Privacy Act of 1974; System of Records, 11481-11484 [2023-03750]

Agencies

• National Aeronautics and Space Administration

[Federal Register Volume 88, Number 36 (Thursday, February 23, 2023)]
[Notices]
[Pages 11481-11484]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03750]


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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

[Notice: (23-008)]


Privacy Act of 1974; System of Records

AGENCY: National Aeronautics and Space Administration (NASA).

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, the National Aeronautics and Space Administration is providing 
public notice of a modification to a previously announced system of 
records, Harassment Report Case Files/NASA 10HRCF. The most significant 
modification is that the system of records will now be exempt from 
certain subsections of the Privacy Act. A statement of purpose for 
maintaining the records was also added. Enhancements were made to the 
categories of individuals, the records source categories, and the 
records access procedures. One duplicative routine use was deleted, and 
three new routine uses unique to this system were added. The notice 
incorporates locations and NASA standard routine uses. The system of 
records is more fully described in the SUPPLEMENTARY INFORMATION 
section of this notice.

DATES: Submit comments within 30 calendar days from the date of this 
publication. The proposed modifications will take effect at the end of 
that period if no significant adverse comments are received. Records 
may be released under Routine Uses No. 3 and No. 5, after 30 days from 
the date of this publication.

[[Page 11482]]


ADDRESSES: Submit comments to Bill Edwards-Bodmer, Privacy Act Officer, 
Office of the Chief Information Officer, Mary W. Jackson, NASA 
Headquarters, Washington, DC 20546-0001, 757-864-3292, or [email protected].

FOR FURTHER INFORMATION CONTACT: NASA Privacy Act Officer, Bill 
Edwards-Bodmer, 757-864-3292, or [email protected].

SUPPLEMENTARY INFORMATION: This system notice includes substantial 
revisions to NASA's existing system of records notice (SORN) for 
Harassment Report Case Files/NASA 10HRCF. The most significant change 
is that this Privacy Act SORN will now be exempt under 5 U.S.C. 
552a(k)(2) and (k)(5), from certain subsections of the Privacy Act. l. 
The determination to exempt these records was made because it is 
necessary for NASA to continue to investigate violations of law, 
regulation, and policy and determine continued suitability for federal 
employment. In accordance with federal anti-discrimination laws, the 
Equal Employment Opportunity Commission requires that all federal 
agencies have an Antiharassment policy and program. NASA's specific 
policy prohibits harassment by all employees, provides an avenue for 
individuals to report allegations of harassment, and a process by which 
NASA fact-finders conduct inquiries/investigations. Furthermore, NASA's 
policy prohibits retaliation against individuals for raising 
allegations of harassment or participating in the process. In order for 
NASA to promptly address and resolve potential violations of law, 
regulation, or NASA policy, individuals who are participating in this 
process must be assured that their statements will be kept confidential 
consistent with law. Some investigations have been hindered by 
witnesses' lack of willingness to come forward fearful that their 
statements or identities would be revealed. Other agencies, including 
the EEOC, have exempted these records from certain provisions of the 
Privacy Act.
    This SORN relies on multiple legal authorities to support exempting 
these records under 5 U.S.C. 552a(K)(2) and (K)(5), including, NASA's 
Antiharassment Policy, which states that NASA has an affirmative 
obligation to maintain a harassment-free workplace and to take prompt 
and effective action when allegations arise. NASA's policy encourages 
all employees to report concerns and for NASA to address such conduct 
before it becomes ``severe or pervasive'' within the meaning of the 
anti-discrimination laws. Additional authoritative sources include the 
Equal Opportunity Commission (EEOC), anti-discrimination laws, and 
Supreme Court precedent that require Agencies to take prompt and 
effective action if an e individual is alleging harassment by a NASA 
employee. Additionally, the investigatory material compiled by this 
system of records may be used to determine a putative harasser's 
suitability for continued NASA employment and such records would be 
exempt from release under certain provisions of the Privacy Act but 
only in cases where the disclosure of such information would reveal the 
identity of a source who provided information to NASA under the 
condition of anonymity.
    This notice also clarifies categories of individuals on whom NASA 
maintains records, adds a previously omitted description of the purpose 
of the system, and provides more detailed descriptions of the 
categories of records in the system and records source categories. It 
updates record access procedures to include the ability to request 
records electronically. The notice deleted a routine use for release to 
contractors that is duplicated by Standard Routine Use No. 7 and adds 
three new routine uses unique to this System.
     The first, Routine Use 2, will permit the Agency to 
provide minimal information to the alleged harasser or the alleged 
harassee regarding the status and the results of the investigation.
     The second new routine use, Routine Use 4, allows release 
to officials of the Labor Union information to which they are 
statutorily entitled when relevant and necessary to their duties.
     The third new routine use, Routine Use 5, permits release 
of information to the alleged harasser in the event of a disciplinary 
hearing based on a charge of harassment. This notice updates technical 
safeguards to reflect updated security measures.
    Finally, minor revisions to NASA's existing system of records 
notice bring its format into compliance with OMB guidance and updates 
records access, notification, and contesting procedures consistent with 
NASA Privacy Act regulations.

