Report of a New Record System Under the Privacy Act of 1974, 14238-14240 [2014-05659]

Agencies

• Court Services and Offender Supervision Agency

[Federal Register Volume 79, Number 49 (Thursday, March 13, 2014)]
[Notices]
[Pages 14238-14240]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-05659]


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COURT SERVICES AND OFFENDER SUPERVISION AGENCY


Report of a New Record System Under the Privacy Act of 1974

AGENCY: Court Services and Offender Supervision Agency (CSOSA).

ACTION: Notice.

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SUMMARY: CSOSA is proposing a new system of records, which will provide 
for the collection of information to track, verify, update, develop the 
skills of CSOSA employees, and to establish and maintain an electronic 
system to facilitate the management of CSOSA's workforce to assist the 
agency with closing skills gaps, succession management, workforce 
planning, and training and development efforts.

SUPPLEMENTARY INFORMATION: 
    1. Narrative statement. CSOSA proposes to establish a new system of 
records subject to the Privacy Act of 1974, 5 U.S.C. 552a. The system 
will provide for the collection of information to track, verify, 
update, and develop the skills of CSOSA employees. The system 
information will be accessed and used by the employees themselves, 
their supervisors, training centers, and designated analysts and 
managers.
    a. System name. CSOSA Competency Assessment Tool
    b. System Purpose. To establish and maintain an electronic system 
to facilitate the management of CSOSA's workforce to assist the agency 
with closing skills gaps, succession management, workforce planning, 
and training and development efforts.
    c. Authority. 5 U.S.C. 1103(c)(2)(A) and (B); 5 U.S.C. 1402(a)(6); 
5 U.S.C. 4117.
    d. Effect of system on individual privacy. The system will provide 
management and the employees the means for managing their career 
development with the agency. Information will be safeguarded according 
to established privacy rules and regulations.
    e. Safeguards against unauthorized access. Records will be 
safeguarded in accordance with the Privacy Act requirements. Access 
will be limited to authorized individuals with passwords, and the 
database will be maintained behind an agency firewall software program 
and a GSA certified vendor internet service provider's security and 
firewall program.
    2. Changes to existing agency rules. None.
    3. Supporting documentation. A notice of the proposed system of 
records is attached.

Court Services and Offender Supervision Agency Proposed New Record 
System Under the Privacy Act of 1974

SYSTEM NAME:
    CSOSA Competency Assessment Tool.

SYSTEM LOCATION:
    Court Services and Offender Supervision Agency (CSOSA), Office of 
Human Resources, 655 15th St. NW., Suite 800, Washington, DC 20005. 
Records pertaining to core competency assessments of designated staff 
are located on CSOSA's servers and/or those of an authorized vendor. 
Records pertaining to pre-determined core competencies (e.g., 
leadership) may be forwarded to authorized/designated staff within 
CSOSA.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    CSOSA's current and former employees, and authorized vendors whom 
have accessed or completed the CSOSA Competency Assessment Tool.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system will contain personal information and supervisor 
assessments and an employee's own self-assessments of staff leadership 
skills and other core competencies according to established proficiency 
scales similar to or the Likert Scale. The assessments are tied to a 
master account that contains demographic data to help determine 
participation.
    The personal demographic information in the system may include but 
are not limited to the following:
    a. Employee's CSOSA email address.
    b. First and last name.
    c. Office/Branch/Unit to which the employee is assigned.
    d. Pay plan.
    e. Grade.
    f. Occupational series/family.
    g. Occupational Specialty
    h. Work role, if applicable (e.g., manager, supervisor, team lead).
    i. Work telephone.
    j. Estimated years until retirement.
    k. Tenure in current position.
    l. Tenure with CSOSA.
    Self-assessment information includes the employee's determination 
of his/her proficiency level against a set of leadership skills and 
other competencies using an established proficiency scale like the 
Likert scale. The assessment by the supervisor includes the 
supervisor's determination of an employee's proficiency level and the 
desired proficiency level of the targeted positions using the same set 
of competencies and proficiency scales.

[[Page 14239]]

AUTHORITY FOR MAINTENANCE OF THE SYSTEM INCLUDES THE FOLLOWING WITH ANY 
REVISIONS OR AMENDMENTS:
    5 U.S.C. 1103(c)(2)(A) and (B), 5 U.S.C. 1402(a)(6), 5 U.S.C. 4117.
    Additional authorities include:
    Executive Order 9830--Amending the Civil Service Rules and 
providing for Federal personnel administration Feb. 24, 1947.
    Executive Order 13197-- Government-wide Accountability for Merit 
System Principles; Workforce Information January 18, 2001.

