[Federal Register Volume 65, Number 222 (Thursday, November 16, 2000)]
[Notices]
[Pages 69359-69362]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-29246]


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DEPARTMENT OF STATE

[Public Notice 3474]


Privacy Act of 1974; Altered System of Records

    Notice is hereby given that the Department of State proposes to 
alter an existing system of records, STATE-31, pursuant to the 
provisions of the Privacy Act of 1974, as amended (5 U.S.C. 522a (r)), 
and the Office of Management and Budget Circular No. A-130, Appendix I. 
The Department's report was filed with the Office of Management and 
Budget on November 3, 2000.
    It is proposed that the current system STATE-31 will be renamed 
``Human Resources Records,'' and due to the expanded scope of the 
current system, the altered system description will include revisions 
and/or additions to all other sections. Changes to the existing system 
description are proposed in order to reflect more accurately the Bureau 
of Human Resources' record-keeping systems and a reorganization of 
activities and operations. Also, certain relevant records will be 
removed from ``Biographic Register Records, STATE-01,'' ``Board of 
Foreign Service Records, STATE-03,'' and ``Personnel Travel Records, 
STATE-32'' and will become part of STATE-31. STATE-01, STATE-03 and 
STATE-32 will be deleted in the near future.
    Any persons interested in commenting on the altered system of 
records may do so by submitting comments in writing to Margaret Peppe, 
Chief; Programs and Policies Division; Office of IRM Programs and 
Services; A/RPS/IPS/PP; U.S. Department of State, SA-2; Washington, DC 
20522-6001. This system of records will be effective 40 days from the 
date of publication, unless we receive comments that will result in a 
contrary determination.
    The altered system description, ``Human Resources Records, STATE-
31'' will read as set forth below.

    Dated: November 3, 2000.
Patrick F. Kennedy,
Assistant Secretary for the Bureau of Administration, Department of 
State.
STATE-31

System name:
    Human Resources Records.

Security classification:
    Classified and unclassified.

System location:
    Department of State, 2201 C Street, NW, Washington, DC 20520; State 
Annex 01, 2401 E Street, NW, Washington, DC 29937; overseas at U.S. 
embassies, U.S. consulates general, and U.S. consulates; U.S. missions; 
and the National Personnel Records Center, 111 Winnebago Street, St. 
Louis, MO 63118.

Categories of individuals covered by the system:
    All applicants for employment with the Department of State 
(including unsuccessful applicants); all current and former Civil 
Service (CS) and Foreign Service (FS) employees of the Department of 
State including members of the Senior Executive Service, Presidential 
appointees, employees under full-time, part-time, intermittent, 
temporary, and limited appointments; anyone serving in an advisory 
capacity (compensated and uncompensated); other agency employees on 
detail to the Department; former Foreign Service Reserve Officers; 
student applicants for internships, Presidential Management Interns, 
Foreign Affairs Fellowship Program Fellows, student interns and other 
student summer hires, Stay-in-School student employees, and Cooperative 
Education Program participants; employees who report intent to marry or 
cohabitate with a foreign national; prospective alien spouses of 
Department employees;

[[Page 69360]]

employees who apply for their spouses or children to be expeditiously 
naturalized; employees detailed or seconded to international 
organizations; Foreign Service personnel separated for cause; current 
and former Foreign Service Generalists who were/are members of class 
action lawsuits; annuitants under the Foreign Service Retirement and 
Disability System and the Foreign Service Pension System as well as 
civil service annuitants.

Authority for maintenance of the system:
    22 U.S.C. 2581 (General Authority of Secretary of State); 22 U.S.C. 
2651a (Organization of the Department of State); 22 U.S.C. 3901 et seq. 
(Foreign Service Act of 1980); 22 U.S.C. 3921 (Management of the 
Foreign Service); 22 U.S.C. 4041 (Administration of the Foreign Service 
Retirement and Disability System); 5 U.S.C. 301-302 (Management of the 
Department of State); Executive Order 9397 (Numbering System for 
Federal Accounts Relating to Individual Persons); Executive Order 9830 
(Amending the Civil Service Rules and Providing for Federal Personnel 
Administration); and Executive Order 12107 (Relating to the Civil 
Service Commission and Labor-Management in the Federal Service) and 
successor authorities.

