[Federal Register Volume 81, Number 196 (Tuesday, October 11, 2016)]
[Notices]
[Pages 70191-70197]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-24507]


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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974: Revised System of Records

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

ACTION: Notice of a revised system of records.

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SUMMARY: The Office of Personnel Management (OPM) is revising a system 
of records in its inventory of record systems subject to the Privacy 
Act of 1974 (5 U.S.C. 552a), as amended.

DATES: The revisions will be 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, National Background 
Investigations Bureau, 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, as amended, OPM, National Background Investigations 
Bureau is revising the Personnel Investigations Records (OPM/Central-9) 
system of records. The records in this system may be used to provide 
investigatory information for determinations concerning whether an 
individual is or continues to be suitable or fit for Government 
employment or military service; eligible for logical and physical 
access to federally controlled facilities and information systems; 
eligible to hold a sensitive position (including but not limited to 
eligibility for access to classified information); fit to perform work 
for or on behalf of the Government as an employee of a contractor; 
qualified for Government service; qualified to perform contractual 
services for the Government; and loyal to the United States. The system 
is also used to document such determinations.
    OPM is revising OPM/Central-9, Personnel Investigations Records, by 
adding two categories of individuals, namely, individuals who are 
applicants or employees of the District of Columbia Public Schools, and 
individuals about whom OPM has provided an adjudication advisory 
opinion at the request of another Federal agency's adjudication or 
security office.
    OPM is updating and adding categories of records to ensure 
consistency with the Federal Investigative Standards. Specifically, OPM 
is amending record category ``a'' to acknowledge that under the Federal 
Investigative Standards, OPM/Central-9 may include civil and criminal 
fingerprint histories, bureau of vital

[[Page 70192]]

statistics records, publicly-available electronic information, and 
prior security clearance and investigative information related to 
spouses and cohabitants. OPM is amending record category ``e'' to 
clarify that records include ``credentialing'' records, formerly 
referred to as ``HSPD-12'' records. OPM is adding record category ``f'' 
to acknowledge that records include electronic submissions in OPM's 
Electronic Questionnaires for Investigative Processing (e-QIP) system.
    OPM is revising the language in the already existing purposes and 
adding new purposes for which the records are used. The revisions to 
existing purposes and new purposes are consistent with the purpose for 
which the records were originally collected, as described above. The 
revised language clarifies that background investigations include 
investigations related to military service; that the authority for OPM 
to use the data for personnel research is 5 U.S.C. 1103(a)(8); and that 
initiatives to make background investigations more effective and 
efficient may be undertaken either by OPM or by the Office of the 
Director of National Intelligence. The new purposes are for supporting 
legally-authorized homeland security, law enforcement, intelligence, 
and insider threat detection and prevention activities.
    OPM is updating the system's authority citation; adding an 
explanation of procedures for agencies holding decentralized segments 
of OPM/Central-9; adding new routine uses and revising the language in 
the already existing routine uses; updating the safeguards for records 
in the system; defining new requirements for notification, access, and 
amendment procedures; revising the record source categories; revising 
language in the section on exempted records; and, adding language 
reserving the right to assert exemptions for records received from 
another agency that could be properly claimed by that agency in 
responding to a request and to refuse access to information compiled in 
reasonable anticipation of a civil action or proceeding. Additionally, 
OPM is noting two edits in the Security Classification and Amendment 
Procedures sections to correct verbiage that is misquoted online in the 
Federal Register SORN Compilations.
    Specifically regarding the addition of new routine uses and 
revision of existing routine uses, OPM is making the following 
revisions:
     To eliminate unnecessary duplication, OPM combined four 
existing routine uses related to background investigations, 
adjudications, employment, and contracting (formerly routine uses a, b, 
c, and g) into three routine uses (a, e, and aa), while making 
clarifying changes to their text.
     OPM has incorporated, as routine uses l through q, the 
text of six routine uses from the OPM Prefatory Statement of Routine 
Uses for Internal and Central Systems of Records, which we previously 
incorporated only by reference. We revised one of these routine uses--
related to disclosure of information for equal employment opportunity 
(EEO) activities--to eliminate obsolete text related to certain 
compliance matters, and to add text related to matters for which the 
records may be used (in processing Federal-sector EEO complaints).
     OPM has revised the language of an existing routine use 
(now routine use b) to permit release of records to any element of the 
U.S. intelligence community for use in intelligence activities for the 
purpose of protecting United States national security interests.
     OPM has added a new routine use x for release of records 
to insider threat, counterintelligence, and counterterrorism officials, 
consistent with E.O. 13587 of October 7, 2011.
     OPM has revised an existing routine use and added an 
additional routine use (now routine uses j and k) for release of 
records in connection with data breach detection, prevention, and 
remediation, based on new Office of Management and Budget guidance.
     OPM has added routine uses r and s for release of records 
to an agency Office of Inspector General for investigations of 
misconduct or fraud and the performance of audit authorities under the 
Inspector General Act of 1978.
     OPM has added routine use t for release of records related 
to unemployment claims.
     OPM has added routine use u for the release of records to 
appropriately-cleared individuals to determine whether information is 
or should be classified.
     OPM has added two routine uses (v and w) for release of 
records to the Director of National Intelligence consistent with 
section 3001 of the Intelligence Reform and Terrorism Prevention Act of 
2004, and E.O. 13467 of June 30, 2008.
     OPM has added routine use y for the release of records to 
Federal, State, local, tribal, foreign, or other public authority in 
the event of a natural or manmade disaster.
     OPM has added routine use z for the release of records to 
Federal, State, and local government agencies, if necessary, to obtain 
information from them which will assist OPM in its responsibilities as 
an authorized Investigation Service Provider to evaluate and improve 
the effectiveness and efficiency of background investigation 
methodologies.
     OPM has eliminated, as obsolete, application to this 
system of records of one prefatory routine use (routine use 6) related 
to statistical studies.
     OPM has eliminated, as obsolete, former routine use i, for 
furnishing information to the Office of Management and Budget in 
connection with the coordination and clearance of private relief 
legislation.
     Former routine uses e, f, j, k, and l have been renumbered 
as routine uses c, d, g, h, and i.
    OPM notes that individuals seeking records of investigations 
performed by other investigative agencies, which have their own systems 
of records, should contact those agencies instead of the Office of 
Personnel Management.

