Privacy Procedures for Personnel Records, 27352-27354 [2016-10538]

Agencies

• Office of Personnel Management

[Federal Register Volume 81, Number 88 (Friday, May 6, 2016)]
[Proposed Rules]
[Pages 27352-27354]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-10538]


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Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

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Federal Register / Vol. 81, No. 88 / Friday, May 6, 2016 / Proposed 
Rules

[[Page 27352]]



OFFICE OF PERSONNEL MANAGEMENT

5 CFR Part 297

RIN 3206-AN27


Privacy Procedures for Personnel Records

AGENCY: Office of Personnel Management.

ACTION: Proposed rule.

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SUMMARY: The Office of Personnel Management (OPM) proposes to amend 
part 297 of title 5, Code of Federal Regulations, to implement a 60-day 
timeframe for individuals to appeal or submit requests for 
administrative review of initial decisions regarding access and 
amendment requests involving records maintained in OPM systems of 
records. This proposed change will allow greater efficiency in 
processing appeals and requests for administrative review and will also 
improve the office's records maintenance and disposal policies. OPM's 
retention of the Privacy Act Case Records are to be maintained in 
accordance with the NARA General Records Schedule 14 which relies on 
whether or not the request is appealed to institute a disposal 
timeframe. The addition of this appeal or administrative review 
timeframe will allow offices to dispose of records in accordance with 
the NARA General Records Schedule 14. OPM is also proposing to update 
the points of contact for Privacy Act matters, including where to 
address appeals or requests for administrative review of access and 
amendment denials involving records maintained in OPM systems of 
records.
    OPM also proposes to amend part 297 of title 5, Code of Federal 
Regulations to implement exemptions for the OPM Central-9/Personnel 
Investigations Records, the OPM Internal 16/Adjudications Officer 
Control Files, the newly established OPM Internal 20/Integrity 
Assurance Officer Control Files, and the newly established OPM Internal 
19/Investigative Training Records. In this proposed rulemaking, OPM 
proposes to exempt portions of these system of records from one or more 
provisions of the Privacy Act to safeguard national security 
information, and law enforcement information, to protect the identities 
of sources who furnished information under an express promise of 
confidentiality, and to safeguard qualifications testing and 
examination materials that would, if released, compromise the 
objectivity or fairness of the testing or examination process.

DATES: We must receive your comments by July 5, 2016.

ADDRESSES: You may submit comments, identified by docket number and/or 
RIN number 3206-AN27 by any of the following methods:
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: combox@opm.gov. Include RIN number 3206-AN27 in the 
subject line of the message.
     Mail: Program Manager, Freedom of Information and Privacy 
Act office, U.S. Office of Personnel Management, Federal Investigative 
Services, 1137 Branchton Road, P.O. Box 618, Boyers, PA 16018.

FOR FURTHER INFORMATION CONTACT: Program Manager, Freedom of 
Information and Privacy Act office, U.S. Office of Personnel 
Management, Federal Investigative Services, (724) 794-5612.

SUPPLEMENTARY INFORMATION: OPM is amending 5 CFR 297.207(c)(1), (c)(2), 
and 297.306(a) to add a timeframe for individuals to appeal or ask for 
an administrative review of initial denials of access and requests to 
amend a record made by a Federal official, when a record is maintained 
in an OPM system of records. Individuals will have 60 days from the 
date of an initial decision to appeal or ask for an administrative 
review of the initial decision. This change will allow for efficiency 
in processing appeals and requests for administrative review and also 
improve the office's record maintenance and disposal policies. The 
office's Privacy Act Case Records are to be maintained in accordance 
with the NARA General Records Schedule 14 which relies on whether or 
not the request is appealed to institute a disposal timeframe. The 
addition of this timeframe will allow the offices to dispose of records 
in accordance with the NARA General Records Schedule 14.
    In addition, OPM proposes amendments to points of contact for 
Privacy Act matters in 5 CFR 297.106; where to address of access 
denials in 5 CFR 297.207(c)(1) and (c)(2); and where to address 
requests for administrative review of initial amendment denials in 5 
CFR 297.301(e) and (f).
    The Privacy Act of 1974 allows Government agencies to exempt 
certain records from the access and amendment provisions. If an agency 
claims an exemption, however, it must issue a Notice of Proposed 
Rulemaking to make clear to the public the reasons why a particular 
exemption is claimed.
    OPM is amending 5 CFR 297.501(b)(5) to exempt certain records in 
the Personnel Investigations Records (OPM/CENTRAL-9) from the Privacy 
Act's requirement to maintain only information specifically relevant 
and necessary to accomplish a purpose of the agency, e.g., relevant to 
the adjudication of an investigation at a specific point in time, when 
the information is relevant to future personnel security or suitability 
determinations.
    OPM is proposing to add 5 CFR 297.501(b)(9) to claim specific 
exemptions from certain requirements of the Privacy Act for the 
Adjudications Officer Control Files (OPM/Internal-16) to safeguard 
national security information and law enforcement information, to 
protect the identities of sources who furnished information under an 
express promise of confidentiality, and protect the testing and 
examining material used solely to determine individual qualifications 
for appointment or promotion in the Federal service when release of 
this information would compromise the objectivity and fairness of the 
testing or examining process.
    OPM is proposing to add 5 CFR 297.501(b)(10) to claim specific 
exemptions from certain requirements of the Privacy Act for the 
Integrity Assurance Officer Control Files (OPM/Internal-20). OPM 
proposes to exempt portions of the system of records from one or more 
provisions of the Privacy Act to safeguard national security 
information, law enforcement information, protect the identities of 
sources who furnished information