Purposes:
    The Official Personnel File and other general personnel records 
files are the official repository of the records, reports of personnel 
actions, and the documents and papers required in connection with 
personnel actions effected during an employee's Federal service. The 
information and documents collected and maintained in this system are 
in keeping with the Bureau of Human Resources' mission to determine the 
size and configuration of the Department workforce in order to meet its 
goals of defending national security and promoting national interests; 
to document all processes associated with individual employment 
histories and career progression; to ensure that all employees and 
potential employees have equal opportunities and to make personnel 
management determinations about employees throughout their Federal 
careers.

Categories of records in the system:
    Records are kept in different offices within the Department 
according to the status of the employee and/or the action being taken. 
Most records are retained in the Bureau of Human Resources, however, 
some records are held by Bureaus with partial or fully delegated 
personnel authority for certain personnel functions. Eventually, the 
records may be merged, retired or disposed of. All categories of 
records may include identifying information, such as, but not limited 
to, name, date of birth, home address, mailing and e-mail address, 
social security number and home telephone number. The primary record 
files are the official personnel files; merit promotion files; 
recruitment and employment files; employee relations files; technician 
files; career development and counseling files; performance files; 
conduct, suitability, and discipline files; Foreign Service promotion 
files; and retirement and annuitant files; which may contain any of the 
following documents and various related documents not otherwise stated: 
applications for Federal employment; resumes; biographic information; 
college transcripts; crediting plans; panel rating and summary sheets; 
rank order list of candidates and Merit Promotion certificates of those 
eligible; fingerprint charts; security clearance forms and related 
correspondence; requests for personnel action and other related forms 
required for entry on duty such as health and life insurance and other 
benefits; questionnaires for National Security positions; 
correspondence documenting eligibility for priority consideration and/
or placement and related documents; pre-appointment certification 
statements for Selective Service registration; appointment affidavits; 
Declarations of Appointee; Declarations of Federal Employment; 
Employment Eligibility Verifications; letters of appointment offer; 
employment confirmation letters; Statements of Understanding (employee-
signed agreement to conditions of employment); official personnel 
actions, e.g., assignment, pay, promotion, leave and/or travel; Foreign 
Service written and oral examination results; language proficiency 
ratings; reports of other processes that impact the status of an 
employee, e.g., investigations of the Office of the Inspector General; 
documents related to issues raised in lawsuits; counseling messages; 
correspondence with parties to litigation including class actions, or 
their attorneys; documents regarding awarding of monetary, promotion, 
award or assignment relief under consent decrees, settlements, 
agreements, or court orders; Department letters regarding separation 
for cause and responses by individuals; transcripts of hearings; 
recommendations of hearing officers; documents related to potential 
and/or formal disciplinary actions such as reports of investigation 
from the Office of the Inspector General and/or the Bureau of 
Diplomatic Security, warning letters, reprimands, proposal letters, 
employee's written responses, summary of the employee's oral response, 
and decision letters imposing disciplinary action; performance 
evaluations and related correspondence; career development and 
counseling records including training and assignment records; bid 
lists; requests for and notifications of changes in tours of duty and 
home leave eligibility; grievance files; requests for medical 
clearance; medical clearance waivers and medical clearances; processing 
records and card files; promotion, upward mobility, and conversion 
files (Mustang and lateral entry programs); retirement applications; 
forms and documents related to benefits under the Federal Employees 
Compensation Act; documents pertaining to disabled employees; 
designated beneficiary information and estimated annuity calculations; 
records of health and life insurance enrollments for annuitants and 
current and former spouses; annuitant and external placement files; 
title and rank documents; Presidential Commission records; Foreign 
Service Residence and Dependency Reports; separate maintenance 
allowance forms; applications for marriage to foreign nationals and 
notices of intent of Foreign Service employees; service record cards; 
Personal Audit Reports and abstracts; and forms and correspondence 
relating to Foreign Service allowances.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The information in the Human Resources Records may be used:
     By Department personnel in the performance of their 
official duties including, but not limited to, recruitment, position 
classification, appointments, assignments, performance management/
appraisal and compensation, evaluations and promotions, awards, 
training, staffing, counseling, disciplinary or adverse actions, 
grievances, litigation, travel orders and operations of the automated 
personnel/payroll and Foreign Service annuitant systems;
     To provide the names of those Foreign Service employees 
who are proposed for tenure, promotion or assignment requiring special 
action to the Bureau of Diplomatic Security, the Office of the 
Inspector General, and the Office of Employee Relations in the Bureau 
of Human Resources for review