What is the authority for maintaining the OPM/Central-9, Personnel 
Investigations Records?

    Depending on the purpose of the investigation, the Executive Orders 
(E.O.s) 9397, 10450, 10577, 10865, 12333, 12968, and 13467, as amended; 
E.O.s 13488 and 13549; 5 U.S.C. 1103, 1302, 1303, 1304, 3301, 7301, 
9101, and 11001; 22 U.S.C. 272b, 290a, and 2519; 31 U.S.C. 1537; 42 
U.S.C. 1874(b)(3), 2165, 2201, and 20132; 50 U.S.C. 3341; Public Law 
108-136; 5 CFR parts 2, 5, 731, 732, 736, and 1400; and Homeland 
Security Presidential Directive 12 (HSPD 12).

What is the probable or potential individual privacy effect on amending 
and updating the OPM/Central 9, Personnel Investigations Records?

    The probable or potential effect on individual privacy is limited. 
Additional routine uses of the information have been added which are 
still consistent with the purpose for which we collect the information. 
Records in OPM/Central-9 continue to be restricted to individuals who 
have undergone the appropriate background investigation and have a need 
to know in order to perform their official duties or to recipients as 
is consistent with the conditions of disclosures under the Privacy Act 
to include the routine uses published in the System of Records Notice.


[[Page 70193]]


U.S. Office of Personnel Management.
Beth F. Cobert,
Acting Director.

Office of Personnel Management

OPM/CENTRAL-9

System name:
    Personnel Investigations Records

Security Classification:
    None for the system. However, records within the system may have 
national security/foreign policy classifications up through Top Secret.

