of investigation; factual and
legal summaries or analyses;
administrative determinations; referrals
to other governmental entities for
appropriate action; records created or
compiled in connection with litigation
by or against OSC, or pertinent to OSC
operations; records relating to attempts
to resolve matters as part of OSC’s
Alternative Dispute Resolution (ADR)
Program; records of or related to OSC’s
FOIA and Privacy Act Program,
including but not limited to, requests,
appeals, and decisions; information
about complaints, disclosures, requests
and litigation maintained in OSC’s
electronic case tracking system; and
other correspondence and documents
created or obtained in the performance
of OSC functions under 5 U.S.C. 1211–
1221, 1501–1508, and 7321–7326; 5
U.S.C. 552 and 552a; 38 U.S.C. 4324,
and other applicable law, regulation, or
OSC memoranda of understanding.
The following routine uses permit
OSC to:
a. Disclose the fact that an allegation
of prohibited personnel practices or
other prohibited activity has been filed;
b. Disclose information to the Office
of Personnel Management (OPM)
pursuant to Civil Service Rule 5.4 (5
CFR 5.4), or obtain an advisory opinion
concerning the application or effect of
civil service laws, rules, regulations, or
OPM guidelines in particular situations;
c. Disclose to the Equal Employment
Opportunity Commission or any other
agency or office concerned with the
enforcement of the anti-discrimination
laws, information concerning any
allegation or complaint of
discrimination based on race, color,
religion, sex, national origin, age, or
handicapping condition;
d. Disclose information to the MSPB
or the President upon the filing or
referral of a disciplinary action
complaint against an employee on the
basis of an OSC investigation;
e. Disclose information to an agency,
the MSPB, OPM, or the President, under
5 U.S.C. 1214, the results of
investigations which disclose
reasonable grounds to believe a
prohibited personnel practice has
occurred, exists, or is to be taken;
f. Disclose information to Congress in
connection with the submission of an
annual report on activities of the Special
Counsel;
g. Disclose information:
1. To any agency or person, regarding
allegations of prohibited personnel
practices or other prohibited activity, or
prohibited political activity filed against
an agency or any employee thereof, for
the purpose of conducting an
investigation; resolving an allegation
before OSC by settlement or otherwise;
or giving notice of the status or outcome
of an investigation;
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2. To an agency, Office of Inspector
General, complainant (whistleblower),
the President, Congressional
Committees, or the National Security
Advisor regarding violations of law,
rule, or regulation, or other disclosures
under 5 U.S.C. 1213 for the purposes of
transmitting information or reports as
required under that statute; or in giving
notice of the status or outcome of a
review;
h. Disclose information to any source
from which additional information is
requested (to the extent necessary to
identify the individual, inform the
source of the purpose(s) of the request,
and to identify the type of information
requested), where necessary to obtain
information relevant to an agency
decision concerning: the hiring or
retention of an employee; the issuance
of a security clearance; the classification
of a job; the conducting of a security or
suitability investigation of an
individual; the letting of a contract; or
the issuance of a license, grant, or other
benefit;
i. Disclose information to the Office of
Management and Budget (OMB) at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation, as set forth in
OMB Circular No. A–19;
j. Provide information to a
congressional office from the record of
an individual in response to an inquiry
from that congressional office (made at
the written request of that individual);
k. Furnish information to the National
Archives and Records Administration
(NARA) in records management
inspections conducted under authority
of 44 U.S.C. 2904 and 2906, or other
functions authorized by laws,
regulations, and policies governing
NARA operations and OSC records
management responsibilities;
l. Produce summary descriptive
statistics and analytical studies in
support of the function for which the
records are collected and maintained or
for related workforce studies;
m. Disclose records to the Department
of Justice (DOJ) when:
1. Any of the following entities or
individuals is a party to litigation or has
an interest in litigation:
A. The OSC;
B. Any employee of the OSC in his or
her official capacity;
C. Any employee of the OSC in his or
her individual capacity whom DOJ has
been asked or agreed to represent; or
D. The United States, where the OSC
determines that the OSC will be affected
by the litigation; and
2. When the OSC determines that use
of the records by the DOJ is relevant and
necessary to the litigation and that the
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disclosure to DOJ of the information
contained in the records is a use
compatible with the purpose for which
the records were collected;
n. Disclose records in a proceeding
before a court or adjudicative body,
before which the OSC is authorized to
appear, when:
1. Any of the following entities or
individuals is a party to, or has an
interest in the proceedings:
A. The OSC;
B. Any employee of the OSC in his or
her official capacity;
C. Any employee of the OSC in his or
her individual capacity whom OSC has
agreed to represent; or
D. The United States, where the OSC
determines that the OSC will be affected
by the proceedings; and
2. When the OSC determines that use
of the records is relevant and necessary
to the proceedings and that the
disclosure in such proceedings is a use
of the information contained in the
records that is compatible with the
purpose for which the records were
collected;
o. Disclose information to the MSPB
to aid in the conduct of special studies
by the Board under 5 U.S.C. 1204(a)(3);
p. Disclose information to an Office of
Inspector General (OIG) or comparable
internal inspection, audit, or oversight
office of an agency for the purpose of
facilitating the coordination and
conduct of investigations and review of
allegations within the purview of both
the OSC and the agency OIG or
comparable office; or in notifying an
OIG (or comparable office) of the
disposition of matters referred by the
OIG (or comparable office) to the OSC;
q. Disclose information to the news
media and the public when (1) The
matter under investigation has become
public knowledge, (2) the Special
Counsel determines that disclosure is
necessary to preserve confidence in the
integrity of the OSC investigative
process or is necessary to demonstrate
the accountability of OSC officers,
employees, or individuals covered by
this system, or (3) the Special Counsel
determines that there exists a legitimate
public interest (e.g., to demonstrate that
the law is being enforced, or to deter the
commission of prohibited personnel
practices, prohibited political activity,
and other prohibited activity within the
OSC’s jurisdiction), except to the extent
that the Special Counsel determines in
any of these situations that disclosure of
specific information in the context of a
particular case would constitute an
unwarranted invasion of personal
privacy;
r. Disclose information to the U.S.
