[Federal Register Volume 74, Number 155 (Thursday, August 13, 2009)]
[Notices]
[Pages 40818-40820]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-19445]


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GOVERNMENT ACCOUNTABILITY OFFICE


System of Personnel Records

AGENCY: Government Accountability Office.

ACTION: Notice of Establishment of Human Capital Management System of 
Records.

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SUMMARY: The Government Accountability Office (GAO) proposes to 
establish a new system of personnel records under its privacy 
regulations, Privacy Procedures for Personnel Records. This Human 
Capital Management System of Records encompasses GAO payroll- and 
personnel-related information maintained by GAO and exchanged with the 
U.S. Department of Agriculture's National Finance Center (USDA/NFC) and 
the U.S. Department of the Treasury's HR Connect program (Treasury/HR 
Connect). To support its human capital management activities, GAO has 
entered into interagency agreements with these two Federal Executive 
Branch agencies as shared service providers. USDA/NFC provides payroll 
and personnel information processing (Department of Agriculture, 
Systems of Record Notice OP-1), and Treasury/HR Connect operates a 
human capital management support system (Department of Treasury .001--
Treasury Payroll and Personnel System). The policies and procedures 
described in this notice are intended to ensure that personal 
information contained in GAO's personnel records is protected as 
provided by GAO's privacy regulation.

DATES: Comments may be submitted on or before September 14, 2009.

ADDRESSES: Comments should be sent to: Government Accountability 
Office, Privacy Office, Room 1127, 441 G St., NW., Washington, DC 
20548, or by e-mail to [email protected]. Please include reference to 
``Comment: Human Capital Management System of Records'' at the top of a 
comment letter or in the subject line of an e-mail.

FOR FURTHER INFORMATION CONTACT: For information about GAO human 
capital information management, contact the Chief Human Capital 
Officer, Government Accountability Office, Room 1157, 441 G St., NW., 
Washington, DC 20548; e-mail, [email protected]. For information about 
GAO privacy protections, contact the Chief Agency Privacy Officer, 
Government Accountability Office, Room 1127, 441 G St., NW., 
Washington, DC 20548; e-mail, [email protected].

SUPPLEMENTARY INFORMATION: 

Background

    A. GAO. GAO is an independent, nonpartisan Legislative Branch 
agency that examines a wide range of government activities and provides 
analyses, recommendations, and other assistance to help Congress make 
sound oversight, policy, and funding decisions. As a Legislative Branch 
agency, GAO is not subject to the privacy and information security laws 
applicable to Executive Branch agencies, such as the Privacy Act of 
1974 (Privacy Act), Federal Information Security Management Act of 2002 
(FISMA), the E-Government Act of 2002 (E-Government Act), and Office of

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Management and Budget (OMB) and National Institute of Standards and 
Technology (NIST) guidance issued under those laws. Nonetheless, it is 
GAO's policy to conduct its activities in a manner consistent with the 
spirit of those laws and guidance generally applicable to Executive 
Branch agencies, and related best practices.
    Notwithstanding the similarities with privacy and information 
security laws, regulations, or policies applicable to Executive Branch 
agencies, GAO's application of, or compliance with, those laws, 
regulations, or policies shall not be interpreted as controlling legal 
authorities over GAO. The GAO regulation, 4 CFR Part 83, Privacy 
Procedures for Personnel Records, provides the basis for this notice.
    B. GAO Human Capital Management. The GAO Human Capital Management 
System of Records, managed by GAO's Human Capital Office (HCO), is 
comprised of information supporting GAO human capital activities, 
primarily relating to pay, benefits, performance, recruitment, and 
personnel actions. This information is maintained in paper and 
electronic formats, including in the GAO Competency Based Performance 
System (CBPS), which tracks employee performance reviews; My Locator, 
which compiles contact information of GAO employees and contractors; 
and WebTA, which records time and attendance for GAO employees.
    GAO Human Capital Management information is also maintained and 
managed in systems of records operated by two Federal human capital 
shared service providers: the U.S. Department of Agriculture (USDA), 
and the U.S. Department of the Treasury (Treasury), and contractors 
supporting these agencies. In order to streamline its human capital 
processes, reduce costs, and improve efficiencies, GAO has entered into 
agreements for the provision of human capital management services with 
these agencies.
    The USDA's National Finance Center (NFC) provides payroll 
processing and related services. The Treasury HR Connect program 
operates an automated human resources system to support human capital 
management activities in Treasury and other Federal agencies through 
cross-servicing agreements. Implementation of GAO's agreements with 
USDA/NFC and Treasury/HR Connect will be phased in over 18 months. Full 
implementation is scheduled for January 2011.
    Authorized GAO employees access human capital information 
maintained in GAO systems and in systems maintained by GAO's shared 
service providers and their contractors. All information is securely 
transmitted to and from GAO and its shared service providers and their 
contractors as necessary to support agreed upon human capital 
management activities (e.g., employment application processing, 
recruiting, hiring, pay, promotions, employee awards processing, and 
compiling reports).
    For a description of the privacy protections provided by USDA/NFC 
and Treasury/HR Connect, as required by law of Executive Branch 
agencies, see the following: Treasury/HR Connect Privacy Act System of 
Records Notice, http://www.ustreas.gov/foia/privacy/treas001.html; 
Treasury/HR Connect Privacy Impact Assessment (PIA), http://www.treas.gov/pia/HRCPIA05-01-2008v10Final.pdf; NFC Privacy Act System 
of Records Notice (Personnel and Payroll System for USDA/NFC Employees 
USDA/NFC/OP-1), http://www.ocio.usda.gov/OP%20-%201.txt; and NFC PIA, 
http://www.usda.gov/documents/NFC_Mainframe_GSS_Redacted_PIA.doc. 
Privacy protections for GAO information maintained by contractors of 
those agencies are provided under contracts between the agencies and 
their contractors. The text of GAO's human capital management system of 
records is set forth below.