Cheryl Parker,
Federal Register Liaison Officer.

SYSTEM NAME AND NUMBER:
    Harassment Report Case Files, NASA 10HRCF.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Mary W. Jackson, NASA Headquarters, Washington, DC 20546-0001.

SYSTEM MANAGER(S):
    Agency Anti-Harassment Coordinator, Mary W. Jackson, NASA 
Headquarters, Washington, DC 20546-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    29 U.S.C. 621 et seq.; 29 U.S.C. 791 et seq., 42 U.S.C. 2000e-16 et 
seq.; 44 U.S.C. 3101; 51 U.S.C. 20113(a); E.O. 11478, 34 FR 12985; E.O. 
13087, 63 FR 30097; E.O. 13152, 63 FR 26115.

PURPOSE OF THE SYSTEM:
    These records are maintained to facilitate NASA internal fact-
finding investigations into allegations of harassment brought by 
current or former NASA employees, contractors, grantees, interns, 
applicants, and volunteers, and for taking appropriate action in 
accordance with NASA's policy.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system maintains information on individuals who have reported 
harassing conduct or have been accused of harassing conduct under 
NASA's Anti-Harassment Policy and Procedures. This includes, but is not 
limited to, current and former NASA employees, contractors, grantees, 
applicants, interns, and volunteers who have reported or been accused 
of allegations of harassment in violation of NASA's policy. It also 
includes information from witnesses contacted as part of the fact-
finding process.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system maintains all documents related to a complaint or 
report of harassment, which may include the complaint, statements of 
witnesses, reports of interviews, information generated during fact-
finding investigations, in-take forms, close-out letters, and other 
records related to the investigation and/or any corrective action taken 
because of the allegations. This system also contains case tracking 
information.

RECORD SOURCE CATEGORIES:
    The information in this system is obtained from individual 
complainants; Agency EEO Officials; supervisors; management officials; 
witnesses; current and former employees; current and former 
contractors, or grantees; Factfinders, the Agency Anti-Harassment 
Coordinator, and Center Anti-Harassment Coordinators.

