[Federal Register Volume 66, Number 156 (Monday, August 13, 2001)]
[Notices]
[Pages 42568-42570]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-20220]


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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974: New System of Records

AGENCY: Office of Personnel Management (OPM)

ACTION: Notice of a new system of records.

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SUMMARY: OPM proposes to add a new system of records to its inventory 
of records systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), 
as amended. This action is necessary to meet the requirements of the 
Privacy Act to publish in the Federal Register notice of the existence 
and character of records maintained by the agency (5 U.S.C. 
552a(e)(4)).

DATES: The new system will be effective without further notice on 
September 24, 2001, unless we receive comments that result in a 
contrary determination.

ADDRESSES: Send written comments to the Office of Personnel Management, 
ATTN: Mary Beth Smith-Toomey, Office of the Chief Information Officer, 
1900 E Street, NW., Room 5415, Washington, DC 20415-7900.

FOR FURTHER INFORMATION CONTACT: Mary Beth Smith-Toomey, 202-606-8358.

SUPPLEMENTARY INFORMATION: The Adjudications Officer Control Files 
records system will contain records of individuals, other than OPM 
employees: (1) Who work on an OPM-Investigations Service (IS) contract; 
(2) who need to access IS facilities or use IS equipment; or (3) about 
whom OPM-IS has provided a suitability or security adjudication 
advisory opinion at the request of another Federal agency's 
adjudication or security office. OPM will collect data by compilation 
of various documents related to the process of adjudication.

Office of Personnel Management
Kay Coles James,
Director.
OPM INTERNAL 16

SYSTEM NAME:
    Adjudications Officer Control Files.

SYSTEM LOCATION:
    Office of Personnel Management (OPM), Investigations Service (IS), 
Federal Investigations Processing Center, PO Box 618, Boyers, 
Pennsylvania 16018-0618.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system contains records on individuals, other than OPM 
employees: (1) Who work on an OPM-Investigations Service (IS) contract; 
(2) who need to access IS facilities or use IS equipment; or (3) about 
whom OPM--IS has provided a suitability or security adjudication 
advisory opinion at the request of another Federal agency's 
adjudication or security office.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The records in the system may contain the following:
    a. Documents completed by the individual.
    b. Dates and types of investigations.
    c. Investigative reports, including those from Federal 
investigative agencies, the Department of Defense, and internal and 
external inquiries.
    d. Records of suitability or security determinations.
    e. Dates and levels of security clearances and supporting 
documentation.
    f. Records of disclosures of information. g.Information related to 
an individual's work performance on an OPM--IS contract.
    h. Documents concerning an individual's conduct problems or 
security and policy violations related to an OPM--IS contract or use of 
OPM equipment or facilities.
    i. Correspondence between OPM--IS and an agency or an individual.
    j. Correspondence related to administrative review procedures.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The authorities for maintenance of the system include the 
following, with any revisions or amendments: Executive Orders 10450, 
12958 and 12968.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information in these records may be used:
    1. For Judicial/Administrative Proceedings--To disclose information 
to another Federal agency, to a court, or a party in litigation before 
a court or in an administrative proceeding being conducted by a Federal 
agency, when the Government is a party to the judicial or 
administrative proceeding. In those cases where the Government is not a 
party to the proceeding, records may be disclosed if a subpoena has 
been signed by a judge.
    2. For National Archives and Records Administration--To disclose 
information to the National Archives and Records Administration for use 
in records management inspections.
    3. Within OPM for Statistical/Analytical Studies--By OPM in the 
production of summary descriptive statistics and analytical studies in 
support of the function for which the records are collected and 
maintained, or for related workforce studies. While published studies 
do not contain individual identifiers, in some instances the selection 
of elements of data included in the study may be structured in such a 
way as to make the data individually identifiable by inference.
    4. For Litigation--To disclose information to the Department of 
Justice, or in a proceeding before a court, adjudicative body or other 
administrative body before which OPM is authorized to appear, when: 
OPM, or any component thereof; or any employee of OPM in his or her 
official capacity; or any employee of OPM in his or her individual 
capacity where the Department of Justice or OPM has agreed to represent 
the employee; or the United States, when OPM determines that litigation 
is likely to affect OPM or any of its components; is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice or OPM is