SYSTEM NAME:
    Government Accountability Office, Human Capital Management System 
of Records.

SYSTEM LOCATION:
    Information maintained in this system of records is located at GAO 
headquarters in Washington, DC, and GAO field offices. GAO human 
capital information exchanged with Federal shared service providers 
(i.e., USDA/NFC and Treasury/HR Connect) is maintained in those 
agencies' systems of records. GAO human capital information maintained 
by contractors of those shared service providers is maintained at 
information processing facilities under the control of those 
contractors.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system of records contains information on current GAO 
employees, former GAO employees, and applicants for GAO employment.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system of records contains GAO human capital information, 
which comprises both biographic and employment information. Biographic 
information includes identifying information (e.g., name, social 
security number, date of birth, gender, race, and national origin), 
education, and disabilities. Employment information includes 
compensation (e.g., salary, date of salary increases, pay plan, pay 
basis, sick and annual leave balances), benefits (e.g., pension, Thrift 
Savings Plan, health insurance, life insurance, Medicare and Federal 
Employees Compensation Act benefits), employment actions (e.g., 
promotions, demotions, removals), performance appraisals (e.g., 
individual ratings), veterans preference, military service, work 
schedule (e.g., telework and alternate work schedule), awards, dates of 
probationary periods, type of position appointment, and changes in 
position (e.g. position identification number, occupational series, 
organization location, and accounting classification codes), payroll 
data such as earnings and deductions (e.g., Federal, State, and local 
taxes), time and attendance data, and training courses attended. Both 
biographic and employment information may be maintained in electronic 
and paper format.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    4 CFR Part 83; System of Personnel Records.

PURPOSE:
    The purpose of this system of records is to maintain records 
relating to current and former GAO employees and applicants for GAO 
employment as are relevant and necessary to efficiently and effectively 
conduct authorized GAO human capital management activities.

ROUTINE USES OF RECORDS MANTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    All or a portion of personal information maintained in this system 
of records may only be disclosed as permitted under 4 CFR Part 83, 
http://www.access.gpo.gov/nara/cfr/waisidx_09/4cfr83_09.html. 
Specifically, such information shall not be disclosed to any person or 
entity without the written consent of the individual to whom the 
information pertains, except as permitted under Sec.  83.4 and Sec.  
83.5. As permitted under Sec.  83.4(a) and Sec.  83.19, personal 
information in this system of records may be disclosed to those GAO 
employees and contractors who have a need for the record in the 
performance of their official duties. All or a portion of the records 
in this system of records may be disclosed as a routine use pursuant to 
Sec.  83.4(c) in support of GAO's human capital management activities, 
as follows:
    (a) To Federal shared service providers and their contractors as

