System of Records, 8642-8645 [2021-02554]

Agencies

• Government Accountability Office

[Federal Register Volume 86, Number 24 (Monday, February 8, 2021)]
[Notices]
[Pages 8642-8645]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-02554]


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GOVERNMENT ACCOUNTABILITY OFFICE


System of Records

AGENCY: Government Accountability Office.

[[Page 8643]]


ACTION: Notice of modified system of records.

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SUMMARY: The Government Accountability Office (GAO) proposes to revise 
its system of personnel records under its privacy regulations, Privacy 
Procedures for Personnel Records. This system of records encompasses 
records collected, maintained, used and disseminated in the course of 
conducting GAO human capital management activities. Further, this 
notice is intended to notify individuals about personally identifiable 
information (PII) maintained in this system of records and the manner 
in which that information is maintained and protected.

DATES: Comments may be submitted on or before March 10, 2021. Unless 
comments are received that would result in a contrary determination, 
this revised system of records will become effective thereafter.

ADDRESSES: Comments should be sent to: Government Accountability 
Office, Chief Agency Privacy Officer, Room 1127, 441 G St. NW, 
Washington, DC 20548, or by email to [email protected]. Please include 
reference to ``Comment: Human Capital System of Records'' at the top of 
a comment letter or in the subject line of an email.

FOR FURTHER INFORMATION CONTACT: For information about the management 
of personally identifiable information (PII) maintained in this system 
of records, contact Sonya R. Johnson, Records and Privacy Office, 
Infrastructure Operations, Government Accountability Office, Room 1127, 
441 G St. NW, Washington, DC 20548; 202-512-9576; email, 
[email protected]. For information about GAO privacy protections, contact 
the Chief Agency Privacy Officer, Government Accountability Office, 
Room 1127, 441 G St., NW, Washington, DC 20548; email, [email protected].

SUPPLEMENTARY INFORMATION: 

Background

    A. GAO. GAO is an independent, non-partisan legislative branch 
agency that examines government activities and provides analyses, 
recommendations, and other assistance to help Congress in making sound 
oversight, policy, and funding decisions. As a legislative branch 
agency, GAO is not subject to the privacy and information security laws 
applicable to executive branch agencies, such as the Privacy Act of 
1974 (Privacy Act), Federal Information Security Modernization Act of 
2014 (FISMA), the E-Government Act of 2002 (E-Government Act), and 
Office of Management and Budget (OMB) and National Institute of 
Standards and Technology (NIST) guidance issued under those laws. 
Nonetheless, it is GAO policy to conduct its activities, to the maximum 
extent practicable, in a manner consistent with the spirit of the laws 
and guidance generally applicable to the executive branch agencies. 
Accordingly, as a matter of policy, GAO has established an agency-wide 
privacy program. Notwithstanding the similarities between GAO's privacy 
program and information security laws, regulations, or policies 
applicable to executive branch agencies, GAO's application of, or 
compliance with, those laws, regulations, or policies shall not be 
interpreted as controlling legal authorities over GAO.
    GAO's regulations at 4 CFR part 83, Privacy Procedures for 
Personnel Records, provide the basis for this notice.
    B. Human Capital System of Records. The Human Capital System of 
Records, managed by GAO's Human Capital Office, is a series of systems 
comprised of information collected and maintained in the course of 
activities relating to hiring and separation management; pay, benefits, 
and performance management; and related talent management activities. 
The system of records includes GAO-operated systems which track 
employee performance reviews, compile GAO employee contact information, 
maintain GAO staff's Federal employment information over the course of 
their career, and record time and attendance for GAO employees.
    GAO Human Capital Management information is also maintained and 
managed in systems of records operated by the U.S. Department of 
Agriculture (USDA), the U.S. Department of the Treasury (Treasury) 
(hereafter shared service providers), and by contractors supporting 
these agencies. USDA's National Finance Center (NFC) provides payroll 
processing-related services. Treasury operates an automated human 
resources system, HRConnect, to support human capital management 
activities in Treasury and other Federal agencies through cross-
servicing agreements.
    Authorized GAO employees access human capital information 
maintained in GAO systems and in systems maintained by GAO's shared 
service providers and their contractors. Information is securely 
transmitted to and from GAO and its shared service providers and their 
contractors as necessary to support agreed-upon human capital 
management activities (e.g., employment application processing, 
recruiting, hiring, pay, promotions, employee awards processing, and 
compiling reports).
    Privacy protections for GAO information maintained by contractors 
of shared service providers are provided under contracts between the 
shared service providers and their contractors. Privacy risks, and 
steps taken to mitigate such risks, associated with the use of 
information systems to collect, maintain, and disseminate this 
information have been evaluated in privacy impact assessments conducted 
by both GAO and the applicable shared service provider. The text of 
GAO's human capital management system of records is set forth below.
    For a description of the protections provided by USDA/NFC and 
Treasury, see the following: Treasury Privacy Act System of Records 
Notice, 81 FR 78266; USDA/NFC Privacy Act System of Records Notice, 
USDA/OP-1; OPM Privacy Act System of Records Notice for General 
Personnel Records, 77 FR 73694.