[[Page 42569]]

deemed by OPM to be relevant and necessary to the litigation provided, 
however, that the disclosure is compatible with the purpose for which 
records were collected.
    5. For the Merit Systems Protection Board--To disclose information 
to officials of the Merit Systems Protection Board or the Office of the 
Special Counsel, when requested in connection with appeals, special 
studies of the civil service and other merit systems, review of OPM 
rules and regulations, investigations of alleged or possible prohibited 
personnel practices, and such other functions, e.g., as promulgated in 
5 U.S.C. 1205 and 1206, or as may be authorized by law.
    6. For the Equal Employment Opportunity Commission--To disclose 
information to the Equal Employment Opportunity Commission when 
requested in connection with investigations into alleged or possible 
discrimination practices in the Federal sector, compliance by Federal 
agencies with the Uniform Guidelines on Employee Selection Procedures 
or other functions vested in the Commission and to otherwise ensure 
compliance with the provisions of 5 U.S.C. 7201.
    7. For the Federal Labor Relations Authority--To disclose 
information to the Federal Labor Relations Authority or its General 
Counsel when requested in connection with investigations of allegations 
of unfair labor practices or matters before the Federal Service 
Impasses Panel.
    8. For Certain Disclosures to Other Federal Agencies--To disclose 
relevant and necessary information to designated officers and employees 
of agencies, offices and other establishments in all branches of the 
Federal Government for:
    (a) Conducting suitability or security investigations,
    (b) Classifying jobs,
    (c) Hiring or retaining employees,
    (d) Evaluating qualifications, suitability and loyalty to the 
United States Government,
    (e) Granting access to classified information or restricted areas,
    (f) Letting a contract, issuing a license, grant, or other benefit, 
or
    (g) Providing a service performed under a contract or other 
agreement.
    9. For Law Enforcement Purposes--To disclose information to the 
appropriate Federal, State, local, tribal, foreign or other public 
authority responsible for investigating, prosecuting, enforcing or 
implementing a statute, rule, regulation or order when OPM--IS becomes 
aware of an indication of a violation or potential violation of civil 
or criminal law or regulation.
    10. For Congressional Inquiry--To disclose information to a 
congressional office in response to an inquiry made on behalf of an 
individual. Information will only be released to a congressional office 
if OPM receives a notarized authorization from the individual.
    11. For Non-Federal Personnel--To disclose information to 
contractors or volunteers performing or working on a contract, service 
or job for the Federal Government, regarding permission for an 
individual to work on an OPM--IS contract or use OPM--IS facilities or 
equipment, or be granted a security clearance.

PURPOSE(S)
    OPM--IS Adjudications Officers and Contract Administrators, or 
designees, use these records for making suitability or security 
determinations, granting security clearances for access to classified 
information, determining the need and eligibility to use OPM--IS 
facilities or equipment, assigning position sensitivity and documenting 
an individual's performance and conduct on an OPM--IS contract.

POLICIES AND PRACTICES OF STORING, RETRIEVING, SAFEGUARDING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM
STORAGE:
    OPM-IS maintains these records in file folders and in electronic 
databases.

RETRIEVABILITY:
    Records are retrieved by the name and date of birth or Social 
Security Number of the individual about whom they are maintained.

SAFEGUARDS:
    OPM stores the file folders in locked, metal file cabinets in a 
secured room. OPM restricts access to the records on the databases to 
employees who have the appropriate clearance and need-to-know.

RETENTION AND DISPOSAL:
    We maintain the records 3 years (as authorized/prescribed by the 
National Archives and Records Administration's General Records 
Schedules) after the individual's contract status with OPM-IS ends, the 
need to use OPM-IS equipment or facilities has terminated or the 
Federal agency notifies OPM-IS that the person whose case OPM-IS 
adjudicated has separated from that agency. OPM maintains records of 
disclosures of information from this system for 5 years after the 
disclosure is made or the life of the record, whichever is longer. 
Classified Information Nondisclosure Agreements (Standard Form 312) 
signed by individuals are maintained for 70 years.
    Contents of the file folders are destroyed by shredding and 
recycling and computer records are destroyed by electronic erasure.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Director, Investigations Service, Office of Personnel 
Management, Room 5416, 1900 E Street, NW., Washington, DC 20415-4000.