Department of Labor (DOL) about OSC’s
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referral of a complaint alleging a
violation of veterans preference
requirements to DOL for further action
under the Veterans’ Employment
Opportunities Act of 1998; disclose
information to DOL or any agency or
person as needed to develop relevant
information about matters referred by
DOL to OSC under 38 U.S.C. 4324
(USERRA); disclose information to DOL
or any agency or person as needed to
advise on the status or disposition of
matters referred by DOL to OSC for
disciplinary action under 5 U.S.C. 1215,
or possible litigation under 38 U.S.C.
4324; or disclose information to DOL or
any agency or person as needed to
develop relevant information about, or
to advise on the status or disposition of,
matters investigated under a USERRA
demonstration project at OSC (Sec. 204,
Pub. L. 108–454; Sec. 105 Pub. L. 111–
275); or disclose information to the U.S.
Department of Defense, Employer
Support of the Guard and Reserve
(ESGR), for the purpose of having ESGR
mediate USERRA complaints received
by or referred to OSC;
s. To disclose records, when OSC has
agreed to represent a USERRA
complainant under 38 U.S.C.
4324(a)(2)(A), from the corresponding
USERRA investigative file to the
relevant USERRA litigation file, and
from the relevant USERRA litigation file
to the USERRA complainant;
t. Disclose information 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, when necessary to
accomplish an agency function related
to the system;
u. Make lists and reports available to
the public pursuant to 5 U.S.C. 1219;
v. Disclose information to appropriate
agencies, entities, and persons when: (1)
OSC suspects or has confirmed that the
security or confidentiality of
information in the system of records has
been compromised; (2) 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
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’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm;
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w. Disclose information to
appropriate federal entities with subject
matter expertise to the extent necessary
to obtain advice on any authorities,
programs, or functions associated with
records in this system;
x. Disclose pertinent information to
the appropriate federal, state, or local
agency responsible for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order
where OSC becomes aware of a
violation or potential violation of civil
or criminal law or regulation; and to
OPM and the OMB pursuant to 5 U.S.C.
1214;
y. Disclose information to the
Integrity Committee established under
section 11(d) of the Inspector General
Act of 1978, when needed because of
receipt, review or referral to the
Integrity Committee under section 7(b)
of Public Law 110–409; or as needed for
a matter referred to OSC by the Integrity
Committee;
z. Disclose information to the DOJ
and/or the Federal Bureau of
Investigation for inclusion in the
National Instant Criminal Background
Check System (NICS), pursuant to the
reporting requirements of the Brady
Handgun Violence Prevention Act, as
amended by the NICS Improvement
Amendments Act of 2007; and
aa. Disclose information when
consulting with, or referring a record to,
another Federal entity for the purpose of
making a decision on a request for
information under the FOIA or the
Privacy Act; or to the Office of
Government Information Services
established at NARA by the Open
Government Act of 2007, which
amended the FOIA, for the purpose of
conducting mediation and otherwise
resolving disputes under FOIA.
POLICIES AND PRACTICES FOR STORAGE,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are stored in a variety
of media, primarily consisting of file
folders, and computer storage
equipment.
