[Federal Register Volume 68, Number 13 (Tuesday, January 21, 2003)]
[Notices]
[Pages 2772-2774]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-1195]


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FEDERAL COMMUNICATIONS COMMISSION


Privacy Act System of Records

AGENCY: Federal Communications Commission (FCC or Commission).

ACTION: Notice; altered Privacy Act system of records; revision of one 
routine use; addition of one new routine use; and cancellation of one 
system of records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a(e)(4) and (e)(11), the FCC proposes to alter a 
system of records, FCC/Central-6, ``Personnel Investigation Records.'' 
The altered system of records will incorporate the provisions of FCC/
OMD-4, ``Security Office Control Files,'' including the addition of two 
routine uses from FCC/OMD-4; revision of one routine use; and addition 
of one new routine use incorporating the data elements and uses for the 
Workplace Violence Form; and make other edits and revisions as 
necessary. The FCC will cancel FCC/OMB-4.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (e)(11), any 
interested person may submit written comments concerning the proposed 
altered system of records on or before February 20, 2003. The Office of 
Management and Budget (OMB), which has oversight responsibility under 
the Privacy Act to review the system may submit comments on or before 
March 3, 2003. The proposed system shall become effective without 
further notice March 3, 2003 unless the FCC receives comments that 
would require a contrary determination. As required by 5 U.S.C. 552a(r) 
of the Privacy Act of 1974, as amended, the FCC has submitted reports 
on this proposed altered system to OMB and both Houses of Congress.

ADDRESSES: Comments should be sent to Les Smith, Privacy Act Clerk, 
Performance Evaluation and Records Management (PERM), Room 1-A804, 
Federal Communications Commission (FCC), 445 12th Street, SW., 
Washington, DC 20554, (202) 418-0217, or via the Internet at 
[email protected].

FOR FURTHER INFORMATION: Contact Les Smith, Performance Evaluation and 
Records Management (PERM), Room 1-A804, Federal Communications 
Commission, 445 12th Street, SW., Washington, DC 20554, (202) 418-0217 
or via the Internet at [email protected]; or Eric Botker, Security 
Office, Associate Managing Director--Administrative Operations (AMD-
AO), Security Operations Center, Federal Communications Commission 
(FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 20554, (202) 
418-7884 or via the Internet at [email protected].

SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a(e)(4) and (e)(11), this document sets forth 
notice of the proposed altered system of records maintained by the FCC; 
addition of two routine uses to FCC/Central-6 that were formerly in 
FCC/OMD-4; revision of one routine use in FCC/Central-6 to incorporate 
elements formerly in FCC/OMD-4; addition of one new routine use to 
incorporate uses in the Workplace Violence Form; and cancellation of 
one system of records, FCC/OMD-4. This agency previously gave complete 
notice of the two systems of records covered under this Notice by 
publication in the Federal Register on October 23, 2000, 65 FR 63468. 
This notice is a summary of more detailed information, which may be 
viewed at the location given in the ADDRESSES section above. The 
purposes for altering FCC/Central-6, ``Personnel Investigation 
Records'' are to merge FCC/OMD-4, ``Security Office Control Files'' 
into this system of records to eliminate possible duplications of 
functions and records; to add new data elements, new purposes, and one 
new routine use; to update the statutory authority to maintain the 
information that the Commission may collect when the Workplace Violence 
Form is introduced; and otherwise to alter, update, and revise this 
system of records as necessary.
    The FCC proposes to achieve these purposes by altering this system 
of records, FCC/Central-6, ``Personnel Investigation Records'' with 
these changes:
    The incorporation of the data elements of another system of 
records, FCC/OMD-4, ``Security Office Control Files,'' into FCC/
Central-6;
    The elimination of FCC/OMD-4;
    The transfer of two routine uses formerly in FCC/OMD-4 to address 
new and/or revised uses:
    Routine use (7) allows disclosure to the security officers of an 
agency in the executive, legislative, or judicial branch, or the 
District of Columbia Government, in response to their request(s) for 
verification of security clearances of FCC employees to have access to 
classified data or areas where their official duties require such 
access.
    Routine use (8) allows disclosure to request information from a 
Federal, state, or local agency maintaining civil, criminal, or other 
relevant or pertinent enforcement information or records, such as 
licenses, if necessary to obtain information relevant to a Commission 
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 grant or other benefit.
    The revision of one routine use to incorporate uses formerly in 
FCC/OMD-4:
    Routine use (5) allows disclosure to designated officers and 
employees of agencies, offices, and other establishments in the 
executive, legislative, and judicial branches of the Federal 
Government, and the District of Columbia Government, in response to 
their request, when such agency, office, or establishment conducts an 
investigation of the individual for the purpose of hiring, firing, or 
retention, granting a security clearance, making a determination of 
qualifications, suitability, or loyalty to the United States 
Government, or access to classified information or restricted areas, or 
classifying jobs, letting of a