NOTIFICATION AND RECORD ACCESS PROCEDURE:
    Specific materials in this system have been exempted from Privacy 
Act provisions at 5 U.S.C. 552a(c)(3) and (d) regarding accounting of 
disclosures and access to and amendment of records. The section of this 
notice titled ``System Exemptions'' indicates the kinds of material 
exempted and the reasons for exempting them from access. Individuals 
wishing to ask if this system of records contains information about 
them or to request access to their record should write to FOI/P, OPM, 
Federal Investigations Processing Center, PO Box 618, Boyers, PA 16018-
0618. Individuals must furnish the following information for their 
record to be located:
    1. Full name.
    2. Date and place of birth.
    3. Social Security Number.
    4. Signature.
    5.Available information regarding the type of information 
requested.
    6. The reason why the individual believes this system contains 
information about him/her.
    7. The address to which the information should be sent.
    Individuals requesting access must also comply with OPM's Privacy 
Act regulations regarding verification of identity and access to 
records (5 CFR part 297).

CONTESTING RECORD PROCEDURE:
    Specific materials in this system have been exempted from Privacy 
Act provisions at 5 U.S.C. 552a(d) regarding access to and amendment of 
records. The section of this notice titled ``System Exemptions'' 
indicates the kinds of material exempted and the reasons for exempting 
them from amendment. Individuals wishing to request amendment of their 
non-exempt records should write to the Federal Investigations 
Processing Center and furnish the following information for their 
record to be located:
    1. Full name.
    2. Date and place of birth.
    3. Social Security Number.
    4. Signature.
    5.Precise identification of the information to be amended.
    Individuals requesting amendment must also follow OPM's Privacy Act

[[Page 42570]]

regulations regarding verification of identity and amendment to records 
(5 CFR part 297).

RECORD SOURCE CATEGORIES:
    Information in this system of records is obtained from:
    1. The individual to whom the information applies.
    2.OPM-IS investigative files.
    3. Officials of OPM and OPM-IS contractors.
    4. Federal agencies, the Department of Defense, and external and 
internal inquiries.
    5. The public.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    All information in these records that meets the criteria stated in 
5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6) or (7) is exempt from the 
requirements of the Privacy Act that relate to providing an accounting 
of disclosures to the data subject and access to and amendment of 
records (5 U.S.C. 552(c)(3) and (d)).

5 U.S.C. 552a(k)
    1. Properly classified information obtained from another Federal 
agency during the course of a personnel investigation, which pertains 
to national defense and foreign policy.
    2. Investigatory material compiled for law enforcement purposes 
other than material within the scope of this subsection.
    3. Investigatory material maintained in connection with providing 
protective services to the President of the United States or other 
individuals pursuant to section 3056 of title 18 of the U.S. Code.
    4. Investigatory material that is required by statute to be 
maintained and used solely as a statistical record.
    5. Investigatory material compiled solely for the purpose of 
determining suitability, eligibility or qualifications for Federal 
civilian employment and Federal contact or access to classified 
information. Materials may be exempted to the extent that release of 
the material to the individual whom the information is about would 
reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence or, prior to September 27, 1975, furnished 
information to the Government under an implied promise that the 
identity of the source would be held in confidence.
    6. Testing and examination materials, compiled during the course of 
a personnel investigation, that are used solely to determine individual 
qualifications for appointment or promotion in the Federal service, 
when disclosure of the material would compromise the objectivity or 
fairness of the testing or examination process.
    7. Evaluation materials, compiled during the course of a personnel 
investigation, that are used solely to determine potential for 
promotion in the armed services can be exempted to the extent that the 
disclosure of the data would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence or, prior to 
September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence.

[FR Doc. 01-20220 Filed 8-10-01; 8:45 am]
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