[Federal Register Volume 64, Number 223 (Friday, November 19, 1999)]
[Notices]
[Pages 63359-63361]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-30180]
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OFFICE OF SPECIAL COUNSEL
Privacy Act of 1974, System of Records
AGENCY: Office of special Counsel.
ACTION: Notice of administrative changes in System of Records and
Proposed Revision of Routine Uses.
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SUMMARY: Pursuant to the Privacy Act of 1974, as amended (5 U.S.C.
552a), and 5 U.S.C. 553, the Office of Special Counsel (OSC) previously
published notices in the Federal Register describing the system of
records maintained in connection with OSC program responsibilities. The
notice at 52 FR 29907 (1987) proposed the amendment of routine uses and
identified specific exemptions from the act; the notice at 58 FR 62394
(1993) designated the system as ``OSC/GOVT-1, OSC Complaint, Litigation
and Political Activity Files,'' among other administrative changes.
Pursuant to 5 U.S.C. 552a(e)(4) and (11), the OSC is revising the
system notice for OSC/GOVT-1 to update information about individuals
covered by the system, records in the system, authority for maintenance
of the system, the system manager, retrievability of records, access
controls, and records source categories; update legal citations; and
make technical corrections. The OSC also proposes to revise the system
notice by amending the description of two current routine uses, and by
adding a new routine use.
SUPPLEMENTARY INFORMATION: The OSC is an independent investigative and
prosecutorial agency, authorized to investigate allegations of: (a)
Prohibited personnel practices under 5 U.S.C. 2302(b), as well as
certain other matters listed at 5 U.S.C. 1216; (b) prohibited political
activity under 5 U.S.C. 7321-7326 by federal and District of Columbia
employees, and prohibited political activity under 5 U.S.C. 1501-1508
by certain state and local government employees; (c) violations by
federal agencies of certain employment and reemployment rights referred
by the U.S. Department of Labor under 38 U.S.C. 4324; and (d)
prohibited personnel practices referred by the Merit Systems Protection
Board (MSPB) under 5 U.S.C. 1221(f)(3). The OSC is further authorized
to seek appropriate corrective and/or disciplinary action in these
matters through litigation before the MSPB. Also, under 5 U.S.C. 1213,
the OSC operates a hotline channel through which current and former
federal employees or employees or former federal employees can make
confidential whistleblower disclosures.
Information developed in connection with these OSC program
responsibilities is maintained in the OSC/GOVT-1 system of records,
which includes certain records subject to the Privacy Act. These
include records in complaint files, generally retrieved by the name of
the person filing an allegation of a prohibited personnel practice,
improper political activity, or other prohibited activity; records in
disclosure files, generally retrieved by the name of a person filing an
allegation through the OSC whistleblower disclosure channel; records in
disciplinary action litigation files, generally retrieved by the name
of the person charged by the OSC in litigation before the MSPB; and
records in defensive litigation files, generally retrieved by the name
of the plaintiff in the action.
The OSC is revising the OSC/GOVT-1 system of records to: (1) Update
descriptions of individuals covered by the system, records in the
system (including addition of specific reference to records maintained
in connection with statutory referrals from the Labor Department under
38 U.S.C. 4324, the MSPB, and requests and decisions under the Freedom
of Information and privacy Acts), authority for maintenance of the
system, system manager, retrievability of records, access controls, and
records source categories; (2) update legal citations shown in prior
Federal Register notices, and (3) make other technical corrections.
The OSC also proposes to revise routine uses of information in the
system of records by: (1) amending the description of current routine
uses ``m'' and ``n'' (to conform them more closely to the guidance
issued by the Office of Management from which they were derived, most
notably by clarifying that disclosures may also be made in connection
with litigation in which the OSC has an interest, after the required
[[Page 63360]]
determination described in the current routine uses); and (2) adding a
new routine use, at ``q'' (allowing disclosures of information to the
news media and the public in specified circumstances, except to the
extent that the Special Counsel determines that disclosure of specific
information in the context of a particular case would constitute an
unwarranted invasion of personal privacy).
COMMENTS: Interested persons may submit comments in writing to the OSC
on the proposed revisions and additions of routine uses shown in this
notice. Comments should be sent to Marion S. Berman Bowytz, Planning
and Advice Division, U.S. Office of Special Counsel, 1730 M Street, NW,
Suite 300, Washington DC 20036-4505. The revised and new routine uses
will become effective 30 days after publication of this notice, unless
comments received by the OSC before then warrant further changes.
FOR FURTHER INFORMATION CONTACT: Marion S. Berman Bowytz, U.S. Office
of Special Counsel, at (202) 653-8971.
OSC/GOVT-1
SYSTEM NAME:
OSC/GOVT-1, OSC Complaint, Litigation and Political Activity Files.