PURPOSE:
    The purpose of the new electronic system is to establish, maintain 
and help to facilitate the career management of CSOSA employees. The 
CSOSA Competency Assessment Tool is an online and/or computer-based 
instrument for assessing the proficiency levels of CSOSA employees in 
key competencies. The computer tool allows an employee to conduct a 
competency self-assessment and supervisors to assess the competencies 
of their employees to determine competency strengths and areas for 
improvement. CSOSA can use the results of the assessments to support 
its skills gap analyses, succession management, workforce planning, and 
training and development efforts.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The records and information in these records may be disclosed as a 
routine use:
    1. To the appropriate Federal, State, or local agency responsible 
for investigating, prosecuting, enforcing, or implementing a statute, 
rule, regulation, or order when CSOSA becomes aware of a violation or 
potential violation of a civil or criminal law or regulation.
    2. To a Member of Congress or his or her staff on behalf of and at 
the request of the individuals who is the subject of the record.
    3. To another Federal agency or a party in litigation before a 
court or in an administrative proceeding being conducted by a Federal 
agency, when the Government is a party to the judicial or 
administrative proceeding, and such information is the subject of a 
court order directing disclosure or deemed by CSOSA to be relevant and 
necessary to the litigation.
    4. By the National Archives and Records Administration in records 
management and inspections.
    5. To provide an authorized CSOSA official or staff member 
information needed in the performance of official duties related to 
reconciling or reconstructing data files, compiling description 
statistics, and making analytical studies to support the function for 
which the records were collected and maintained.
    6. By CSOSA, in the production of summary descriptive statistics 
and analytical studies in support of the function for which the records 
are collected and maintained, or for related workforce studies. While 
published statistics and studies do not contain individual identifiers, 
in some instances, the selection of elements of data included in the 
study may be structured in such a way as to make the data individually 
identifiable by inference.
    7. To disclose information to the Department of Justice or in a 
proceeding before a court, adjudicative body, or other administrative 
body before which CSOSA is authorized to appear, when:
    a. CSOSA, or any component thereof; or
    b. Any employee of CSOSA in his or her official capacity; or
    c. Any employee of CSOSA in his or her individual capacity where 
the Department of Justice or CSOSA has agreed to represent the 
employee; or
    d. The United States, when CSOSA determines that litigation is 
likely to affect CSOSA or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice or CSOSA is deemed by CSOSA to be 
relevant and necessary to the litigation.
    8. To disclose information to officials of the Merit Systems 
Protection Board or the Office of the Special Counsel, when requested 
in connection with appeals, special studies of the civil service and 
other merit systems, review of OPM rules and regulations, 
investigations of alleged or possible prohibited personnel practices, 
and such other functions as promulgated in 5 U.S.C. 1205 and 1206, or 
as may be authorized by law.
    9. To disclose information to the U.S. Equal Employment Opportunity 
Commission when requested in connection with investigations into 
alleged or possible discrimination practices in the Federal sector, 
examination of Federal affirmative employment programs, compliance by 
Federal agencies with the Uniform Guidelines of Employee Selection 
Procedures, or other functions vested in the Commission.
    10. To disclose information to the Federal Labor Relations 
Authority or its General Counsel when requested in connection with 
investigations of allegations of unfair labor practices of matters 
before the Federal Service Impasses Panel.
    11. To disclose information to the Office of Management and Budget 
at any stage of the legislative coordination and clearance process in 
connection with private relief legislation as set forth in OMB circular 
No. A-19.
    12. To provide authorized CSOSA officials, vendors or staff members 
information needed in the performance of official duties related to 
succession planning, workforce analysis, skills gap closure, training 
and development, or recruitment and retention.
    13. To provide individual users the ability to view self-entered 
data on individual competency proficiency levels.
    14. To provide reports to authorized CSOSA officials and staff on 
aggregate level data of proficiency levels in identified competencies 
across the Agency.
    15. To provide specific raw data reports to authorized CSOSA 
officials and staff on individual-level data related to proficiency 
levels in identified competencies.
    16. To disclose aggregate level data from the CSOSA Competency 
Assessment Tool via an agency-wide report.
    17. To authorized contractors, vendors, grantees, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, or job for CSOSA or the Federal government that is in the 
performance of a Federal duty to which the information is deemed 
relevant.
    18. To disclose to a requesting Federal agency, information in 
connection with the hiring, retention, separation, or retirement of an 
employee; the issuance of a security clearance; the reporting of an 
investigation of an employee; the letting of a contract; the 
classification of a job; or the issuance of a license, grant, or other 
benefit by the requesting agency, to the extent that CSOSA determines 
that the information is relevant and necessary to the requesting 
party's decision on the matter.
    19. To an appeal, grievance, hearing, or complaints examiner; an 
equal opportunity investigator, arbitrator, or mediator; and an 
exclusive representative or other person authorized to investigate or 
settle a grievance, complaint, or appeal filed by an individual who is 
the subject of the record.