System Name and Number:
    Government Accountability Office, Human Capital Management System 
of Records.

Security Classification:
    This system of records contains no classified information.

System Location:
    Information maintained in this system of records is located at GAO 
headquarters in Washington, DC, and GAO field offices. Major service 
providers and their systems are: USDA's National Finance Center (NFC), 
which provides payroll processing-related services; and the Treasury-
operated HRConnect, which is an automated human resources system that 
supports Federal human capital management activities. GAO human capital 
information maintained by contractors of those shared service providers 
is maintained at information processing facilities under the control of 
those contractors.

System Manager(s):
    The GAO official responsible for this system of records is the 
Chief Human Capital Officer, U.S. Government Accountability Office, 
Room 1193, 441 G St. NW, Washington, DC, 20548.

Authority for Maintenance of the System:
    Section 711 of title 31, United States Code; General Authority of 
the Comptroller General, U.S. Government Accountability Office.

[[Page 8644]]

Categories of Individuals Covered by the System:
    The system of records contains PII concerning:
    (a) Individuals who are or have been employed by GAO (including 
interns, consultants, volunteers, and reemployed annuitants), 
individuals who have applied for employment by GAO; and
    (b) Family members or other individuals who have been identified 
for personnel records purposes by an individual otherwise covered by 
this system of records.

Categories of Records in the System:
    Categories of records in this system include:
    (a) Biographic/identifying information (e.g. name, Social Security 
number, address, telephone numbers), or
    (b) Other information about an individual (e.g. information about a 
person's education, employment, performance appraisals, payroll data, 
and medical or physical condition if mandated by the position an 
employee occupies).
    These records are maintained for identification and data analysis 
purposes. The information in this system of records generally 
originates from the individual or the individual's current or previous 
agency or organization of employment.

Record Source Categories:
    The information is collected through various means, including but 
not limited to: Directly by GAO staff via interviews, reports, sign-in 
sheets, or forms; extracted from other GAO systems or systems 
maintained by third parties, such as the U.S. Department of 
Agriculture's National Finance Center; or created through audio, 
photographic, or video recording.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and Purposes of Such Uses:
    The purpose of this system of records is to maintain records that 
are relevant and necessary to ensure GAO personnel, information, 
property, and assets receive an appropriate level of protection.
    The purpose of this system of records is to maintain records as are 
relevant and necessary to efficiently and effectively manage human 
capital functions such as hiring and separation of employees; pay, 
benefits, and performance; employee relations; and telework 
applications.

