[Federal Register Volume 80, Number 11 (Friday, January 16, 2015)]
[Notices]
[Pages 2447-2449]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-00613]


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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974: New System of Records

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

ACTION: Notice of a new system of records.

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SUMMARY: The Office of Personnel Management is proposing to add a new 
system of records to its inventory of record 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)). The Integrity Assurance 
Officer Control Files (Internal 20) system of records has been 
operational since February 2005 without incident. Previously, OPM has 
relied on preexisting Privacy Act system of records notices for the 
collection and maintenance of these records. In an effort to increase 
transparency, OPM published a separate notice for this system (Federal 
Register/Volume 79, No. 71/April 14, 2014/page 20931), and no comments 
were received. At this time we are publishing the complete text of this 
system of records.

DATES: This addition will be effective without further notice thirty 
(30) 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 establish a new system of records titled 
Integrity Assurance Officer Control Files (Internal 20). This system of 
records allows OPM-FIS to collect, analyze, coordinate, and report 
investigations into allegations of misconduct or negligence by OPM 
Federal and contractor staff. The information in this system documents 
investigations into allegations or concerns of the following possible 
misconduct: (1) Fraud against the Government; (2) Theft of Government 
property; (3) Misuse of Government property and IT systems; and (4) 
Improper personal conduct.
    This information is reported to other OPM components or Federal 
agencies for criminal, administrative, or any other actions deemed 
appropriate.

U.S. Office of Personnel Management.
Katherine Archuleta,
Director.

Office of Personnel Management

OPM/INTERNAL-20

System Name:
    Internal--Integrity Assurance Officer Control Files

System Location:
    Records may be maintained in the following locations:
    a. United States Office of Personnel Management (OPM), Federal 
Investigative Services (FIS), 1900 E Street NW., Washington, DC 20415;
    b. OPM-FIS, Federal Investigations Processing Center, 1137 
Branchton Rd, PO Box 618, Boyers, PA 16018-0618;
    c. OPM-FIS, Personnel Investigations Center, 601 10th Street, Ft. 
Meade, MD 20755.

Security Classification:
    None.

Categories of individuals covered by the system:
    Current and former individuals who have applied to or who are or 
were employed by FIS or who work(ed) on an OPM-FIS Contract and were 
referred to FIS's Integrity Assurance office due to allegations or 
concerns of the following possible misconduct: (1) Fraud against the 
Government; (2) Theft of Government property; (3) Misuse of Government 
property and IT systems; and (4) Improper personal conduct.

Categories of records in the system:
    Applicable records may contain the following information about the 
covered individual: name, date of birth, Social Security Number, home 
address, telephone numbers, email addresses, employment history, 
education history, criminal history, civil court actions, records 
related to drug and/or alcohol use, interviews with and information 
obtained from sources and subjects of the integrity investigation, 
records documenting the individual's work or performance, records 
documenting the handling of personally identifiable information, time 
and attendance records, government credit card records, travel records, 
government issued cellular phone records, personnel and/or training 
records, 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; 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 other information developed and relevant to the 
investigation.

Authority for maintenance of the system:
    5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101.

Purpose(s):
    OPM-FIS uses these records to document the outcome of 
investigations into allegations of misconduct or negligence by OPM 
Federal and contractor staff or applicants and/or report the results of 
these investigations to other OPM components or Federal agencies for 
criminal, administrative, or any other action deemed appropriate.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    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 or 
information contained in this system may be disclosed to authorized 
entities, as is determined to be relevant and necessary, outside OPM as 
a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    1. For Law Enforcement Purposes--To disclose pertinent information 
to the appropriate Federal, State, or local agency responsible for 
investigating, prosecuting, enforcing, or implementing a statute, rule, 
regulation, or order,

[[Page 2448]]

where OPM becomes aware of an indication of a violation or potential 
violation of civil or criminal law or regulation.
    2. 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:
    (a) OPM, or any component thereof; or
    (b) Any employee of OPM in his or her official capacity; or
    (c) Any employee of OPM in his or her individual capacity where the 
Department of Justice or OPM has agreed to represent the employee; or
    (d) 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 OPM determines that the 
records are relevant and necessary to the litigation provided, however, 
that the disclosure is compatible with the purpose for which the 
records were collected.
    3. To another Federal agency, to a court, or a party in litigation 
before a court or in an administrative proceeding being conducted by 
OPM or another 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.
    4. To an agency, office, or other establishment in the executive, 
legislative, or judicial branches of the Federal Government in response 
to its request, in connection with the hiring or retention of an 
employee or contractor, the issuance of a security clearance, the 
conducting of a security or suitability investigation of an individual, 
the classifying of jobs, the letting of a contract, or the 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 decision on the matter.
    5. To any source from which information is requested in the course 
of an investigation, 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.
    6. To provide information to a congressional office from the record 
of an individual in response to an inquiry from the congressional 
office made at the request of that individual. However, the file, or 
parts thereof, will only be released to a congressional office if OPM 
receives a notarized authorization or signed statement under 28 U.S.C. 
1746 from the subject of the investigation 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).
    7. 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.
    8. 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.
    9. 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.
    10. For National Archives and Records Administration--To disclose 
information to the National Archives and Records Administration for use 
in records management inspections.
    11. For Non-Federal Personnel--To disclose information to 
contractors, grantees, or volunteers performing or working on a 
contract, service, grant, cooperative agreement, or job for the Federal 
Government who have a need to know the information contained within 
this system.
    12. 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 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.
    13. 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.
    14. To another Federal agency that has the authority to conduct 
background investigations when an individual is suspended or removed 
from an OPM FIS contract due to misconduct to the extent that the 
information is relevant and necessary to the Federal agency's decision 
to retain the individual under contract with their agency.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in a paper format in file folders and 
electronic databases.

