[Federal Register Volume 79, Number 101 (Tuesday, May 27, 2014)]
[Notices]
[Pages 30202-30204]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-12043]


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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974: Consolidate, Update, Amend and Terminate 
System of Records

AGENCY: U.S. Office of Personnel Management (OPM).

ACTION: Consolidate, update, amend, and terminate system of records.

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SUMMARY: OPM proposes to consolidate the Security Officer Control Files 
(Internal-3) with the Adjudication Officer Control Files (Internal-16), 
and then update and amend the Adjudication Officer Control Files 
(Internal-16) contained in its inventory of record systems subject to 
the Privacy Act of 1974 (5 U.S.C. 552a), as amended.

DATES: These changes will become effective without further notice forty 
(40) calendar days from the date of this publication, unless we receive 
comments that result in a contrary determination.

ADDRESSES: Send written comments to the Program Manager for the Freedom 
of Information and Privacy Act office, Federal Investigative Services, 
U.S. Office of Personnel Management, 1137 Branchton Road, PO Box 618, 
Boyers, Pennsylvania 16018.

FOR FURTHER INFORMATION CONTACT: Program Manager, Freedom of 
Information and Privacy Act office, [email protected].

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, the Office of Personnel Management, Federal 
Investigative Services (OPM-FIS) proposes to consolidate the Security 
Officer Control Files (Internal-3) with the Adjudication Officer 
Control Files (Internal-16), and then update and amend the Adjudication 
Officer Control Files (Internal-16) contained in its inventory of 
record systems. Since the Security Officer Control Files (Internal-3) 
will be consolidated with the Adjudication Officer Control Files 
(Internal-16), we propose to terminate the Security Officer Control 
Files (Internal-3).
    The specific changes to the record system being amended are set 
forth below. The proposed amendment is within the purview of subsection 
(r) of the Privacy Act of 1974 (5 U.S.C. 552a), as amended, which 
requires the submission of new or altered systems reports.
OPM/Internal-16

System name:
    Adjudications Officer Control Files

System location:
    Delete entry and replace with ``U.S. Office of Personnel Management 
(OPM), Federal Investigative Services (FIS), 131 Rebecca Lane, Slippery 
Rock, PA 16057''
    Add ``Facilities, Security, and Contracting (FSC)--Personnel 
Security; 1137 Branchton Road, Boyers, Pennsylvania 16018.''

Categories of individuals covered by the system:
    Replace ``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.
    . . .'' with ``This system contains records on active, inactive, 
and pending OPM employees and employees of OPM contractors. This system 
also contains records on individuals who need to access OPM facilities 
or use OPM systems.''

Categories of records in the system:
    Delete entry and replace with: ``The records in the system may 
contain the following: Personally identifiable information such as 
name, date and place of birth, Social Security Number, citizenship 
status, grade, organization, employer(s), position sensitivity and 
public trust classification, initial investigation and reinvestigation 
history; and access authorization history; the formal request(s) and 
justification(s) for access authorization processing; security forms, 
fingerprint cards, and acknowledgments completed by the individual for 
both the initial investigation and reinvestigation; results of pre-
employment checks (if required); Personnel Identification Verification 
(PIV) sponsorship and tracking information; report of investigation 
provided by an agency which has previously conducted an investigation

[[Page 30203]]

of the individual for employment or security clearance purposes; 
approvals for classified visits; photographs; foreign travel documents; 
personnel security interview transcripts or summaries of the 
interviews, and evaluations of the interviews; reports of 
hospitalization or treatment for a mental condition or substance abuse, 
including information provided by an Employee Assistance Program 
provider; reports of OPM-sponsored mental evaluations conducted by 
competent medical authorities; public record information to include law 
enforcement, financial, divorce, bankruptcy, name change and other 
court information or reports and copies of information appearing in the 
media; information concerning citizenship status, foreign contacts, and 
spouse and/or individual(s) with whom the individual resides; 
administrative review processing data; information related to an 
individual's work performance on an OPM contract, documents concerning 
an individual's conduct, security, and policy violations; written 
evaluations of reported derogatory information; credit check results; 
copies of correspondence to and from the individual concerning the 
items above and copies of inter- and intra-agency correspondence 
concerning the items above; and any other material relevant to the 
individual's OPM access, suitability, fitness, or security 
determination or processing.''
    Add ``Note: Individuals must request access to background 
investigations in accordance with the requirements in the governing 
System of Records Notice. Requests for background investigations 
maintained in the Adjudications Officer Control Files will be denied.''