[[Page 27353]]

under an express promise of confidentiality, and protect the testing 
and examining material used solely to determine individual 
qualifications for appointment or promotion in the Federal service when 
release of this information would compromise the objectivity and 
fairness of the testing or examining process. OPM is also proposing to 
exempt certain records in this system from the Privacy Act's 
requirement to maintain only information specifically relevant and 
necessary to accomplish a purpose of the agency, e.g., investigations 
into specific allegations of misconduct, negligence or error, when the 
information is relevant to establishing patterns of misconduct, 
negligence, or error.
    OPM is also proposing to add 5 CFR 297.501(b)(11) to claim specific 
exemptions from certain requirements of the Privacy Act for the 
Investigative Training Records (OPM/Internal-19). OPM proposes to 
exempt portions of the system of records from one or more provisions of 
the Privacy Act to protect testing and examining material used solely 
to determine individual qualifications for appointment or promotion in 
the Federal service when release of this information would compromise 
the objectivity and fairness of the testing or examining process.

Executive Order 12866, Regulatory Planning and Review and Executive 
Order 13563, Improving Regulation and Regulatory Review

    It has been determined that Privacy Act rules for OPM are not 
significant rules. The rules do not (1) have an annual effect on the 
economy of $100 million or more or adversely affect in a material way 
the economy; a sector of the economy; productivity; competition; jobs; 
the environment; public health or safety; or State, local, or tribal 
governments or communities; (2) create a serious inconsistency or 
otherwise interfere with an action taken or planned by another Agency; 
(3) materially alter the budgetary impact of entitlements, grants, user 
fees, or loan programs, or the rights and obligations of recipients 
thereof; or (4) raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
these Executive orders.

Regulatory Flexibility Act (5 U.S.C. Chapter 6)

    It has been determined that this Privacy Act rule for OPM does not 
have significant economic impact on a substantial number of small 
entities because it is concerned only with the administration of 
Privacy Act systems of records within OPM.

Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35)

    It has been determined that Privacy Act rules for OPM impose no 
additional information collection requirements on the public under the 
Paperwork Reduction Act of 1995.

Unfunded Mandate Reform Act of 1995 (2 U.S.C. 1532)

    It has been determined that this Privacy Act rulemaking for OPM 
does not involve a Federal mandate that may result in the expenditure 
by State, local and tribal governments, in the aggregate, or by the 
private sector, of $100 million or more and that such rulemaking will 
not significantly or uniquely affect small governments.

Executive Order 13132, Federalism

    It has been determined that the Privacy Act rules for OPM do not 
have federalism implications. The rule does not have substantial direct 
effects on the States, on the relationship between the National 
Government and the States, or on the distribution of power and 
responsibilities among the various levels of government.

List of Subjects in 5 CFR Part 297

    Privacy.

U.S. Office of Personnel Management.
Beth F. Cobert,
Acting Director.