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reasonably necessary to provide agreed upon services to support GAO 
human capital management activities;
    (b) To Federal, State, local, territorial, Tribal, or foreign law 
enforcement authorities or other appropriate entities where a record, 
either alone or in conjunction with other information, indicates a 
violation, or potential violation, of law or regulation, and where such 
entities are responsible for investigating or prosecuting such 
violation or enforcing or implementing such law or regulation;
    (c) To Federal, State, local, or international agencies in 
connection with an individual's hiring, employment, related benefits, 
suitability, or security investigation, or security clearance; or in 
connection with the letting of a contract, or the issuance of a grant 
or other benefit to the extent that GAO determines the information is 
relevant and necessary to an agency or organization's decision;
    (d) To Federal agencies to verify or determine the citizenship or 
immigration status of any individual seeking employment with GAO or as 
required by law;
    (e) To agencies, entities, and persons when: (1) GAO suspects or 
has confirmed that the security or confidentiality of information in 
this system of records has been compromised; (2) GAO has determined 
that as a result of the suspected or confirmed compromise there is a 
risk of harm to economic or property interests, identity theft or 
fraud, or harm to the security or integrity of this system or other 
systems or programs (whether maintained by GAO or another agency or 
entity) that rely upon the compromised information; and (3) the 
disclosure made to such agencies, entities, and persons is reasonably 
necessary to assist in connection with GAO's efforts to respond to a 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm;
    (f) To an agency, organization, or individual for the purposes 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; and
    (g) To a public or professional licensing, certification, or 
accreditation organization to confirm the claimed credentials of a GAO 
applicant or employee, or when information indicates, either by itself 
or in combination with other information, a violation or potential 
violation of professional standards, or reflects on the moral, 
educational, or professional qualifications of an individual who either 
is seeking to become or is already licensed, certified, or accredited.

RETRIEVABILITY:
    Information maintained in the system may be retrieved only by 
employees of GAO who have a need for the information in the performance 
of their official duties.

SAFEGUARDS:
    Information maintained in the system is safeguarded under 4 CFR 
83.7(i), and GAO information systems security policies and procedures. 
Strict controls are imposed to minimize the risk of compromising the 
information maintained in this system of records and any of its 
supporting information systems. Furthermore, GAO human capital 
information maintained by GAO's Federal shared service providers and 
their contractors are subject to privacy and security laws applicable 
to executive branch agencies (e.g., the Privacy Act, FISMA, the E-
Government Act), and related regulations, standards, and guidance.

RETENTION AND DISPOSAL:
    All GAO human capital information will be retained in accordance 
with the following schedule:
    (a) Time and attendance records are destroyed 7 years after the end 
of the fiscal year in which they are created.
    (b) Individual employee payroll records are destroyed 7 years after 
the end of the fiscal year in which they are created.
    (c) An individual's Official Personnel Folder (OPF) is retained for 
65 years after separation.
    Compelling legal or policy purposes (e.g., ongoing or potential 
litigation) may require retention of certain records beyond the 
retention periods identified above.

SYSTEM MANAGER AND ADDRESS:
    The GAO official responsible for this system of records is the 
Chief Human Capital Officer (CHCO), Human Capital Office, U.S. 
Government Accountability Office, Room 1157, 441 G St., NW., 
Washington, DC, 20548.

NOTIFICATION PROCEDURE:
    As provided under 4 CFR 83.12-18 and Appendix I to Part 83--
Memorandum of Understanding, GAO employees, former employees, or 
applicants to GAO interested in knowing whether this system of records 
contains information about them, how to obtain access to such 
information, or how to contest any element of such information may 
submit a request in writing to the Chief Privacy Officer, U.S. 
Government Accountability Office, Room 1127, 441 G St., NW., 
Washington, DC 20548, or by e-mail to [email protected].

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' above.

CONTESTING RECORD PROCEDURE:
    See ``Notification Procedure'' above.

RECORD SOURCE CATEGORIES:
    Information in this system of records originates from individuals 
whose personal information is maintained in this system of records, 
agency records, financial institutions, employee and professional 
organizations, previous employers, consumer reporting agencies, debt 
collection agencies, courts, and other government agencies.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Certain records contained in this system of records are exempt from 
access, amendment, and other procedural requirements pursuant to 4 CFR 
83.21.

Catherine Teti,
Chief Agency Privacy Officer, Government Accountability Office.
[FR Doc. E9-19445 Filed 8-12-09; 8:45 am]
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