[[Page 14240]]

POLICIES AND PRACTICES OF STORING, RETRIEVING, SAFEGUARDING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The records are maintained in an electronic relational database 
management system hosted on CSOSA's electronic network servers and/or 
through Survey Monkey, a GSA approved vendor's Internet server, 
accessed via a password-restricted system. Duplicate records also exist 
on magnetic backup tapes maintained by agency servers or on Survey 
Monkey.

RETRIEVABILITY:
    Authorized CSOSA personnel can retrieve system records by using the 
employee's name and employee identification number. Authorized 
personnel can aggregate the results of individual and supervisor 
assessments and create reports, without specifically identifying 
individuals. Authorized personnel can also retrieve system records that 
produce raw data reports that will contain the identity of individuals. 
An employee can retrieve their own information and individual reports 
(which contain a record of how the individuals assessed themselves, 
along with how the supervisor assessed the position) using their name 
and employee identification number. All system records are accessed 
through the agency's computer network and/or a GSA approved Internet 
service provider through a password-restricted system.

SAFEGUARDS:
    These records are maintained in controlled access areas. 
Identification cards are verified to ensure that only authorized 
personnel are present. Electronic records are protected by restricted 
access procedures, including the use of passwords and sign-on protocols 
which are periodically changed. Only employees whose official duties 
require access are allowed to view, administer, and control these 
records. The database will be maintained behind a firewall maintained 
by Survey Monkey, a GSA certified internet server provider, and the 
agency's own firewall software programs.

RETENTION AND DISPOSAL:
    System records are retained and disposed of according to CSOSA's 
records maintenance and disposition schedules and the requirements of 
the National Archives and Records Administration. Any attempts to 
complete and completed competency assessments are archived to a 
computerized storage disk nightly and retained on the agency's backup 
computer network server for five years. When records are purged from 
the agency's computer server, the records are transferred to a Compact 
Disc (CD) or other electronic media. Records in electronic media are 
electronically erased. CD or other electronic media are maintained for 
five years.

SYSTEM MANAGER AND ADDRESS:
    Associate Director, Office of Human Resources, Court Services and 
Offender Supervision Agency (CSOSA), 655 15th St. NW., Washington, DC 
20005.

NOTIFICATION PROCEDURE:
    Individuals wishing to inquire if this system contains information 
about them should contact the system manager or designee. Individuals 
must furnish the following information for their records to be located 
and identified:
    a. Name (current and/or former).
    b. Name of Office/Branch/Unit in which currently and/or formerly 
employed in CSOSA.

RECORD ACCESS PROCEDURE:
    Individuals wishing to request access to their records in this 
system should contact the system manager. Individuals must furnish the 
following information for their records to be located and identified:
    a. Name (current and/or former).
    b. Name of Office/Branch/Unit in which currently and/or formerly 
employed in CSOSA.
    Individuals requesting access must also follow CSOSA's Privacy Act 
regulations on verification of identity and access to records (5 CFR 
part 297).

CONTESTING RECORD PROCEDURE:
    Individuals wishing to request amendment of their records in this 
system should contact the system manager. Individuals must furnish the 
following information for their records to be located and identified:
    a. Name (current and/or former).
    b. Name of Office/Branch/Unit in which currently and/or formerly 
employed in CSOSA.
    Individuals requesting amendment of their records must also follow 
CSOSA's Privacy Act regulations regarding verification of identity and 
amendment of records (5 CFR part 297).

RECORD SOURCE CATEGORIES:
    The information in this system is obtained from:
    a. The individual to whom the information pertains.
    b. The supervisor of the individual to whom the information 
pertains.
    c. CSOSA's Office of Human Resources.

    Dated: February 21, 2014.
Diane Bradley,
Assistant General Counsel, Court Services and Offender Supervision 
Agency.
[FR Doc. 2014-05659 Filed 3-11-14; 4:15 pm]
BILLING CODE 3129-04-P