[[Page 2773]]

contract, or 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 purpose.
    The addition of one new routine use to include the data elements, 
information, and purposes for the Workplace Violence Form:
    Routine use (9) allows disclosure to the Merit System Protection 
Board (MSPB) during the course of the MSPB's investigation of the 
individual's appeal, following the Commission's adverse action against 
the individual.
    The alteration, revision, or modification of various data elements 
in FCC/Central-6, including editorial changes to update, simplify, or 
clarify, as necessary, this system of records.
    The FCC Security Officer and the Personnel Security Specialist in 
the Security Office will use the records in FCC/Central-6 to provide 
investigative information to determine compliance with Federal 
regulations and/or an individual's suitability and fitness for Federal 
employment, access to classified information or restricted areas, 
position sensitivity, security clearances, evaluations of 
qualifications, and loyalty to the U.S.; to evaluate qualifications and 
suitability to perform contractual services for the U.S. Government; to 
document such determinations; to respond to an inquiry conducted under 
the President's Program to Eliminate Waste and Fraud in the Government; 
to take action on, or respond to a complaint about a threat, 
harassment, intimidation, violence, or other inappropriate behavior 
involving one or more FCC employees and/or contract employees; and to 
counsel employees.
    Records in this system will be available for public inspection at 
the location given above. The functions in this system of records will 
be performed by the FCC Security Officer and the Personnel Security 
Specialist in the Security Office.
    This notice meets the requirement documenting the change in the 
Commission's system of records, and provides the public, Congress, and 
the Office of Management and Budget (OMB) an opportunity to comment.
FCC/CENTRAL-6

SYSTEM NAME:
    Personal Investigation Records.

SECURITY CLASSIFICATION:
    There is no specific security classification for this system; 
however, data or records within the system may have national defense/
foreign policy classifications up through secret.

SYSTEM LOCATION:
    Security Operations Center, Assistant Managing Director-
Administrative Offices (AMD-AO), Office of Managing Director, Federal 
Communications Commission (FCC), 445 12th Street, SW., Room 1-B458, 
Washington, DC 20554.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    1. Current and former FCC employees, applicants for employment in 
the Federal service, and contractors.
    2. Individuals considered for access to classified information or 
restricted areas and/or security determinations such as contractors, 
experts, instructors, and consultants to Federal programs.
    3. Individuals who are neither applicants nor employees of the 
Federal Government, but who are or were involved in Federal programs 
under a co-operative agreement.