RETRIEVABILITY:
Files in this system of records are
retrievable by the names of key
individuals or agencies involved (e.g.,
complainants or requesters; persons on
whose behalf OSC seeks corrective
action; subjects identified in
disciplinary proceedings, warning
letters, or other determinations; legal,
congressional, or other representatives
or points of contact; or key witnesses),
although files are generally retrieved by
the name of: (a) The complainant
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alleging a prohibited personnel practice,
or other prohibited activity; (b) the
alleged subject of a complaint about
prohibited political activity; (c) the
person filing an allegation through the
OSC whistleblower disclosure channel;
(d) the name of the person filing a
request for an advisory opinion on
political activity, or the third party
subject of such advisory opinions; (e)
the name of the person on whose behalf
OSC seeks corrective action, or the
person against whom OSC seeks
disciplinary action, in litigation before
the MSPB; (f) the plaintiff in litigation
or administrative claims against OSC;
persons requesting discovery from OSC;
and FOIA and Privacy Act requesters
and appellants.
SAFEGUARDS:
These records are located in lockable
file cabinets or in secured areas. The
required use of computer password
protection identification features and
other system protection methods also
restrict access. Access is limited to those
agency personnel who have an official
need for access to perform their duties.
rmajette on DSK2TPTVN1PROD with NOTICES
RETENTION AND DISPOSAL:
Case file records related to allegations
of prohibited personnel practices and
other prohibited activities, including
allegations of improper political
activity, violations of USERRA, and
other matters under OSC’s jurisdiction,
including program litigation records and
records of the ADR Unit and the
Disclosure Unit, that are of
extraordinary importance to the nation
or OSC, are permanent records when
approved by the Special Counsel. Case
file records of the Disclosure Unit that
result in either a referral to an agency
head pursuant to 5 U.S.C. 1213, or an
informal referral to an agency’s
Inspector General, are retained for 10
years after the date of closure. Other
case file records related to such
prohibited activities, including program
litigation, and the Disclosure Unit are
retained for 6 years after the date of
closure. Case file records of Formal
Advisory Opinions of the Hatch Act
Unit are retained for 6 years after the
date of closure. Litigation case file
records relating to the legal defense of
OSC and its interests in matters and
claims filed against the agency in courts,
administrative tribunals, or other
forums, including formal and informal
discovery requests, and other claims or
similar proceedings that are of
extraordinary importance to the nation
or OSC are permanent records when
approved by the Special Counsel. All
other such defensive litigation and
claim case file records are retained for
VerDate Mar<15>2010
15:11 Apr 20, 2012
Jkt 226001
7 years after the date of closure.
Additionally, final signed settlement
agreements are retained for 20 years
after the date of closure. Personally
identifiable information in OSC’s
electronic case tracking system is
retained until deleted from the database
25 years after the corresponding case
file is destroyed. Case file records
related to OSC’s FOIA and Privacy Act
Program are retained in accordance with
NARA’s General Records Schedule 14
for Information Services Records.
Disposal of records is accomplished by
shredding or by NARA-approved
processes. Electronic information is
disposed of by deletion. OSC is revising
its record retention schedule in
consultation with NARA. Pending
NARA approval of the revised records
schedule, records are maintained for the
current or proposed retention,
whichever is longer.
SYSTEM MANAGER(S) AND ADDRESS:
The official responsible for records
management functions associated with
OSC program and administrative files,
including those in the OSC/GOVT–1
system of records, is the Records
Management Officer, Document Control
Branch, U.S. Office of Special Counsel,
1730 M Street NW., Suite 218,
Washington, DC 20036–4505.
NOTIFICATION PROCEDURE:
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: Name and
home address; business title and
address; any other known identifying
information such as an agency file
number or identification number; a
description of the circumstances under
which the records were compiled; and
any other information deemed necessary
by OSC to properly process the request.
RECORD ACCESS PROCEDURES:
Same as notification procedure,
above. Requesters should also
reasonably specify the record contents
being sought. Rules about access are in
5 CFR part 1830.
CONTESTING RECORD PROCEDURES:
Individuals who wish to contest
records about them should contact
OSC’s Privacy Act Officer, identify any
information they believe should be
corrected, and furnish a statement of the
PO 00000
Frm 00083
Fmt 4703
Sfmt 9990
basis for the requested correction along
with all available supporting documents
and materials. See OSC Privacy Act
regulations at 5 CFR part 1830.
RECORD SOURCE CATEGORIES:
Information in this system of records
is obtained from a variety of sources,
consisting of complainants or others on
whose behalf allegations, disclosures of
information, or requests for information,
have been submitted or referred to OSC;
legal, congressional, or other
representatives or points of contact;
other government bodies; witnesses and
subjects in matters under review;
principals involved in litigation matters,
including parties and their
representatives; and other persons or
entities furnishing information pertinent
to the discharge of functions for which
OSC is responsible.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
OSC will claim exemptions from the
provisions of the Privacy Act at
subsections (c)(3) and (d) as permitted
by subsection (k) for records subject to
the Act that fall within the category of
investigatory material described in
paragraphs (2) and (5), and testing or
examination material described in
paragraph (6) of that subsection. The
exemptions for investigatory material
are necessary to prevent frustration of
inquiries into allegations of prohibited
personnel practices, unlawful political
activity, whistleblower disclosures,
USERRA violations, and other matters
under OSC’s jurisdiction, and to protect
identities of confidential sources of
information, including in background
investigations of OSC employees,
contractors, and other individuals
conducted by or for OSC. The
exemption for testing or examination
material is necessary to prevent the
disclosure of information which would
potentially give an individual an unfair
competitive advantage or diminish the
utility of established examination
procedures. OSC also 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 also
refuse access to any information
compiled in reasonable anticipation of a
civil action or proceeding.