Authority for maintenance of the system:
    Add ``13488.''

Purpose(s):
    Delete entry and replace with ``OPM Adjudications Officers, 
Contract Administrators, and Personnel Security staff, or designees, 
use these records to make suitability, fitness, or security 
determinations, PIV access determinations, determinations concerning 
security clearances for access to classified or National Security 
information, determinations regarding the need and eligibility to use 
OPM facilities or systems, assign position sensitivity to OPM employees 
and contractors, and to document an individual's performance and 
conduct on an OPM contract or employment.''

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Delete ``Information in these records may be used:'' and replace 
with ``In addition to those disclosures generally permitted under 5 
U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of 
information contained in this system may be disclosed outside OPM as a 
routine use pursuant to 5 U.S.C. 552a(b)(3). The routine uses listed 
below are specific to this system of records only:''
    Re-label the routine uses 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11 to a, 
b, c, d, e, f, g, h, i, j, k respectively.
    Add: ``l. To appropriate agencies, entities, and persons when (1) 
OPM suspects or has confirmed that the security or confidentiality of 
the information in a system of records has been compromised; (2) OPM 
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 OPM or 
another agency or entity) that rely on the compromised information; and 
(3) the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the OPM's efforts to 
respond to the suspected or confirmed compromise and prevent, minimize, 
or remedy such harm.''
    Add: ``m. To the State unemployment compensation office upon their 
request in order to adjudicate a claim for unemployment compensation 
benefits when the claim for benefits is made as the result of a 
qualifications, suitability, fitness or security determination.''
    Add: ``n. To any source from which information is requested in the 
course of obtaining information to make a suitability, security, or 
access determination, to the extent necessary to identify the 
individual, inform the source of the nature and purpose of the 
investigation, and to identify the type of information requested.''
    Add: ``o. To a competent medical authority who, under a formal 
agreement for payment of services with the OPM personnel security 
element, conducts evaluations under the Adjudicative Guidelines for 
Determining Eligibility for Access to Classified Information, to 
determine whether an individual has a mental condition of a nature 
which causes, or may cause, a significant defect in judgment or 
reliability.''

Safeguards:
    Replace ``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.'' with ``OPM stores the hardcopy files in locked, metal file 
cabinets in a secured room or as digital images on the OPM Local Area 
Network. All employees who have a need to access the information are 
required to have the appropriate investigation consistent with the risk 
and sensitivity designation of that position, and the investigation 
must be favorably adjudicated or an interim access be granted before 
they are allowed access to the records.''

Retention and disposal:
    Delete entry and replace with: ``OPM maintains the entire record 
three (3) years after the individual's employment or contract status 
with OPM ends, the need to use OPM systems or facilities has 
terminated, or the Federal agency notifies OPM that the person whose 
case OPM adjudicated has separated from that agency. Classified 
Information Nondisclosure Agreements (Standard Form 312) signed by 
contractors are maintained for 70 years. Classified Information 
Nondisclosure Agreements (Standard Form 312) signed by federal 
employees are filed in the Official Personnel Folder (OPF). Contents of 
the file folders are destroyed by shredding and recycling and computer 
records are destroyed by electronic erasure.''

System managers and addresses:
    Delete entry and replace with: ``Associate Director, Federal 
Investigative Services, U.S. Office of Personnel Management, PO Box 
618, 1137 Branchton Road, Boyers, PA 16018-0618''
    Add: ``Director, Facilities, Security and Contracting, U.S. Office 
of Personnel Management, 1900 E. Street NW., Washington, DC 20415.''