Retrievability:
    Records are retrieved by the name and/or social security number of 
the individual about whom they are maintained.

Safeguards:
    Paper file folders are stored in a secured office within a secure 
facility. Access to the file folders and electronic records in the 
databases is restricted to authorized employees with a need-to-know.

Retention and disposal:
    a: Records are maintained for 4 years, plus the current year, from 
the date of the most recent investigative activity or associated 
action, unless the case is appealed, at which time the records are 
maintained for 7 years, plus the current year, from the date of the 
associated action.
    b: Hard copy records are destroyed by shredding and recycling and 
computerized records are destroyed by electronic erasure.

[[Page 2449]]

System manager and address:
    Associate Director, Federal Investigative Services, U. S. Office of 
Personnel Management, P.O. Box 618, 1137 Branchton Road, Boyers, PA 
16018.

Notification and record access procedures:
    Specific materials in this system have been exempted from Privacy 
Act provisions at 5 U.S.C. 552(c)(3), (d), and (e)(1), regarding 
providing an accounting of disclosures to the data subject, access to 
and amendment of records, and maintaining in its records only such 
information that is relevant and necessary. 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.
    Individuals wishing to determine whether this system of records 
contains information about them or wishing to request access to their 
record may do so by writing to FOI/PA, Office of Personnel Management, 
Federal Investigative Services, PO Box 618, Boyers, PA 16018-0618. 
Individuals must furnish the following for their records to be located:
    a. Full name.
    b. Any former name.
    c. SSN
    d. Signature.
    e. Any available information regarding the type of record involved.
    f. Dates of employment and by whom the individual was employed.
    g. The address to which the record information should be sent.
    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 
also 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 297).

Amendment procedures:
    Individuals wishing to request amendment to their non-exempt 
records should write to FOI/PA, Office of Personnel Management, Federal 
Investigative Services, PO Box 618, Boyers, PA 16018-0618. Individuals 
must furnish the following for their records to be located:
    a. Full name.
    b. Any former name.
    c. SSN
    d. Signature.
    e. Dates of employment and by whom the individual was employed.
    f. Precise identification of the information to be amended.
    g. The address to which the record information should be sent.
    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 
also 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 amendment must also comply with OPM's 
Privacy Act regulations regarding verification of identity and 
amendment of records (5 CFR part 297).

Record source categories:
    Information in this system of records is obtained from:
    a. The individual to whom the information applies.
    b. OPM-FIS investigative files
    c. Officials of OPM and OPM-FIS Contractors
    d. Federal, State, and local agencies, and internal and external 
inquiries
    e. The public

Exemptions claimed for the system:
    All information in these records that meets the criteria stated in 
5 U.S.C. 552a(k)(1), (2), (5), or (6) is exempt from the requirements 
of the Privacy Act that relate to providing an accounting of 
disclosures to the data subject, access to and amendment of records, 
and maintaining in its records only such information that is relevant 
and necessary. (5 U.S.C. 552(c)(3), (d), and (e)(1)).
    1. Properly classified information subject to the provisions of 
section 552(b)(1), which states as follows: (A) Specifically authorized 
under criteria established by an Executive order to be kept secret in 
the interest of national defense or foreign policy and (B) are in fact 
properly classified pursuant to such Executive order.
    2. Investigatory material compiled for law enforcement purposes, 
other than material within the scope of subsection (j)(2) of this 
section: Provided, however, that if any individual is denied any right, 
privilege, or benefit that he would otherwise be entitled by Federal 
law, or for which he would otherwise be eligible, as a result of the 
maintenance of such material, such material shall be provided to such 
individual, except to the extent that the disclosure of such material 
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 the effective date of this 
section, under an implied promise that the identity of the source would 
be held in confidence.
    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.

[FR Doc. 2015-00613 Filed 1-15-15; 8:45 am]
BILLING CODE 6325-53-P