Dated: April 13, 2012.
Mark Cohen,
Deputy Special Counsel.
[FR Doc. 2012–9605 Filed 4–20–12; 8:45 am]
BILLING CODE 7405–01–P
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[Federal Register Volume 77, Number 78 (Monday, April 23, 2012)]
[Notices]
[Pages 24242-24246]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-9605]
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OFFICE OF SPECIAL COUNSEL
Privacy Act of 1974; System of Records
AGENCY: U.S. Office of Special Counsel.
ACTION: Notice of Proposed Revisions to Existing System of Records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Privacy Act of 1974 (5 U.S.C. 552a), as
amended, the U.S. Office of Special Counsel (OSC) is publishing notice
of proposed revisions to its system of records entitled ``OSC/GOVT-1--
OSC Complaint, Litigation, and Political Activity Files,'' last
published in full in the Federal Register on July 12, 2001 (66 FR
36611), and corrected on October 5, 2001 (66 FR 51095). OSC proposes to
modify this system of records to make necessary revisions to include:
--Revising the title of the system to clarify that Disclosure Unit
records are included;
--Modifications to update statutory coverage, OSC procedures, and OSC's
administrative changes;
--Revisions to some existing routine uses to clarify coverage and add
necessary disclosures;
--Adding new routine uses; and
--Making plain language or technical revisions throughout.
In accordance with 5 U.S.C. 552a(e)(4) and (11), the public is
given a 30-day period in which to comment; and the Office of Management
and Budget (OMB), which has oversight responsibility under the Privacy
Act, requires a 40-day period in which to conclude its review of the
system. Therefore, please submit any comments within 30 days of this
notice. In accordance with 5 U.S.C. 552a(r), OSC is providing a report
to OMB and the Congress.
DATES: Comments should be received on or before May 23, 2012. The
proposed revisions to the system of records will become effective
without further notice on May 23, 2012, unless OSC determines otherwise
based on comments received.
[[Page 24243]]
ADDRESSES: Written comments may be sent to Office of General Counsel,
U.S. Office of Special Counsel, by mail at 1730 M Street NW., Suite
218, Washington, DC 20036-4505; or by fax to (202) 653-5151.
FOR FURTHER INFORMATION CONTACT: Kathryn Stackhouse, Associate General
Counsel, U.S. Office of Special Counsel, at (202) 254-3600, or write to
the address above.
SUPPLEMENTARY INFORMATION:
OSC proposes the following revisions to its Privacy Act system of
records ``OSC/GOVT-1--OSC Complaint, Litigation, and Political Activity
Files.''
The system name has been revised from ``OSC/GOVT-1--OSC Complaint,
Litigation, and Political Activity Files'' to ``OSC/GOVT-1, OSC
Complaint, Litigation, Political Activity, and Disclosure Files'' to
clarify that this system includes Disclosure Unit records. In addition,
the system location and system manager address have been updated.
The categories of individuals covered have been modified to reflect
current coverage. The description of categories of records in the
system has been revised to more clearly describe the system's records
by including specific examples and descriptions.
The statement of authorities for maintenance of the system has been
updated to add the Administrative Dispute Resolution Act of 1996 (Pub.
L. 104-320), codified at 5 U.S.C. 571-574, and USERRA demonstration
projects under Sec. 204 of the Veterans Benefits Improvement Act of
2004 (Pub. L. 108-454), and Sec. 105 of the Veterans Benefits Act of
2010 (Pub. L. 111-175), codified at 38 U.S.C. 4301 note. A purposes
section has been added.
Revisions to the existing routine uses include the following:
(1) Routine use ``g'' has been revised: To clarify that disclosures
under this provision include those disclosures required under 5 U.S.C.
1213; and to clarify that disclosures may be made as part of resolving
an allegation by settlement or otherwise;
(2) Routine use ``h'' has been revised to add disclosures where
necessary to obtain information relevant to an agency decision
pertaining to the classification of a job;
(3) Routine use ``k'' has been revised to clarify that all
functions authorized by laws, regulations, and policies governing
National Archives and Records Administration (NARA) operations and OSC
records management responsibilities are included;
(4) Routine use ``m'' has been revised to add that a disclosure may
be made to the Department of Justice (DOJ) in order for OSC to request
that DOJ represent an agency employee. In addition, routine uses ``m''
and ``n'' have been revised for clarification purposes;
(5) Routine use ``p'' has been revised to clarify that disclosures
under this provision include notifying an Office of Inspector General
(OIG) (or comparable office) of the disposition of matters referred by
such office to the OSC;
(6) Routine use ``r'' has been revised to state that the reference
to litigation under 38 U.S.C. 4324 includes ``possible litigation,''
and to add disclosures pertaining to a USERRA demonstration project, or
to mediation by the U.S. Department of Defense, Employer Support of the
Guard and Reserve.