CATEGORIES OF RECORDS IN THE SYSTEM:
    1. Data needed to identify an individual and his/her security 
clearance for both FCC and contract employees: Individual's last, 
first, and middle names (filed alphabetically by last name); Social 
Security Number; date of birth; place of birth; Bureau/Office/
Contractor Company; position title; security classification; types and 
dates of investigations; agency conducting investigation, investigation 
dates, clearance level granted, and position sensitivity level; and 
remarks.
    2. Data needed to investigate an individual's character, conduct, 
and behavior in the community where he or she lives or lived; arrests 
and convictions for violations against the law; reports of interviews 
with present and former supervisors, co-workers, associates, educators, 
etc; reports about the individual's qualifications for a position; 
reports of inquiries with law enforcement agencies, employers, and 
educational institutions attended; reports of action after OPM or FBI 
Section 8(d) Full Field Investigation; Notices of Security 
Investigation and other information developed from the above described 
Certificates of Clearance; and in some instances, a photograph of the 
subject.
    3. Data to needed to investigate allegations of misconduct by an 
FCC employee;
    4. Data needed to investigate miscellaneous complaints not covered 
by the FCC's formal or informal grievance procedure; and
    5. Data needed to conduct inquiries under the ``President's Program 
to Eliminate Waste and Fraud in Government.''
    6. Data needed to investigate violence, threats, harassment, 
intimidation, or other inappropriate behavior that causes an FCC 
employee or contractor to fear for his/her personal safety in the FCC 
workplace: case number; victim's name; office telephone number; room 
number; organization bureau/office/division/branch; duty station; 
position; supervisor; supervisor's telephone number; location of 
incident; activity at time of incident; circumstances surrounding the 
incident; perpetrator; name(s) and telephone number(s) of witness(es); 
injured party(s); medical treatment(s); medical report; property 
damages; report(s) to police and/or Federal Protective Services; and 
other miscellaneous information.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 CFR part 5; 29 CFR part 1960; 47 CFR 19.735-107; 5 U.S.C. 1303, 
1304, 3301, 7902; and Executive Orders 10450, 11222, 12065, and 12196.

PURPOSE(S):
    FCC Security Officer and the Personnel Security Specialist of the 
Security Office use the records in this system to provide investigative 
information to determine compliance with Federal regulations and/or to 
make a determination about an individual's suitability and fitness for 
Federal employment, access to classified information or restricted 
areas, position sensitivity, security clearances, evaluations of 
qualifications, and loyalty to the U.S.; to evaluate qualifications and 
suitability to perform contractual services for the U.S. Government; to 
document such determinations; to respond to an inquiry conducted under 
the President's Program to Eliminate Waste and Fraud in the Government; 
to take action on, or to respond to a complaint about a threat, 
harassment, intimidation, violence, or other inappropriate behavior 
involving one or more FCC employees and/or contract employees; and to 
counsel employees.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. A record from this system of records may be referred to the 
appropriate Federal, state, or local agency responsible for 
investigating or prosecuting a violation or for enforcing or 
implementing the statute, rule, regulation, or order where there is an 
indication of a violation or potential violation of a statute, 
regulation, rule, or order.
    2. A record on an individual in this system of records may be 
disclosed to a

[[Page 2774]]

Congressional office in response to an inquiry an individual has made 
to the Congressional office.
    3. A record for this system of records maybe disclosed to GSA and 
NARA for the purpose of records management inspections conducted under 
authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used 
to make a determination about individuals.
    4. A record on an individual in this system of records may be 
disclosed, where pertinent, in any legal proceeding to which the 
Commission is a party before a court or administrative body.
    5. A record from this system may be disclosed to designated 
officers and employees of agencies, offices, and other establishments 
in the executive, legislative, and judicial branches of the Federal 
Government, and the District of Columbia Government, in response to 
their request, when such agency, office, or establishment conducts an 
investigation of the individual for the purpose of hiring, firing, or 
retention, granting a security clearance, making a determination of 
qualifications, suitability, or loyalty to the United States 
Government, or access to classified information or restricted areas, or 
classifying jobs, letting of a contract, or 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 
purpose.
    6. A record from this system of records may be disclosed to the 
Department of Justice or in a proceeding before a court or adjudicatory 
body when:
    (a) The United States, the Commission, a component of the 
Commission, or when represented by the government, an employee of the 
Commission is a party to litigation or anticipated litigation or has an 
interest in such litigation, and
    (b) The Commission determines that the disclosure is relevant or 
necessary to the litigation.
    7. A record from this system may be disclosed to the security 
officers of an agency in the executive, legislative, or judicial 
branch, or the District of Columbia Government, in response to their 
request(s) for verification of security clearances of FCC employees to 
have access to classified data or areas where their official duties 
require such access.
    8. A record in this system may be disclosed to request information 
from a Federal, state, or local agency maintaining civil, criminal, or 
other relevant or pertinent enforcement information or records, such as 
licenses, if necessary to obtain information relevant to a Commission 
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 grant or other benefit.
    9. A record from this system may be disclosed to the Merit System 
Protection Board (MSPB) during the course of the MSPB's investigation 
of the individual's appeal, following the Commission's adverse action 
against the individual.
    In each of these cases, the FCC will determine whether disclosure 
of the records is compatible with the purpose for which the records 
were collected.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    Not applicable.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records in this system of records include both paper and electronic 
records. Paper records are stored in file folders in security 
containers. The electronic records are maintained in a computer 
database.