[[Page 69361]]

and eventual submission to the Director General of the Foreign Service;
     To track security clearances for applicants;
     To provide personnel trends and demographics for resource 
management and analysis;
     To administer the Department's disciplinary program for 
both Civil Service and Foreign Service employees as well as the 
programs for expeditious naturalization and marriage to and 
cohabitation with foreign nationals;
     To examine employee complaints regarding the validity of 
specific documents in their files;
     By consulting services who provide information about 
available aids, devices and methods of accommodating employees with 
disabilities;
     To exchange information with the Office of Personnel 
Management for its government-wide personnel management functions such 
as pay, benefits, and retirement deductions;
     To provide information to other Federal agencies, state 
governments, foreign governments and international organizations where 
employees are being considered for detail, assignment or secondment;
     To provide information to academic institutions to which 
Department employees may be assigned for long-term training;
     To disclose information to any member of an agency's 
Performance Review Board or other panel when the member is not an 
official of the employing agency; information would then be used for 
approving or recommending selection of candidates for executive 
development or SES candidate programs, issuing a performance rating of 
record, issuing performance awards, nominating for meritorious and 
distinguished executive ranks, and removal, reduction-in-grade, and 
other personnel actions based on performance;
     By attorneys, union representatives or other persons 
designated by employees in writing to represent them in complaints, 
grievance, appeal, or litigation cases;
     To respond to requests in determining a former spouse's 
entitlement to benefits and other inquiries related to retirement 
benefits;
     By the President of the United States, the Executive 
Office of the President and legislative and appropriations committees 
of the U.S. Congress charged with consideration of legislation and 
appropriations for the Foreign Service, or representatives duly 
authorized by such committees;
     By labor organization officials when such information is 
relevant to personnel policies affecting employment conditions and 
necessary for exclusive representation by the labor organization;
     To disclose information to officials of foreign 
governments and other U.S. government agencies for clearance before a 
Federal employee is assigned to that country as well as for the 
procurement of necessary services for American personnel assigned 
overseas, such as permits of free entry and identity cards;
     To disclose information to the Department of Labor, 
Department of Veterans Affairs, Social Security Administration, 
Department of Defense, or any other Federal agencies that have special 
civilian employee retirement and disability programs; or to a national, 
state, county, municipal, or other publicly recognized charitable or 
income security, administration agency (e.g., State unemployment 
compensation agencies), when necessary to adjudicate a claim under the 
retirement, insurance, unemployment or health benefits programs of the 
Department or an agency cited above, or to an agency to conduct an 
analytical study or audit of benefits being paid under such programs;
     To disclose to the Office of Federal Employees Group Life 
Insurance, information necessary to verify election, declination, or 
waiver of regular and/or optional life insurance coverage, or 
eligibility for payment of a claim for life insurance;
     To disclose, to health insurance carriers contracting with 
the Federal government to provide a health benefits plan under the 
Federal Employees Health Benefits Program, information necessary to 
identify enrollment in a plan, to verify eligibility for payment of a 
claim for health benefits, or to carry out the coordination or audit of 
benefit provisions of such contracts;
     When an individual to whom a record pertains is mentally 
incompetent or under other legal disability, information in the 
individual's record may be disclosed to any person who is responsible 
for the care of the individual, to the extent necessary to assure 
payment of benefits to which the individual is entitled;
     To consider and select employees for incentive awards and 
other honors and to publicize those granted--this may include 
disclosure to other public and private organizations, including news 
media, which grant or publicize employee recognition;
     To disclose information to the Inspector General in 
conducting an official investigation of the Department or any of its 
personnel;
     By the subject of the record to review his/her career 
status and progress;
     To disclose information to the Department of Justice or in 
connection with proceedings before a court, adjudicative body, or other 
administrative body when:
    (1) The agency, or any component thereof; or
    (2) Any employee of the agency in his or her official capacity; or
    (3) Any employee of the agency in his or her individual capacity 
where the Department of Justice or the agency has agreed to represent 
the employee; or
    (4) The United States, when the agency determines that litigation 
is likely to affect the agency or any of its components; is a party to 
litigation or has an interest in such litigation, and the Department of 
State determines that the use of such records is arguably relevant and 
necessary to the litigation;
     To implement court decisions and/or terms of settlement 
agreements reached by the parties;
     To prepare reports to the courts in compliance with 
monitoring requirements;
     In response to an order from a court or an administrative 
body (including, but not limited to the Equal Employment Opportunity 
Commission, the Foreign Service Grievance Board and the Merit Systems 
Protection Board) directing the production of personnel records;
     By other government agencies and private organizations, 
institutions or individuals to verify employment, to process security 
clearances and to request record or credit checks;
     To provide an official of another Federal agency 
information needed in the performance of official duties in support of 
the functions for which the records were collected and maintained;
     To disclose information to Equal Employment Opportunity 
(EEO) counselors and EEO investigators in connection with EEO 
complaints and to the Equal Employment Opportunity Commission when 
requested in connection with investigations of alleged or possible 
discrimination practices in the Federal sector, examination of Federal 
affirmative employment programs, compliance by Federal agencies with 
the Uniform Guidelines on Employee Selection Procedures, or other 
functions vested in the Commission;
     By the Department of Labor's Office of Workers' 
Compensation programs relating to benefits under the Federal Employees 
Compensation Act; and