Disclosures:
    PII in this system of records may be disclosed, as permitted by 4 
CFR part 83 to those GAO employees and contractors who have a need for 
the record in the performance of their official duties that is 
consistent with the purpose of the use of the information as described 
in this notice. In addition, PII in this system of records may be 
otherwise disclosed under the following circumstances as a use 
consistent with the specified purpose of the use of the information 
identified in this notice:
    (a) Information from this system of records may be disclosed to 
other Federal agencies, such as General Services Administration, Office 
of Personnel Management, U.S. Department of Agriculture, and U.S. 
Department of Transportation; and
    (b) Information from this system of records may be released to the 
public in response to a request for records under 4 CFR part 81, Public 
Availability of GAO Records (similar to provisions of the Freedom of 
Information Act, 5 U.S.C. 552, which applies to executive branch 
agencies).
    Records released under 4 CFR part 81 may be exempted from public 
release as information the release of which would cause an unwarranted 
invasion of privacy, or is otherwise confidential or covered by a legal 
privilege (4 CFR 81.6). Further, to the extent the requested 
information is contained in records originating in another agency or 
nonfederal organization, the requester will be referred to such agency 
or organization, and GAO will not release the records (4 CFR 81.5).
    For other permitted disclosures of PII in this system of records, 
see 4 CFR 83.5.

Policies and Practices for Retrieval of Records:
    Information maintained in this system of records may be retrieved 
only by employees of GAO who have a need for the information in the 
performance of their official duties. Information is retrieved 
primarily by the individual's name and/or Social Security number, in 
combination with any other biographical identifier such as date of 
birth.

Policies and Practices for Retention and Disposal of Records:
    In accordance with GAO record retention schedule, the majority of 
records in this system of records are administrative in nature and must 
be destroyed or deleted after seven years. Official Personnel Folders 
(OPFs) are retained pursuant to GAO's Records Schedule 1.1, NARA 
General Records Schedule 2.2, and 4 CFR 83.11--Official Personnel 
Folder. Certain transitory records are destroyed when no longer needed 
for business purposes. Compelling legal or policy purposes (e.g., 
ongoing or potential litigation) may require retention of certain 
records beyond the retention periods identified above. Extra copies of 
records in this system of records are destroyed when no longer needed. 
Disposal is by shredding if paper, purging if in an electronic records 
management system (e.g., DM/ERMS), or pulverizing if in electronic 
media (e.g., tapes and disks). Disposal of information contained in 
electronic systems owned or operated by external service providers is 
subject to that organization's retention policy.

Administrative, Technical, and Physical Safeguards:
    Pursuant to 4 CFR part 83, information maintained in this system of 
records is safeguarded under GAO information systems security policies 
and procedures which are consistent with the requirements of the 
Federal Information Security Management Act (FISMA) and related 
National Institute of Standards and Technology (NIST) standards and 
guidelines, approved for the processing of controlled unclassified 
information (CUI). Strict controls are imposed to minimize the risk of 
compromising the information maintained in this system of records and 
any of its supporting information systems. Any information maintained 
by external service providers, including the FBI and USDA, is protected 
under memorandums of understanding (MOUs), contracts, and other 
agreements with those providers. Physical security protections are 
required for handling any information maintained in paper formats or 
otherwise removed from the GAO network.

Record Access Procedures:
    Individuals interested in knowing whether this system of records 
contains information about them, how to obtain access to such 
information, or how to contest any element of such information may 
submit a request in writing to the Chief Agency Privacy Officer, U.S. 
Government Accountability Office, Room 1137, 441 G St. NW, Washington, 
DC 20548, or by email to [email protected].

Exemptions Promulgated for the System:
    Records contained in this system of records may be exempt from 
access, amendment, and other procedural requirements to the extent 4 
CFR 83.21 applies to such records.

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History:
    86 FR 8645, February 8, 2021.

Terrell Dorn,
Managing Director, Infrastructure Operations/Chief Agency Privacy 
Officer Government Accountability Office.
[FR Doc. 2021-02554 Filed 2-4-21; 4:15 pm]
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