[[Page 11483]]

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    Any disclosures of information in this system of records will be 
relevant, necessary, and compatible with the purpose for which the 
Agency collected the information. Under the following routine uses that 
are unique to this system of records, records from this system may be 
disclosed:
    1. To disclose information as necessary to any appropriate source 
from which additional information is requested while processing a 
complaint or report of harassment made pursuant to NASA policy.
    2. To the individual alleging harassment, the alleged harasser, or 
their representatives only information that is necessary to provide the 
status or the results of the investigation or case involving them.
    3. To an authorized grievance official, deciding official, 
complaints examiner, administrative judge, contract investigator, 
arbitrator, or duly authorized official for use in investigation, 
administrative personnel or corrective action, litigation, or 
settlement of a grievance, complaint, or appeal filed by an employee.
    4. To provide to officials of labor organizations recognized under 
the Civil Service Reform Act information to which they are statutorily 
entitled when relevant and necessary to their duties of exclusive 
representation concerning personnel policies, practices, and matters 
affecting work conditions.
    5. To provide to the alleged harasser information in the event of a 
disciplinary hearing based on a charge of harassment.
    In addition, information may be disclosed under the following NASA 
Standard Routine Uses:
    1. Law Enforcement--When a record on its face, or in conjunction 
with other information, indicates a violation or potential violation of 
law, whether civil, criminal or regulatory in nature, and whether 
arising by general statute or particular program statute, or by 
regulation, rule, or order, disclosure may be made to the appropriate 
agency, whether Federal, foreign, State, local, or tribal, or other 
public authority responsible for enforcing, investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute, or rule, regulation, or order, if NASA determines by 
careful review that the records or information are both relevant and 
necessary to any enforcement, regulatory, investigative or prosecutive 
responsibility of the receiving entity.
    2. Certain Disclosures to Other Agencies--A record from this SOR 
may be disclosed to a Federal, State, or local agency maintaining 
civil, criminal, or other relevant enforcement information or other 
pertinent information, such as current licenses, if necessary, to 
obtain information relevant to an agency decision concerning the hiring 
or retention of an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant, or other 
benefit.
    3. Certain Disclosures to Other Federal Agencies--A record from 
this SOR may be disclosed to a Federal agency, in response to its 
request, for a matter concerning the hiring or retention of an 
employee, the issuance of a security clearance, the reporting of an 
investigation of an employee, the letting of a contract, or the 
issuance of a license, grant, or other benefit by the requesting 
agency, to the extent that the information is relevant and necessary to 
the requesting agency's decision on the matter.
    4. Department of Justice--A record from this SOR may be disclosed 
to the Department of Justice when (a) NASA, or any component thereof; 
or (b) any employee of NASA in his or her official capacity; or (c) any 
employee of NASA in his or her individual capacity where the Department 
of Justice has agreed to represent the employee; or (d) the United 
States, where NASA determines that litigation is likely to affect NASA 
or any of its components, is a party to litigation or has an interest 
in such litigation, and by careful review, the use of such records by 
the Department of Justice is deemed by NASA to be relevant and 
necessary to the litigation.
    5. Courts--A record from this SOR may be disclosed in an 
appropriate proceeding before a court, grand jury, or administrative or 
adjudicative body, when NASA determines that the records are relevant 
to the proceeding; or in an appropriate proceeding before an 
administrative or adjudicative body when the adjudicator determines the 
records to be relevant to the proceeding.
    6. Response to an Actual or Suspected Compromise or Breach of 
Personally Identifiable Information--A record from this SOR may be 
disclosed to appropriate agencies, entities, and persons when (1) NASA 
suspects or has confirmed that there has been a breach of the system of 
records; (2) NASA has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, NASA 
(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 NASA's efforts to respond to the suspected or 
confirmed breach or to prevent, minimize, or remedy such harm.
    7. Contractors--A record from this SOR may be disclosed to 
contractors, grantees, experts, consultants, students, volunteers, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the federal government, when 
necessary to accomplish a NASA function related to this SOR. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to NASA employees.
    8. Members of Congress--A record from this SOR may be disclosed to 
a Member of Congress or to a Congressional staff member in response to 
an inquiry of the Congressional office made at the written request of 
the constituent about whom the record is maintained.
    9. Disclosures to Other Federal Agencies in Response to an Actual 
or Suspected Compromise or Breach of Personally Identifiable 
Information--A record from this SOR may be disclosed to another Federal 
agency or Federal entity, when NASA 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.
    10. National Archives and Records Administration--A record from 
this SOR may be disclosed as a routine use to the officers and 
employees of the National Archives and Records Administration (NARA) 
pursuant to records management inspections being conducted under the 
authority of 44 U.S.C. 2904 and 2906.
    11. Audit--A record from this SOR may be disclosed to another 
agency, or organization for purpose of performing audit or oversight 
operations as authorized by law, but only such information as is 
necessary and relevant to such audit or oversight function.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in paper and/or in electronic form.