Nine routine uses have been added. They are:
(1) Routine use ``s'' to disclose records, when OSC has agreed to
represent a USERRA complainant under 38 U.S.C. 4324 (a)(2)(A), from the
corresponding USERRA investigative file to the relevant USERRA
litigation file, and to disclose records from the relevant USERRA
litigation file to the USERRA complainant;
(2) Routine use ``t'' to disclose information 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, when necessary to accomplish an agency
function related to the system;
(3) Routine use ``u'' to make lists and reports available to the
public as required by 5 U.S.C. 1219;
(4) Routine use ``v'' to make disclosures that may be needed in the
case of a data breach, pursuant to OMB Memorandum M-07-16,
``Safeguarding Against and Responding to the Breach of Personally
Identifiable Information;
(5) Routine use ``w'' for disclosures to other agencies with
subject matter expertise when needed;
(6) Routine use ``x'' for disclosures to appropriate authorities
when violations or potential violations of law or regulation are
indicated, and as required under 28 U.S.C. 535 and 5 U.S.C. 1214;
(7) Routine use ``y'' for necessary disclosures to the Integrity
Committee of the Council of the Inspectors General on Integrity and
Efficiency;
(8) Routine use ``z'' for disclosures to DOJ and the Federal Bureau
of Investigation required for inclusion in the National Instant
Criminal Background Check System (NICS), under the reporting
requirements of the Brady Handgun Violence Prevention Act, as amended
by the NICS Improvement Amendments Act of 2007; and
(9) Routine use ``aa'' for disclosures that may be required when
processing certain FOIA or Privacy Act matters.
The description of retrievability has been modified to reflect
actual practices. The description of retention periods has been updated
to reflect OSC's current record retention practice. OSC is revising its
record retention schedule in consultation with NARA. Records are
maintained for the current or draft proposed retention period,
whichever is longer.
The system manager contact information has been updated to reflect
administrative changes within the agency.
The notification procedure has been revised to conform with the
revisions to OSC's regulations implementing the Privacy Act, published
October 4, 2007 (72 FR 56617). The contact information has been changed
to OSC's Privacy Act Officer, rather than the system manager, to
reflect current practice. The point-of-contact for contesting records
has also been similarly revised. Reference to OSC's Privacy Act
regulations at 5 CFR part 1830 has been included in the records access
and contesting records sections for consistency.
The description of record source categories has been revised to
clarify that disclosures of information filed with OSC are included.
The description of exemptions claimed for the system has been
updated to reflect the revisions to OSC's regulations implementing the
Privacy Act, published October 4, 2007 (72 FR 56617).
Finally, several ``plain language'' edits have been made throughout
the notice.
The revised OSC/GOVT-1 reads:
OSC/GOVT-1
System name:
OSC/GOVT-1, OSC Complaint, Litigation, Political Activity, and
Disclosure Files.
System location:
Program offices and the Document Control Branch, U.S. Office of
Special Counsel (OSC), 1730 M Street NW., Suite 218, Washington, DC
20036-4505, and records which may be located at other agencies.
Categories of individuals covered by the system:
The principal categories of individuals covered by the system are
persons filing allegations of prohibited personnel practices or other
prohibited activities; persons identified as engaging or participating
in improper political activity; persons filing disclosures of alleged
wrongdoing by federal agencies;
[[Page 24244]]
persons requesting advisory opinions on political activity, or third
party subjects of such advisory opinions; persons charged by OSC in
disciplinary action complaints filed by OSC with the Merit Systems
Protection Board (MSPB); persons on whose behalf OSC seeks corrective
action before the MSPB; persons filing allegations of wrongdoing in
Uniformed Services Employment and Reemployment Rights Act (USERRA)
matters referred or transferred to OSC; plaintiffs seeking remedies or
discovery against OSC in litigation or administrative claims; and
persons filing requests for information or administrative appeals under
the Freedom of Information Act (FOIA) or the Privacy Act.