    For the reasons discussed in the preamble, the Office of Personnel 
Management is proposing to amend 5 CFR part 297 as follows:

PART 297--PRIVACY PROCEDURES FOR PERSONNEL RECORDS

0
1. The authority citation for part 297 continues to read as follows:

    Authority:  Sec. 3, Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 
552a).

0
2. Amend Sec.  297.106 to read as follows:
    To determine what records the Office maintains in its system of 
records, requesters must write to the Program Director, Information 
Management, Office of the Chief Information Officer, U.S. Office of 
Personnel Management, 1900 E Street NW., Washington, DC 20415. Using 
the Office's response, requesters can contact the particular system 
manager indicated in the Office's notices of its systems published in 
the Federal Register for further assistance in determining if the 
Office maintains information pertaining to them.
0
3. Amend Sec.  297.207 by revising paragraph (c)(1) and (2) to read as 
follows:


Sec.  297.207  Denials of access and appeals with respect to such 
denials.

* * * * *
    (c) * * *
    (1) For initial denials made by an agency, when the record is 
maintained in an Office Governmentwide system of records, a request for 
administrative review should be made within 60 days to the Program 
Director, Information Management, Office of the Chief Information 
Officer, U.S. Office of Personnel Management, 1900 E Street NW., 
Washington, DC 20415.
    (2) For denials initially made by an Office official, when a record 
is maintained in an internal or central system of records, a request 
for administrative review must be made within 60 days from the date of 
the initial decision to the General Counsel, Office of the General 
Counsel, U.S. Office of Personnel Management, 1900 E Street NW., 
Washington, DC 20415.
* * * * *
0
4. Amend Sec.  297.301 by revising paragraphs (e) and (f) to read as 
follows:


Sec.  297.301  General Provisions.

* * * * *
    (e) A request for administrative review of an agency denial to 
amend a record in the Office's systems of record should be addressed to 
the Program Director, Information Management, Office of the Chief 
Information Officer, U.S. Office of Personnel Management, 1900 E Street 
NW., Washington, DC 20415.
    (f) A request for administrative review of a denial to amend a 
record by an Office official should be addressed to the General 
Counsel, Office of the General Counsel, U.S. Office of Personnel 
Management, 1900 E Street NW., Washington, DC 20415.
0
5. Amend Sec.  297.306 by revising paragraph (a) to read as follows:


Sec.  297.306  Appeal of a denial of a request to amend a record.

    (a) An individual who disagrees with an initial denial to amend a 
record may file a written appeal of that denial to the appropriate 
official. The appeal must be made within 60 days from the date of the 
initial decision. In submitting an appeal, the individual should 
provide a copy of the original request for amendment, a copy of the 
initial denial decision, and a statement of the specific reasons why 
the initial denial is believed to be in error. Any appeal should be 
submitted to the official designated in the initial decision letter.

[[Page 27354]]

The appeal should include the words ``PRIVACY ACT APPEAL'' in capital 
letters on the envelope and at the top of the letter of appeal.
* * * * *
0
6. Amend Sec.  297.501 by revising paragraph (b)(5), and by adding 
paragraphs (b)(9), (b)(10), and (b)(11) to read as follows:


Sec.  297.501  Exemptions

* * * * *
    (b) * * *
    (5) Personnel Investigations Records (OPM/CENTRAL-9).
    (i) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6), and (7) is exempt from 
the requirements of 5 U.S.C. 552a(c)(3), (d), and (e)(1). These 
provisions of the Privacy Act relate to making accountings of 
disclosures available to the data subject, access to and amendment of 
records, and maintaining in its records only such information that is 
relevant and necessary.
    (ii) Exemptions from these particular subsections are justified, on 
a case-by-case basis to be determined at the time a request is made for 
the reasons that follow:
    (A) From subsection (c)(3) and (d), because access to the record, 
amendment of the record, or release of the accounting of disclosures of 
the record could disclose sensitive information that could be 
detrimental to national security; inform the subject of an 
investigation of an actual or potential criminal, civil, or regulatory 
violation to the existence of that investigation and reveal 
investigative interest on the part of another agency or law enforcement 
entity; compromise the safety of the individuals protected pursuant to 
18 U.S.C 3056; affect compliance with a statutory mandate concerning 
statistical records; identify confidential sources who might not 
otherwise come forward and who furnished information under an express 
promise that the sources' identity would be held in confidence (or 
prior to the effective date of the Act, under an implied promise); 
compromise the objectivity and fairness of the testing or examining 
process; or compromise evaluation material used to determine potential 
for promotion in the armed services.
    (B) From subsection (e)(1), because in the course of personnel 
background investigations the accuracy of information obtained or 
introduced occasionally may be unclear, or the information may not be 
strictly relevant or necessary to favorably or unfavorably adjudicate a 
specific investigation at a specific point in time. However, in the 
interests of protecting the public trust and national security, it is 
appropriate to retain all information that may aid in establishing 
patterns in such areas as criminal conduct, alcohol and drug abuse, 
financial dishonesty, allegiance, foreign preference or influence, and 
psychological conditions, that are relevant to future personnel 
security or suitability determinations.
* * * * *
    (9) Adjudication Officer Control Files (OPM/Internal-16).
    (i) All information in the Adjudications Officer Control Files that 
meets the criteria stated in 5 U.S.C. 552a(k)(1), (2), (5) and (6) is 
exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d), or 5 
U.S.C. 552a(d) standing alone. These provisions of the Privacy Act 
relate to making accountings of disclosures available to the data 
subject and access to and amendment of records.
    (ii) Exemptions from these particular subsections are justified, on 
a case-by-case basis to be determined at the time a request is made, 
because access to the record, amendment of the record, or release of 
the accounting of disclosures of the record could disclose sensitive 
information that could be detrimental to national security; inform the 
subject of an investigation of an actual or potential criminal, civil, 
or regulatory violation to the existence of that investigation and 
reveal investigative interest on the part of another agency or law 
enforcement entity; identify confidential sources who might not 
otherwise come forward and who furnished information under an express 
promise that the sources' identity would be held in confidence (or 
prior to the effective date of the Act, under an implied promise); or 
compromise the objectivity and fairness of the testing or examining 
process.
    (10) Integrity Assurance Office Control Files (OPM/Internal-20).
    (i) All information in the Integrity Assurance Officer Control 
Files that meets the criteria stated in 5 U.S.C. 552(k)(1), (2), (5), 
and (6) is exempt from the requirements of 5 U.S.C. 552a(c)(3), (d) and 
(e)(1). These provisions of the Privacy Act relate to making 
accountings of disclosures available to the data subject, access to and 
amendment of records, and maintaining in its records only such 
information that is relevant and necessary.
    (ii) Exemptions from these particular subsections are justified, on 
a case-by-case basis to be determined at the time a request is made and 
the reasons for the exemptions are as follows:
    (A) From subsection (c)(3) and (d), because access to the record, 
amendment of the record, or release of the accounting of disclosures of 
the record could disclose sensitive information that could be 
detrimental to national security; inform the subject of an 
investigation of an actual or potential criminal, civil, or regulatory 
violation to the existence of that investigation and reveal 
investigative interest on the part of another agency or law enforcement 
entity; identify confidential sources who might not otherwise come 
forward and who furnished information under an express promise that the 
sources' identity would be held in confidence (or prior to the 
effective date of the Act, under an implied promise); or compromise the 
objectivity and fairness of the testing or examining process.
    (B) From subsection (e)(1), because in the course of investigations 
into specific allegations of misconduct, negligence or error, the 
accuracy of information obtained or introduced occasionally may be 
unclear, or the information may not be strictly relevant or necessary 
to the specific investigation. However, in the interests of ensuring 
the quality and accuracy of investigations, and protecting the public's 
trust in the integrity of personnel investigation program, it is 
appropriate to retain all information that may aid in establishing 
patterns of misconduct, negligence, or error.
    (11) Investigative Training Records (OPM/Internal-19).
    (i) All information in the Investigative Training Records that 
meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the 
requirements of 5 U.S.C. 552a(c)(3) and (d). These provisions of the 
Privacy Act relate to making accountings of disclosures available to 
the data subject and access to and amendment of records.
    (ii) Exemption from subsection (c)(3) and (d) is justified, on a 
case-by-case basis to be determined at the time a request is made 
because access to the record, amendment of the record, or release of 
the accounting of disclosures of the record could compromise the 
objectivity and fairness of the testing and examining process used 
solely to determine individual qualifications for appointment or 
promotion in the Federal service.
* * * * *
[FR Doc. 2016-10538 Filed 5-5-16; 8:45 am]
 BILLING CODE 6325-53-P