SYSTEM LOCATION:
Management Division, U.S. Office of Special Counsel, 1730 M Street,
NW., Suite 200, Washington, DC 20036-4505.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The principal categories of individuals covered by the system are
persons filing allegations of prohibited personnel practices, improper
political activity, or other alleged prohibited activities; persons
identified as engaging or participating in such practices of
activities; persons filing disclosures of alleged wrongdoing by federal
agencies, and persons identified as engaging or participating in such
wrongdoing; persons charged by the OSC in disciplinary action
complaints filed by the OSC with the Merit systems Protection Board
(MSPB); and plaintiffs seeking remedies against the OSC in litigation
related to the performance of its official functions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Correspondence with persons (or their representatives) filing
allegations of prohibited personnel practices, improper political
activity, or other prohibited activities; correspondence with other
agencies, entities, or individuals referring matters to the OSC for
review and/or investigation; exhibits and other documentation from
complainants, governmental entities or other third parties; interview
records, including notes, summaries, or transcripts; affidavits;
reports or other summaries of investigation; factual and legal
summaries and analyses; administrative determinations; referrals to
other agencies for appropriate action; records created or compiled in
connection with litigation by or against the OSC, or pertinent to OSC
operations; requests and decisions under the Freedom of Information
and/or Privacy Acts; and other correspondence and documents arising out
of the performance of official OSC functions under 5 U.S.C. 1211-1221,
1501-1508, and 7321-7326; 38 U.S.C. 4324, and other applicable law or
regulation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, 552a, 1211-1221, 1501-1508, and 7321-7326; and 38
U.S.C. 4324.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. To disclose the fact that an allegation of prohibited personnel
practices or other prohibited activity has been filed;
b. To disclose information to the Office of Personnel Management
(OPM) pursuant to Civil Service Rule 5.4 (5 CFR 5.4), or to obtain an
advisory opinion concerning the application or effect of civil service
laws, rules, regulations or OPM guidelines in particular situations;
c. To disclose to the Equal Employment Opportunity Commission or
any other agency or office concerned with the enforcement of the
antidiscrimination laws, information concerning any allegation or
complaint of discrimination based on race, color, religion, sex,
national origin, age, or handicapping condition;
d. To disclose information to the MSPB or the President upon the
filing or referral of a disciplinary action complaint against an
employee on the basis of an OSC investigation;
e. To disclose information to an agency, the MSPB, OPM, and the
President reporting, under 5 U.S.C. 1214, the results of investigations
which disclose reasonable grounds to believe a prohibited personnel
practice has occurred, exists, or is to be taken;
f. To disclose information to Congress in connection with the
submission of an annual report on activities of the Special Counsel;
g. To disclose information to any agency or person regarding
allegations of prohibited personnel practices or other prohibited
activity or prohibited political activity filed against an agency or
any employee thereof, for the purposes of conducting an investigation,
in transmitting information to an agency under 5 U.S.C. 1213(c)(1) and
the OSC procedures established thereunder; or to give notice of the
status or outcome of the investigation;
h. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and to
identify the type of information requested), where necessary to obtain
information relevant to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation of an individual,
the letting of a contract, or the issuance of a license, grant, or
other benefit; To disclose information to the Office of Management and
Budget (OMB) at any stage in the legislative coordination and clearance
process in connection with private relief legislation, as set forth in
OMB Circular No. A-19;
j. To provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office (made at the request of that individual);
k. To furnish information to the National Archives and Records
Administration (NARA) in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2906;
l. To produce summary descriptive statistics and analytical studies
in support of the function for which the records are collected and
maintained or for related work force studies;
m. To disclose records to the Department of Justice (DOJ) when:
(1) The OSC, or
(2) Any employee of the OSC in his or her official capacity, or
(3) Any employee of the OSC in his or her individual capacity where
the DOJ has agreed to represent the employee, or
(4) The United States, where the OSC determines that litigation is
likely to affect the OSC,
is a party to litigation or has an interest in such litigation, and the
use of such records by the DOJ is deemed by the OSC to be relevant and
necessary to the litigation, provided, however, that the OSC determines
that disclosure of the records to the DOJ is a use of the information
contained in the records that is compatible with the purpose of which
the records were collected;
[[Page 63361]]
n. To disclose records maintained by the OSC in a proceeding before
a court or adjudicative body before which the OSC is authorized to
appear, when:
(1) The OSC, or
(2) Any employee of the OSC in his or her official capacity,
(3) Any employee of the OSC in his or her individual capacity where
the OSC has agreed to represent the employee, or
(4) The United States, where the OSC determines that litigation is
likely to affect the OSC,
is a party to litigation or has an interest in such litigation, and the
OSC determines that use of such records is relevant and necessary to
the litigation, provided, however, that the OSC determines that
disclosure of the records is a use of the information contained in the
records that is compatible with the purpose for which the records were
collected;
o. To disclose information to the MSPB to aid in the conduct of
special studies by the Board use 5 U.S.C. 1204(a)(3);
p. To disclose information to the Office of Inspector General (OIG)
or comparable internal inspection, audit, or oversight office of an
agency for the purpose of facilitating the coordination and conduct of
investigations and review of allegations within the purview of both the
OSC and the agency OIG or comparable office; and
q. To disclose information to the news media and the public when
(1) the matter under investigation has become public knowledge, (2) the
Special Counsel determines that disclosure is necessary to preserve
confidence in the integrity of the OSC investigative process or is
necessary to demonstrate the accountability of OSC officers, employees,
or individuals covered by this system, or (3) the Special Counsel
determines that there exists a legitimate public interest (e.g., to
demonstrate that the law is being enforced, or to deter the commission
of prohibited personnel practices, prohibited political activity, and
other prohibited activity within the OSC's jurisdiction), except to the
extent that the Special Counsel determines in any of these situations
that disclosure of specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy.