Categories of records in the system:
The principal types of records in the system are complaints
alleging prohibited personnel practices, improper political activity,
or other violations of law or regulation; disclosures of information
about alleged wrongdoing by federal agencies; written requests that
result in formal advisory opinions on political activity; allegations
of USERRA violations; litigation documents served on or filed by OSC in
litigation; correspondence with persons (or their representatives)
filing such complaints, disclosures, requests, or litigation;
communications with other agencies, entities, or individuals referring
matters to OSC for review or investigation; exhibits and other
documentation received from filers and requesters, governmental
entities or third parties; interview records, including notes,
summaries, or transcripts; affidavits; reports or other summaries of
investigation; factual and legal summaries or analyses; administrative
determinations; referrals to other governmental entities for
appropriate action; records created or compiled in connection with
litigation by or against OSC, or pertinent to OSC operations; records
relating to attempts to resolve matters as part of OSC's Alternative
Dispute Resolution (ADR) Program; records of or related to OSC's FOIA
and Privacy Act Program, including but not limited to, requests,
appeals, and decisions; information about complaints, disclosures,
requests and litigation maintained in OSC's electronic case tracking
system; and other correspondence and documents created or obtained in
the performance of OSC functions under 5 U.S.C. 1211-1221, 1501-1508,
and 7321-7326; 5 U.S.C. 552 and 552a; 38 U.S.C. 4324, and other
applicable law, regulation, or OSC memoranda of understanding.
Authority for maintenance of the system:
5 U.S.C. 552, 552a, 571-584, 1211-1221, 1501-1508, and 7321-7326;
38 U.S.C. 4324, Sec. 204 of the Veterans Benefits Improvement Act of
2004, Public Law 108-454 and Sec. 105 of the Veterans' Benefits Act of
2010, Public Law 111-175, both codified at 38 U.S.C. 4301 note.
Purposes:
Records are maintained to: (1) Document how each matter at OSC was
handled; (2) provide a resource for consistency in interpretation and
application of the law; and (3) allow for statistical reports and
analysis of matters processed at OSC.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The following routine uses permit OSC to:
a. Disclose the fact that an allegation of prohibited personnel
practices or other prohibited activity has been filed;
b. Disclose information to the Office of Personnel Management (OPM)
pursuant to Civil Service Rule 5.4 (5 CFR 5.4), or obtain an advisory
opinion concerning the application or effect of civil service laws,
rules, regulations, or OPM guidelines in particular situations;
c. Disclose to the Equal Employment Opportunity Commission or any
other agency or office concerned with the enforcement of the anti-
discrimination laws, information concerning any allegation or complaint
of discrimination based on race, color, religion, sex, national origin,
age, or handicapping condition;
d. Disclose information to the MSPB or the President upon the
filing or referral of a disciplinary action complaint against an
employee on the basis of an OSC investigation;
e. Disclose information to an agency, the MSPB, OPM, or the
President, under 5 U.S.C. 1214, the results of investigations which
disclose reasonable grounds to believe a prohibited personnel practice
has occurred, exists, or is to be taken;
f. Disclose information to Congress in connection with the
submission of an annual report on activities of the Special Counsel;
g. Disclose information:
1. To any agency or person, regarding allegations of prohibited
personnel practices or other prohibited activity, or prohibited
political activity filed against an agency or any employee thereof, for
the purpose of conducting an investigation; resolving an allegation
before OSC by settlement or otherwise; or giving notice of the status
or outcome of an investigation;
2. To an agency, Office of Inspector General, complainant
(whistleblower), the President, Congressional Committees, or the
National Security Advisor regarding violations of law, rule, or
regulation, or other disclosures under 5 U.S.C. 1213 for the purposes
of transmitting information or reports as required under that statute;
or in giving notice of the status or outcome of a review;
h. Disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and to
identify the type of information requested), where necessary to obtain
information relevant to an agency decision concerning: the hiring or
retention of an employee; the issuance of a security clearance; the
classification of a job; the conducting of a security or suitability
investigation of an individual; the letting of a contract; or the
issuance of a license, grant, or other benefit;
i. Disclose information to the Office of Management and Budget
(OMB) at any stage in the legislative coordination and clearance
process in connection with private relief legislation, as set forth in
OMB Circular No. A-19;
j. Provide information to a congressional office from the record of
an individual in response to an inquiry from that congressional office
(made at the written request of that individual);
k. Furnish information to the National Archives and Records
Administration (NARA) in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2906, or other functions authorized by
laws, regulations, and policies governing NARA operations and OSC
records management responsibilities;
l. Produce summary descriptive statistics and analytical studies in
support of the function for which the records are collected and
maintained or for related workforce studies;
m. Disclose records to the Department of Justice (DOJ) when:
1. Any of the following entities or individuals is a party to
litigation or has an interest in litigation:
A. The OSC;
B. Any employee of the OSC in his or her official capacity;
C. Any employee of the OSC in his or her individual capacity whom
DOJ has been asked or agreed to represent; or
D. The United States, where the OSC determines that the OSC will be
