Privacy Act of 1974; System of Records, 7307-7309 [2021-01812]

Agencies

• Merit Systems Protection Board

[Federal Register Volume 86, Number 16 (Wednesday, January 27, 2021)]
[Notices]
[Pages 7307-7309]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-01812]


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MERIT SYSTEMS PROTECTION BOARD


Privacy Act of 1974; System of Records

AGENCY: U.S. Merit Systems Protection Board.

ACTION: Notice of a new system of records.

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SUMMARY: In accordance with the Privacy Act of 1974 (Privacy Act), the 
U.S. Merit Systems Protection Board (MSPB or Board) proposes to 
establish a new MSPB system of records titled ``Surveys for Special 
Studies of the Civil Service.'' This system of records contains 
information that MSPB collects, maintains, and uses in order to develop 
and administer the Merit Principles Survey (MPS) and other surveys for 
special studies of the civil service and to evaluate and distribute the 
results of such surveys. This system of records will be included in 
MSPB's inventory of record systems.

DATES: Please submit comments on or before February 26, 2021. This new 
system is effective upon publication in today's Federal Register, with 
the exception of the routine uses, which are effective February 26, 
2021.

ADDRESSES: You may submit written comments to the Office of the Clerk 
of the Board by any of the following methods: By email to 
[email protected] or by mail to Clerk of the Board, U.S. Merit Systems 
Protection Board, 1615 M Street NW, Washington, DC 20419. All comments 
must reference ``MSPB--2, Surveys for Special Studies of the Civil 
Service.'' Regardless of the method used for submitting comments or 
material, all submissions will be posted, without change, to MSPB's 
website (www.mspb.gov) and will include any personal information you 
provide, such as your name, address, phone number, email address, or 
any other personally identifying information in your comment or 
materials. Therefore, any submissions will be made public and without 
change.

FOR FURTHER INFORMATION CONTACT: Fon Muttamara at (202) 653-7200. You 
may submit written questions to the Office of the Clerk of the Board by 
any of the following methods: By email to [email protected] or by mail 
to Clerk of the Board, U.S. Merit Systems Protection Board, 1615 M 
Street NW, Washington, DC 20419. Please include ``MSPB--2, Surveys for 
Special Studies of the Civil Service'' with your question(s).

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act, 5 U.S.C. 
552a, MSPB proposes to establish a new system of records titled 
``Surveys for Special Studies of the Civil Service.'' This system of 
records is being established in order to develop and administer the 
Merit Principles Survey (MPS), along with other surveys for special 
studies of the civil service and to evaluate and distribute the results 
of such surveys. This system of records contains information that MSPB 
collects, maintains, and uses regarding individuals who are potential 
or actual survey respondents.
    MSPB was instituted under the Civil Service Reform Act of 1978 and 
administers surveys under its general authorities to conduct studies 
and research on matters relevant to the MSPs and Prohibited Personnel 
Practices (PPPs). The statute (5 U.S.C. 1204(a)(3)) also authorizes a 
``special studies'' function, under which MSPB has the authority to 
conduct studies when it deems appropriate on the topics it deems 
appropriate, so long as the studies relate to ``the civil service and 
to other merit systems in the executive branch[.]'' This function 
enables MSPB to independently conduct research and present the 
subsequent findings to the President, Congress, and other Federal human 
capital stakeholders so that they can have access to information to aid 
in their decision-making processes.
    MSPB established the MPS in support of its statutory responsibility 
to assess the health of Federal merit systems. MSPB has conducted the 
MPS since 1983 as part of its statutory oversight responsibilities (5 
U.S.C. 1204(a)(3) and 5 U.S.C. 1204(e)(3)). The survey tracks a variety 
of Federal workforce issues related to the MSPs and PPPs, with results 
reported to the President and Congress and shared with Federal policy-
makers and decision-makers. This survey differs from the Federal 
Employee Viewpoint Survey administered by the Office of Personnel 
Management (OPM) in several respects, such as: A focus on MSPs and PPPs 
and human resources policy and practice; administration every few years 
instead of annually; and a smaller sample, and use of non-recurring 
questions to delve into discrete topics of interest. MSPB conducted 
Government-wide MPS administrations as part of its program of survey 
research in 1983, 1986, 1989, 1992, 1996, 2000, 2005, 2007, 2010, and 
2016. In addition, MSPB has administered and collected data from other 
surveys, such as the 2007 Career Advancement Survey, 2009 MSPB Federal 
Telework Survey, and the 2011 Fair and Open Competition Survey.
    The MPS and other surveys conducted by MSPB are tools that