[[Page 11484]]

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by the name of the alleged harassee, and/or 
by the name of the alleged harasser, or unique case identifiers.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records will be maintained for four years after the complaint or 
report of harassment is closed. Records older than four years will be 
destroyed in accordance with NRRS 1441.1, NASA Records Retention 
Schedules as Schedule 3, Item 53.5.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Electronic records are maintained on secure NASA servers and 
protected in accordance with all Federal standards and those 
established in NASA regulations at 14 CFR 1212.605. Additionally, 
server and data management environments employ infrastructure 
encryption technologies both in data transmission and at rest on 
servers. Electronic messages sent within and outside of the Agency that 
convey sensitive data are encrypted and transmitted by staff via pre-
approved electronic encryption systems as required by NASA policy. 
Approved security plans are in place for information systems containing 
the records in accordance with the Federal Information Security 
Management Act of 2002 (FISMA) and OMB Circular A-130, Management of 
Federal Information Resources. Only authorized personnel requiring 
information in the official discharge of their duties are authorized 
access to records through approved access or authentication methods. 
Access to electronic records is achieved only from workstations within 
the NASA Intranet or via a secure Virtual Private Network (VPN) 
connection that requires two-factor hardware token authentication or 
via employee Personal Identity Certification (PIV) badge authentication 
from NASA-issued computers. Non-electronic records are secured in 
locked rooms or locked file cabinets.

RECORD ACCESS PROCEDURES:
    In accordance with 14 CFR part 1212, Privacy Act--NASA Regulations, 
and subject to exemptions described therein, individuals who wish to 
gain access to their records should submit their request in writing to 
the System Manager or Subsystem Manager at locations listed above. 
Requests may also be requested electronically by the individual on whom 
the records are maintained or by their authorized representative.

CONTESTING RECORD PROCEDURES:
    The NASA regulations for access to records and for contesting 
contents and appealing initial determinations by the individual 
concerned appear in 14 CFR part 1212.

NOTIFICATION PROCEDURES:
    In accordance with 14 CFR part 1212, Privacy Act--NASA Regulations, 
information may be obtained from the cognizant system or subsystem 
manager listed at the above locations where the records are created 
and/or maintained.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    This system of records is exempt under 5 U.S.C. 552a(k)(2) and 5 
U.S.C. 552a(k)(5) from the following subsections of the Privacy Act of 
1974, specifically (c)(3) relating to access to the disclosure 
accounting; (d) relating to access to the records; (e)(1) relating to 
the type of information maintained in the records; (e)(4)(G), (H), and 
(I) relating to publishing in the annual system notice information as 
to agency procedures for access and correction and information as to 
the categories of sources of records; and (f) relating to developing 
agency rules for gaining access and making corrections. The 
determination to exempt investigative records of the Harassment Fact-
Finding Reports and Case Files has been made by the Administrator of 
NASA or designee in accordance with 5 U.S.C. 552a(k)(2), 5 U.S.C. 
552a(k)(5), and the NASA regulations set forth in 14 CFR part 1212.

HISTORY:
     (11-001, 76 FR 5, pp. 1195-1197)
     (11-091, 76 FR 200, pp. 64113-64114)
     (15-068, 80 FR 193, pp. 60410-60411)

[FR Doc. 2023-03750 Filed 2-22-23; 8:45 am]
BILLING CODE 7510-13-P