affected by the litigation; and
2. When the OSC determines that use of the records by the DOJ is
relevant and necessary to the litigation and that the
[[Page 24245]]
disclosure to DOJ of the information contained in the records is a use
compatible with the purpose for which the records were collected;
n. Disclose records in a proceeding before a court or adjudicative
body, before which the OSC is authorized to appear, when:
1. Any of the following entities or individuals is a party to, or
has an interest in the proceedings:
A. The OSC;
B. Any employee of the OSC in his or her official capacity;
C. Any employee of the OSC in his or her individual capacity whom
OSC has agreed to represent; or
D. The United States, where the OSC determines that the OSC will be
affected by the proceedings; and
2. When the OSC determines that use of the records is relevant and
necessary to the proceedings and that the disclosure in such
proceedings is a use of the information contained in the records that
is compatible with the purpose for which the records were collected;
o. Disclose information to the MSPB to aid in the conduct of
special studies by the Board under 5 U.S.C. 1204(a)(3);
p. Disclose information to an Office of Inspector General (OIG) or
comparable internal inspection, audit, or oversight office of an agency
for the purpose of facilitating the coordination and conduct of
investigations and review of allegations within the purview of both the
OSC and the agency OIG or comparable office; or in notifying an OIG (or
comparable office) of the disposition of matters referred by the OIG
(or comparable office) to the OSC;
q. Disclose information to the news media and the public when (1)
The matter under investigation has become public knowledge, (2) the
Special Counsel determines that disclosure is necessary to preserve
confidence in the integrity of the OSC investigative process or is
necessary to demonstrate the accountability of OSC officers, employees,
or individuals covered by this system, or (3) the Special Counsel
determines that there exists a legitimate public interest (e.g., to
demonstrate that the law is being enforced, or to deter the commission
of prohibited personnel practices, prohibited political activity, and
other prohibited activity within the OSC's jurisdiction), except to the
extent that the Special Counsel determines in any of these situations
that disclosure of specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy;
r. Disclose information to the U.S. Department of Labor (DOL) about
OSC's referral of a complaint alleging a violation of veterans
preference requirements to DOL for further action under the Veterans'
Employment Opportunities Act of 1998; disclose information to DOL or
any agency or person as needed to develop relevant information about
matters referred by DOL to OSC under 38 U.S.C. 4324 (USERRA); disclose
information to DOL or any agency or person as needed to advise on the
status or disposition of matters referred by DOL to OSC for
disciplinary action under 5 U.S.C. 1215, or possible litigation under
38 U.S.C. 4324; or disclose information to DOL or any agency or person
as needed to develop relevant information about, or to advise on the
status or disposition of, matters investigated under a USERRA
demonstration project at OSC (Sec. 204, Pub. L. 108-454; Sec. 105 Pub.
L. 111-275); or disclose information to the U.S. Department of Defense,
Employer Support of the Guard and Reserve (ESGR), for the purpose of
having ESGR mediate USERRA complaints received by or referred to OSC;
s. To disclose records, when OSC has agreed to represent a USERRA
complainant under 38 U.S.C. 4324(a)(2)(A), from the corresponding
USERRA investigative file to the relevant USERRA litigation file, and
from the relevant USERRA litigation file to the USERRA complainant;
t. Disclose information 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,
when necessary to accomplish an agency function related to the system;
u. Make lists and reports available to the public pursuant to 5
U.S.C. 1219;
v. Disclose information to appropriate agencies, entities, and
persons when: (1) OSC suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) 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 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's efforts to respond to the suspected or confirmed compromise
and prevent, minimize, or remedy such harm;
w. Disclose information to appropriate federal entities with
subject matter expertise to the extent necessary to obtain advice on
any authorities, programs, or functions associated with records in this
system;
x. Disclose pertinent information to the appropriate federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order where
OSC becomes aware of a violation or potential violation of civil or
criminal law or regulation; and to OPM and the OMB pursuant to 5 U.S.C.
1214;
y. Disclose information to the Integrity Committee established
under section 11(d) of the Inspector General Act of 1978, when needed
because of receipt, review or referral to the Integrity Committee under
section 7(b) of Public Law 110-409; or as needed for a matter referred
to OSC by the Integrity Committee;
z. Disclose information to the DOJ and/or the Federal Bureau of
Investigation for inclusion in the National Instant Criminal Background
Check System (NICS), pursuant to the reporting requirements of the
Brady Handgun Violence Prevention Act, as amended by the NICS
Improvement Amendments Act of 2007; and
aa. Disclose information when consulting with, or referring a
record to, another Federal entity for the purpose of making a decision
on a request for information under the FOIA or the Privacy Act; or to
the Office of Government Information Services established at NARA by
the Open Government Act of 2007, which amended the FOIA, for the
purpose of conducting mediation and otherwise resolving disputes under
FOIA.
Policies and practices for storage, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
These records are stored in a variety of media, primarily
consisting of file folders, and computer storage equipment.