[[Page 7308]]

measure Federal employees' perceptions of whether, and to what extent, 
MSPs are being protected and PPPs are being prevented in Federal 
agencies. MSPB surveys ask participants to share their attitudes, 
behaviors, and thoughts on topic areas related to the MSPs, PPPs, and 
other human capital management topics relevant to the MSPs. Demographic 
questions are also included to evaluate differences among subgroups in 
the way responses were distributed.
    In order to administer an MSPB survey, information about Federal 
employees is routinely collected from the OPM Enterprise Human Resource 
Integration (EHRI) system and other Federal Government entities 
associated with the administration of the surveys. This data is used to 
(1) identify current Federal employees, (2) determine survey 
eligibility, (3) collect contact information where necessary and 
available, (4) perform statistical weighting procedures using select 
demographic information, and (5) support research and reporting 
functions. All survey administrations, data cleaning, and statistical 
weighting procedures are executed by MSPB. At the end of the survey 
cycle, selected summary results and a technical report may be 
published, and a public version of the data file is released.
    While individual employee participation in our surveys is 
voluntary, agency participation in our surveys is mandatory for 
agencies selected by MSPB (5 U.S.C. 1204(e)(3)).
    The records concerning the potential and actual survey respondents 
will be maintained in this system of records, pursuant to the Privacy 
Act, which will be included in MSPB's inventory. The Privacy Act 
embodies fair information practice principles in a statutory framework 
governing the means by which Federal agencies collect, maintain, use, 
and disseminate individuals' records. The Privacy Act applies to 
records about individuals that are maintained in a ``system of 
records.'' A system of records is a group of any records under the 
control of an agency from which information is retrieved by the name of 
an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. The Privacy Act 
defines an individual as a United States citizen or lawful permanent 
resident. Individuals may request access to their own records that are 
maintained in a system of records in the possession or under the 
control of MSPB by complying with MSPB Privacy Act regulations at 5 CFR 
part 1205, and following the procedures outlined in the Records Access, 
Contesting Record, and Notification Procedures sections of this notice. 
The Privacy Act requires each agency to publish in the Federal Register 
a description denoting the existence and character of each system of 
records that the agency maintains and the routine uses of each system. 
The new Surveys for Special Studies of the Civil Service System of 
Records Notice is published in its entirety below. In accordance with 
the Privacy Act, 5 U.S.C. 552a(r), and OMB Circular A-108, ``Federal 
Agency Responsibilities for Review, Reporting, and Publication under 
the Privacy Act'' (Dec. 2016), MSPB has submitted a report of a new 
system of records to the Office of Management and Budget and Congress.

Jennifer Everling,
Acting Clerk of the Board, U.S. Merit Systems Protection Board.

SYSTEM NAME AND NUMBER:
    MSPB--2, Surveys for Special Studies of the Civil Service.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained by the Office of Policy and Evaluation, U.S. 
Merit Systems Protection Board, 1615 M Street NW, Washington, DC 20419 
and the third-party vendor(s) providing the survey administration 
system.

SYSTEM MANAGER(S):
    Program Manager, Office of Policy and Evaluation, U.S. Merit 
Systems Protection Board, 1615 M Street NW, Washington, DC 20419, 
[email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 1204(a)(3), 1204(e)(3), 1206.

PURPOSE(S) OF THE SYSTEM:
    The purpose of the system or records is to permit MSPB to 
administer, collect, maintain, and evaluate the results of the special 
studies surveys. These surveys include sets of questions posed to 
selected Federal employees throughout executive branch agencies; to 
measure Federal employees' perceptions of whether, and to what extent, 
conditions that characterize successful merit principles protection are 
in place in their agencies; to obtain general indicators of how well 
the Federal Government is (1) protecting merit, (2) preventing PPPs, 
and (3) managing the Federal workforce consistent with merit in order 
to provide senior managers with critical information needed to make 
their agency work better; to write reports of findings to the President 
and to Congress and other oversight entities, as appropriate; to 
determine individuals' eligibility for the survey; and to conduct 
statistical weighting procedures. In addition, information in this 
system of records is used to produce a de-identified, publicly 
available data file that contains survey responses, select 
demographics, and limited agency organizational information; as well as 
to produce reports of summarized survey results for participating 
agencies, their subcomponents, and others.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former Federal employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    1. Pay (e.g., Grade, Pay Plan).
    2. Work Location (e.g., Agency, Personnel Office Identifier).
    3. The Position (e.g., Occupational Series, Supervisory Status).
    4. Performance (e.g., Rating Level, Rating Pattern).
    5. EHRI Demographics (e.g., Sex, Veteran's Status).
    6. Personal Identifiers, whether provided by the individual or as 
part of the administration of the survey (e.g., Employee Name and Email 
Address, randomly assigned identifier for survey administration).
    7. Voluntary Survey Question Responses (e.g., Responses to Survey 
Questions).
    8. Personnel Actions History (e.g., Service Computation Date for 
Retirement Purposes, Hiring Authority).