POLICIES AND PRACTICES FOR STORAGE, RETRIEVAL, ACCESS CONTROLS,
RETENTION AND DISPOSAL OF RECORDS IN THE SYSTEM:
storage:
These records are stored in a variety of media, primarily
consisting of file folders, and computer storage equipment.
retrievability:
Files in this system of records are retrievable by the names of key
individuals or agencies involved (e.g., complainants or requesters;
subjects identified in corrective action or disciplinary proceedings,
warning letters, or other determinations; legal, congressional, or
other representatives or points of contact; key witnesses), although
files are generally retrieved by the name of: (a) The complainant
alleging a prohibited personnel practice, improper political activity,
or other activity; (b) the person filing an allegation through the OSC
whistleblower disclosure channel; (c) the person filing an allegation
of prohibited political activity; (d) the person charged by the OSC in
litigation before the MSPB; and (e) the plaintiff in litigation against
the OSC.
safeguards:
These records are located in lockable metal file cabinets or in
secured areas, with access limited to those personnel whose official
duties require access.
retention and disposal:
NARA keeps records about prohibited personnel practices and other
prohibited activity for three years after the matter or case is closed,
or for six years if the file has been the subject of a Freedom of
Information Act request. NARA is responsible for disposal of agency
records pursuant to law and regulation.
system manager(s) and address:
Records Management Officer, U.S. Office of Special Counsel, 1730 M
Street, NW, Suite 216, Washington, DC 20036-4505.
NOTIFICATION PROCEDURE:
Individuals who wish to inquire whether this system contains
information about them should contact the system manager. To assist in
the process of locating and identifying records, individuals should
furnish the following:
a. Name and address;
b. Date and place of birth;
c. Social Security number;
d. A description of the circumstances under which records may have
been included in the system.
RECORD ACCESS PROCEDURES:
Same as notification procedure, above.
CONTESTING RECORD PROCEDURES:
Individuals who wish to contest records about them should contact
the system manager, identify any information they believe should be
corrected, and furnish a statement of the basis for the requested
correction along with all available supporting documents and materials.
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from a variety of
sources, consisting of complainants or others on whose behalf
allegations, or requests for information, have been submitted or
referred to the OSC; legal, congressional, or other representatives or
points of contact; other government bodies; witnesses and subjects in
matters under review; principals involved in litigation matters,
including parties and their representatives; and other persons or
entities furnishing information pertinent to the discharge of functions
for which the OSC is responsible.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
a. Complaint, Litigation and Political Activity files containing
investigatory material compiled by the OSC for law enforcement purposes
are exempt to the extent allowed under subsections (k)(2) and (5) of
the Privacy Act. This exemption is necessary to protect confidential
sources and facilitate the voluntary cooperation of witnesses during
inquiries into allegations of prohibited personnel practices or other
prohibited activities.
b. Testing or examination material compiled by the OSC solely to
determine individual qualifications for appointment or promotion in the
Federal service is exempt to the extent allowed under subsection (k)(6)
of the Privacy Act. This exemption is necessary to prevent the
disclosure of information that would potentially give an individual an
unfair competitive advantage or diminish the utility of established
examination procedures.
c. The OSC reserves the right to assert exemptions for records
received from another agency that could be properly claimed by that
agency in responding to a request, and the OSC may refuse access to
information compiled in reasonable anticipation of a civil action or
proceeding, pursuant to subsection (d)(5) of the Privacy Act.
Dated: November 2, 1999.
Elaine Kaplan,
Special Counsel.
[FR Doc. 99-30180 Filed 11-18-99; 8:45 am]
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