Retrievability:
Files in this system of records are retrievable by the names of key
individuals or agencies involved (e.g., complainants or requesters;
persons on whose behalf OSC seeks corrective action; subjects
identified in disciplinary proceedings, warning letters, or other
determinations; legal, congressional, or other representatives or
points of contact; or key witnesses), although files are generally
retrieved by the name of: (a) The complainant
[[Page 24246]]
alleging a prohibited personnel practice, or other prohibited activity;
(b) the alleged subject of a complaint about prohibited political
activity; (c) the person filing an allegation through the OSC
whistleblower disclosure channel; (d) the name of the person filing a
request for an advisory opinion on political activity, or the third
party subject of such advisory opinions; (e) the name of the person on
whose behalf OSC seeks corrective action, or the person against whom
OSC seeks disciplinary action, in litigation before the MSPB; (f) the
plaintiff in litigation or administrative claims against OSC; persons
requesting discovery from OSC; and FOIA and Privacy Act requesters and
appellants.
Safeguards:
These records are located in lockable file cabinets or in secured
areas. The required use of computer password protection identification
features and other system protection methods also restrict access.
Access is limited to those agency personnel who have an official need
for access to perform their duties.
Retention and disposal:
Case file records related to allegations of prohibited personnel
practices and other prohibited activities, including allegations of
improper political activity, violations of USERRA, and other matters
under OSC's jurisdiction, including program litigation records and
records of the ADR Unit and the Disclosure Unit, that are of
extraordinary importance to the nation or OSC, are permanent records
when approved by the Special Counsel. Case file records of the
Disclosure Unit that result in either a referral to an agency head
pursuant to 5 U.S.C. 1213, or an informal referral to an agency's
Inspector General, are retained for 10 years after the date of closure.
Other case file records related to such prohibited activities,
including program litigation, and the Disclosure Unit are retained for
6 years after the date of closure. Case file records of Formal Advisory
Opinions of the Hatch Act Unit are retained for 6 years after the date
of closure. Litigation case file records relating to the legal defense
of OSC and its interests in matters and claims filed against the agency
in courts, administrative tribunals, or other forums, including formal
and informal discovery requests, and other claims or similar
proceedings that are of extraordinary importance to the nation or OSC
are permanent records when approved by the Special Counsel. All other
such defensive litigation and claim case file records are retained for
7 years after the date of closure. Additionally, final signed
settlement agreements are retained for 20 years after the date of
closure. Personally identifiable information in OSC's electronic case
tracking system is retained until deleted from the database 25 years
after the corresponding case file is destroyed. Case file records
related to OSC's FOIA and Privacy Act Program are retained in
accordance with NARA's General Records Schedule 14 for Information
Services Records. Disposal of records is accomplished by shredding or
by NARA-approved processes. Electronic information is disposed of by
deletion. OSC is revising its record retention schedule in consultation
with NARA. Pending NARA approval of the revised records schedule,
records are maintained for the current or proposed retention, whichever
is longer.
System manager(s) and address:
The official responsible for records management functions
associated with OSC program and administrative files, including those
in the OSC/GOVT-1 system of records, is the Records Management Officer,
Document Control Branch, U.S. Office of Special Counsel, 1730 M Street
NW., Suite 218, Washington, DC 20036-4505.
Notification procedure:
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: Name and
home address; business title and address; any other known identifying
information such as an agency file number or identification number; a
description of the circumstances under which the records were compiled;
and any other information deemed necessary by OSC to properly process
the request.
Record access procedures:
Same as notification procedure, above. Requesters should also
reasonably specify the record contents being sought. Rules about access
are in 5 CFR part 1830.
Contesting record procedures:
Individuals who wish to contest records about them should contact
OSC's 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 CFR part 1830.
Record source categories:
Information in this system of records is obtained from a variety of
sources, consisting of complainants or others on whose behalf
allegations, disclosures of information, or requests for information,
have been submitted or referred to OSC; legal, congressional, or other
representatives or points of contact; other government bodies;
witnesses and subjects in matters under review; principals involved in
litigation matters, including parties and their representatives; and
other persons or entities furnishing information pertinent to the
discharge of functions for which OSC is responsible.
Exemptions claimed for the system:
OSC will claim exemptions from the provisions of the Privacy Act at
subsections (c)(3) and (d) as permitted by subsection (k) for records
subject to the Act that fall within the category of investigatory
material described in paragraphs (2) and (5), and testing or
examination material described in paragraph (6) of that subsection. The
exemptions for investigatory material are necessary to prevent
frustration of inquiries into allegations of prohibited personnel
practices, unlawful political activity, whistleblower disclosures,
USERRA violations, and other matters under OSC's jurisdiction, and to
protect identities of confidential sources of information, including in
background investigations of OSC employees, contractors, and other
individuals conducted by or for OSC. The exemption for testing or
examination material is necessary to prevent the disclosure of
information which would potentially give an individual an unfair
competitive advantage or diminish the utility of established
examination procedures. OSC also 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
also refuse access to any information compiled in reasonable
anticipation of a civil action or proceeding.
Dated: April 13, 2012.
Mark Cohen,
Deputy Special Counsel.
[FR Doc. 2012-9605 Filed 4-20-12; 8:45 am]
BILLING CODE 7405-01-P