RECORD SOURCE CATEGORIES:
    Individual survey participant records are obtained from OPM's EHRI 
system, which contains general personnel records from the OPM/GOVT-1 
General Personnel Records system of records, from the individual 
Federal agencies that participate in MSPB's surveys, and from the 
individuals who voluntarily complete these surveys.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside MSPB as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    a. To the Department of Justice (DOJ), including Offices of the 
U.S. Attorneys; or other Federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative

[[Page 7309]]

body, when it is relevant or necessary to the litigation and one of the 
following is a party to the litigation or has an interest in such 
litigation:
    (1) MSPB, or any component thereof;
    (2) Any employee or former employee of MSPB in his or her official 
capacity;
    (3) Any employee or former employee of MSPB in his or her 
individual capacity where the Department of Justice or MSPB has agreed 
to represent the employee;
    (4) The United States, a Federal agency, or another party in 
litigation before a court, adjudicative, or administrative body, upon 
the MSPB General Counsel's approval, pursuant to 5 CFR part 295 or 
otherwise.
    b. To the appropriate Federal, State, or local agency responsible 
for investigating, prosecuting, enforcing, or implementing a statute, 
rule, regulation, or order, when a record, either on its face or in 
conjunction with other information, indicates or is relevant to a 
violation or potential violation of civil or criminal law or 
regulation.
    c. To a member of Congress from the record of an individual in 
response to an inquiry made at the request of the individual to whom 
the record pertains.
    d. To the National Archives and Records Administration (NARA) in 
records management inspections conducted under the authority of 44 
U.S.C. 2904 and 2906.
    e. To appropriate agencies and persons when (1) MSPB suspects or 
has confirmed that there has been a breach of the system of records; 
(2) MSPB has determined that as a result of the suspected or confirmed 
breach there is a risk of harm to individuals, MSPB (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with MSPB's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    f. To another Federal agency or Federal entity, when MSPB 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
a suspected or confirmed breach or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
    g. To contractors, grantees, experts, consultants, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for MSPB when MSPB determines that it is 
necessary to accomplish an agency function related to this system of 
records. Individuals provided information under this routine use are 
subject to the same Privacy Act requirements and limitations on 
disclosure as are applicable to MSPB employees.
    h. To Federal agencies whose employees participate in MSPB special 
studies surveys, and their subcomponents, where MSPB determines that 
assistance may be required in any aspect of administering and reporting 
on the special studies survey.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    The records in this system of records are stored electronically on 
(1) MSPB system(s) and/or (2) temporarily on an MSPB vendor's system(s) 
to facilitate the administration of the survey(s). Access in both 
locations is limited to a small number of authorized personnel at MSPB 
and at MSPB's vendor.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by survey case identifier or other 
personal identifier but are generally only retrieved in this manner 
leading up to and during the administration of special studies surveys. 
After the survey is administered, personal identifiers are rarely used 
to retrieve records or for any other purpose. Instead, post-
administration of the survey, records are typically retrieved by a 
respondent characteristic (such as agency or demographic group) or 
response pattern (such as response to a particular survey item or set 
of items) in a manner that is not intended to identify individual 
survey respondents. Additionally, post-administration of the survey, 
records may be retrieved by personal identifier for another research 
purpose as permitted by law, regulation, or agreement.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    MSPB is currently working to develop a records schedule for the 
survey responses to submit to NARA for approval. Until a records 
schedule is in place, the records will be retained as permanent 
records.
    Data provided to MSPB from OPM's EHRI data warehouse under an OPM-
MSPB Memorandum of Understanding is retained until no longer needed or 
when OPM instructs MSPB to destroy data.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in the system are protected from unauthorized access and 
misuse through various administrative, technical, and physical security 
measures, such as access controls, mandatory security and privacy 
training, encryption, multi-factor authentication, security guards, and 
locked offices.

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of and access to their records in 
this system of records may submit a request in writing to the Office of 
the Clerk of the Board, Merit Systems Protection Board, 1615 M Street 
NW, Washington, DC 20419. Individuals requesting access must comply 
with MSPB's Privacy Act regulations regarding verification of identity 
and access to records (5 CFR part 1205).

CONTESTING RECORD PROCEDURES:
    Individuals may request that records about them be amended by 
writing to the Office of the Clerk of the Board, Merit Systems 
Protection Board, 1615 M Street, NW, Washington, DC 20419. Individuals 
requesting amendment must follow MSPB's Privacy Act regulations 
regarding verification of identity and amendment to records (5 CFR part 
1205).

NOTIFICATION PROCEDURES:
    See Record Access Procedures above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

[FR Doc. 2021-01812 Filed 1-26-21; 8:45 am]
BILLING CODE 7400-01-P