RETRIEVABILITY:
    Records are retrieved by individual's name and Social Security 
Number.

SAFEGUARDS:
    Paper records are maintained in file folders and stored in approved 
security containers, within a secure, access-controlled area with an 
intrusion alarm. Access is limited to approved security office and 
administrative personnel.
    The electronic records are maintained in a ``stand-alone'' computer 
database, which is secured through controlled access and passwords 
restricted to security and administrative personnel on a ``need to 
know'' basis. The computers are located in a room with a simplex lock 
and intrusive alarm systems. The computer databases are maintained on a 
computer that is not connected to the FCC computer network. The 
databases are backed-up on a daily basis to floppy disk(s), which are 
then stored in a secured area.

RETENTION AND DISPOSAL:
    Both paper and electronic records are retained during employment or 
while an individual is actively involved in federal programs. As 
appropriate, records are returned to investigating agencies after 
employment terminates; otherwise, the records are retained for five 
years from the date that the employee leaves the Commission.
    Investigative files and the computer database, which show the 
completion of an investigation, are retained for 15 years, except for 
investigations involving potential actionable issue(s), which will be 
maintained for 25 years plus the current year from the date of the most 
recent investigative activity.
    Paper records are destroyed by shredding. Electronic records are 
destroyed by electronic erasure.

SYSTEM MANAGER(S) AND ADDRESS:
    Security Office, Associate Managing Director--Administrative 
Operations (AMD-AO), Security Operations Center, Federal Communications 
Commission (FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 
20554.

NOTIFICATION, RECORD ACCESS AND CONTESTING RECORD PROCEDURES:
    This system is exempt from the requirement that the agency publish 
the procedures for notifying an individual, at his or her request, if 
the system contains a record pertaining to him/her, for gaining access 
to such record, and for contesting the contents of the record.

RECORD SOURCE CATEGORIES:
    This system is exempt from the requirement that the agency publish 
the categories of sources of records in this system.

EXEMPTION FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records is exempt from sections (c)(3), (d), 
(e)(4)(G), (H), and (I), and (f) of the Privacy Act of 1974, 5 U.S.C. 
552a, and from 47 CFR 0.554-0.557 of the Commission's rules. These 
provisions concern the notification, record access, and contesting 
procedures described above, and also the publication of record sources. 
The system is exempt from these provisions because it contains the 
following types of information:
    1. Investigative material compiled for law enforcement purposes as 
defined in Section (k)(2) of the Privacy Act.
    2. Properly classified information, obtained from another Federal 
agency during the course of a personnel investigation, which pertains 
to national defense and foreign policy, as stated in Section (k)(1) of 
the Privacy Act.
    3. Investigative material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, as described in Section (k)(5) of the Privacy Act, 
as amended.

Federal Communications Commission.
Marlene H. Dortch,
Secretary.
[FR Doc. 03-1195 Filed 1-17-03; 8:45 am]
BILLING CODE 6712-01-P