Notification procedure:
    The notification procedures and record access procedures section 
were merged. Replace current notification procedures and record access 
procedures section with:
    ``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 Systems Exempted from Certain Provisions of the Act 
indicates the kinds of material exempted and the reasons for exempting 
them from access.

[[Page 30204]]

    Individuals wishing to ask if this system of records contains 
information about them or wishing to request access to their record 
should determine which category they fit into and write to the 
following addresses:
    Federal Investigative Services maintains records for those who (1) 
work(ed) in OPM's FSC-Personnel Security, (2) who work(ed) on an OPM-
FIS contract, or (3) have or had access to OPM-FIS facilities or OPM-
FIS systems. This category of individuals should write to: U.S. Office 
of Personnel Management, Federal Investigative Services, Freedom of 
Information and Privacy Act office, PO Box 618, 1137 Branchton Road, 
Boyers, PA 16018-0618.
    Facilities, Security and Contracting maintains records for all 
other OPM employees or OPM contractors. This category of individuals 
should write to: U.S. Office of Personnel Management, FOIA Requester 
Service Center, 1900 E. Street NW., Room 5415, Washington, DC 20415-
7900.
    Individuals must furnish the following information for their record 
to be located and identified:
    a. Full name, former name, and any other names used.
    b. Date and place of birth.
    c. Social Security Number.
    d. Identify the records being requested, to include any available 
information regarding the type of record involved.
    e. The address to which the record information should be sent.
    f. Telephone number. (optional)
    g. Handwritten Signature.
    In addition, the requester must provide an original notarized 
statement or an unsworn declaration in accordance with 28 U.S.C. 1746, 
in the following format: I declare (or certify, verify, or state) under 
penalty of perjury that the foregoing is true and correct. Executed on 
(date). (Signature).
    Attorneys or other persons acting on behalf of an individual must 
provide written authorization from that individual for the 
representative to act on their behalf. The written authorization must 
include an original notarized statement or an unsworn declaration in 
accordance with 28 U.S.C. 1746, in the following format: ``I declare 
(or certify, verify, or state) under penalty of perjury that the 
foregoing is true and correct. Executed on (date). (Signature).''
    Individuals requesting access must also comply with OPM's Privacy 
Act regulations regarding verification of identity and access to 
records (5 CFR part 297).''

Amendment procedures:
    Delete ``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:'' and replace with ``Individuals 
wishing to request amendment of their non-exempt records should 
determine the category they fit into as outlined above in Notification 
and Record Access Procedures and contact the appropriate office in 
writing. Individuals must furnish the following information for their 
record to be located and identified:''
    Add: ``In addition, the requester must provide an original 
notarized statement or an unsworn declaration in accordance with 28 
U.S.C. 1746, in the following format: I declare (or certify, verify, or 
state) under penalty of perjury that the foregoing is true and correct. 
Executed on (date). (Signature).''
    Add: ``Attorneys or other persons acting on behalf of an individual 
must provide written authorization from that individual for the 
representative to act on their behalf. The written authorization must 
include an original notarized statement or an unsworn declaration in 
accordance with 28 U.S.C. 1746, in the following format: ``I declare 
(or certify, verify, or state) under penalty of perjury that the 
foregoing is true and correct. Executed on (date). (Signature).''

Record source categories:
    Replace ``OPM-IS'' with ``OPM-FIS'' in item 2 and item 3.
    Delete item 4 and replace with ``4. Employment information 
maintained by OPM's Director of Personnel or regional personnel 
offices.''
    Add: ``6. Federal agencies.''
    Add: ``7. By personal investigation or written inquiry from sources 
such as employers, educational institutions, references, neighbors, 
associates, police departments, courts, credit bureaus, medical 
records, probation officials, prison officials, newspapers, magazines, 
periodicals, and other publications.''

Exemptions claimed for the system:
    Replace ``. . .in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6) or 
(7) is exempt . . .'' with ``. . . in 5 U.S.C. 552a(k)(1), (2), (5), or 
(6) is exempt. . .''
    Delete items 3, 4, 7.

U.S. Office of Personnel Management.
Katherine Archuleta,
Director.
[FR Doc. 2014-12043 Filed 5-23-14; 8:45 am]
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