[[Page 69362]]

     To disclose information to the news media and the public 
when (1) a matter involving the Department of State has become public 
knowledge, (2) the Under Secretary for Management determines that in 
response to the matter in the public domain, disclosure is necessary to 
provide an accurate factual record on the matter, and (3) the Under 
Secretary determines that there exists a legitimate public interest in 
the information disclosed.
    Also see the ``Routine Uses'' paragraph of the Prefatory Statement 
published in the Federal Register.

Policies and practices for storing, retrieving, accessing, retaining 
and disposing of records in the system:
Storage:
    Electronic media and hard copy.

Retrievability:
    By individual name, social security number.

Safeguards:
    All employees of the Department of State have undergone background 
investigations. Access to the Department and its annexes is controlled 
by security guards and admission is limited to those individuals 
possessing a valid identification card or individuals under proper 
escort. All records containing personal information are maintained in 
secured file cabinets or in restricted areas, access to which is 
limited to authorized personnel. Access to computerized files is 
password-protected and under the direct supervision of the system 
manager. The system manager has the capability of printing audit trails 
of access from the computer media, thereby permitting regular and ad 
hoc monitoring of computer usage.

Retention and disposal:
    These records will be maintained until they become inactive at 
which time they will be retired or destroyed in accordance with 
published records schedules of the Department of State and as approved 
by the National Archives and Records Administration. More specified 
information may be obtained by writing to the Director, Office of IRM 
Programs and Services; 
A/RPS/IPS; U.S. Department of State, SA-2; Washington, DC 20522-6001.

System manager(s) and address:
    The Director General of the Foreign Service and Director of Human 
Resources; Department of State; 2201 C Street, NW; Washington, DC 
20520.

Notification procedures:
    Individuals who have reason to believe that the Bureau of Human 
Resources might have records pertaining to themselves should write to 
the Director, Office of IRM Programs and Services (address above). The 
individual must specify that he/she wishes the Human Resources Records 
to be checked. At a minimum, the individuals must include: name; date 
and place of birth; approximate dates of employment with the Department 
of State or when in process for a potential appointment; current 
mailing address and zip code; signature and preferably, his/her social 
security number.

Record access and amendment procedures:
    Individuals who wish to gain access to or amend records pertaining 
to themselves should write to the Director, Office of IRM Programs and 
Services (address above).

Record source categories:
    These records contain information obtained directly from the 
individual who is the subject of these records, previous employers, 
supervisors, Foreign Service inspectors, any/all offices within the 
Bureau of Human Resources (counselors, placement officers, and 
personnel technicians), other bureaus (administrative/executive 
officers, personnel and payroll offices, security, medical, and legal), 
reports of the Board of Examiners of the Foreign Service, Foreign 
Service Employee Evaluation Reports and Selection Board findings, the 
Foreign Service Institute, colleges, universities, Armed Forces 
academic institutions, contractors responsible for administration of 
the Foreign Service written examination, and other authorized agencies 
administering pre-employment tests, Office of Personnel Management and 
other federal agencies, prospective alien spouses of Foreign Service 
employees; grievance staff and appeals boards, affidavits and testimony 
of witnesses.
System exempted from certain provisions of the Privacy Act:

  
    Pursuant to 5 U.S.C. 552a(k)(4), records contained within this 
system that are maintained solely for statistical purposes are exempted 
from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and 
(f). Pursuant to 5 U.S.C. 552a (k)(5) and (k)(7), certain records 
contained within this system contain confidential source information 
and are exempted from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H) 
and (I), and (f). Pursuant to 5 U.S.C. 552a (k)(6), records that 
contain testing or examination material the release of which may 
compromise testing or examination procedures are also exempted from 5 
U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). See 
Department of State Rules published in the Federal Register.
[FR Doc. 00-29246 Filed 11-15-00; 8:45 am]
BILLING CODE 4710-24-U