System Location(s):
    a. National Background Investigations Bureau (NBIB), P.O. Box 618, 
1137 Branchton Road, Boyers, PA 16018-0618.
    b. Records may be maintained in various NBIB field offices, 
including the Personnel Investigations Center, 601 10th Street, Fort 
Meade, MD, for limited periods of time. These records would include 
investigative and administrative records, including files and duplicate 
records or records which extract information from the main files. This 
is necessary to assist field offices in their day to day operations. 
Investigative activities conducted by field offices are reported to 
NBIB headquarters at one or more stages of the background investigation 
process. Upon completion of activities to include fieldwork, quality 
review, and/or adjudicative action, documents are returned to NBIB 
headquarters or destroyed in accordance with the published retention 
schedule.
    c. Decentralized segments: When OPM discloses a record maintained 
as part of the Central-9 system of records, the disclosed record shall 
be considered a ``decentralized copy''. A recipient agency that 
maintains a decentralized copy of a Central-9 record maintains what is 
referred to as a ``decentralized segment'' of the Central-9 system of 
records. Decentralized segments may be maintained as part of a 
recipient agency's system of records, however, they remain subject to 
the policies and practice described below. Recipient agencies shall 
only maintain a decentralized copy of a record for an authorized 
purpose and for as long as the subject of the decentralized copy 
remains of interest to the recipient agency. These copies may be 
located in the personnel security office or other designated offices 
responsible for making suitability, fitness, security clearance, 
access, HSPD 12 credentialing decisions, decisions about eligibility 
for assignment to or retention in sensitive national security positions 
or acceptance or retention in the armed forces, or hiring 
determinations on an individual. The use, custody, retention, and 
release of decentralized segments is described in greater detail as 
follows:
     Use and custody: Reports of investigation were removed 
from OPM's Governmentwide systems of records and placed in OPM's 
Central systems of records in 1979 because they are physically 
maintained by OPM in a central repository, consist of records of both 
OPM and other agencies' employees, and are not maintained by other 
agencies under OPM direction. 44 FR 30836 (May 29, 1979). An agency's 
``internal security records'' may include ``the informational copy of 
the Commission's (OPM's) report of investigation (provided to agencies 
on a temporary basis) . . . along with agency-created security data'' 
so long as the subject of the report remains of interest to the agency 
for an authorized purpose. 44 FR at 30836-37; see this Notice's Purpose 
statement. Internal agency review of the record, for the purpose it was 
given to the recipient agency or another purpose described in this 
notice, is permissible. However, the decentralized copy remains a part 
of the OPM/Central-9 system of records even while the copy is in the 
recipient agency's custody; under 5 CFR 297.104(b), all records in 
Central systems of records are established and maintained by OPM (in 
contrast, Governmentwide systems are maintained both by OPM and by the 
agencies with custody over them under 5 CFR 297.104(c)).
     Retention: Decentralized copies should be retained 
consistent with the guidance defined in applicable NARA General Records 
Schedules. Under NARA General Records Schedule 18, Part 22 (b), 
investigative reports and related documents furnished to an agency by 
OPM should be destroyed in accordance with OPM's instructions. OPM 
instructs that the records may be maintained only so long as the 
subject of the report remains of interest to the agency for a purpose 
defined in this Notice. Upon separation or when the subject is no 
longer of interest to the agency, the agency must dispose of any/all 
background investigation records.
     Privacy Act requests for reports of investigation: Under 5 
CFR 297.105(c), only OPM responds to initial Privacy Act requests for 
records in an OPM Central system of records. If an agency receives, 
from the subject of a report, a request for access or amendment, the 
agency should contact the OPM NBIB Freedom of Information and Privacy 
Act (FOI/PA) office and refer that request to OPM accordingly. OPM 
NBIB's FOI/PA office will make an access or amendment determination 
under the Privacy Act.
     FOIA, Routine Use Releases, and Releases based upon a 
Privacy Act Condition of Disclosure: Section 9(c) of Executive Order 
10450 states that copies of reports of investigation held by agencies 
``remain the property of'' OPM and restricts agencies from redisclosing 
reports without OPM permission. In addition, the reports may include 
other government agency data that was disclosed to OPM with 
redisclosure limitations. For these reasons an agency that seeks to 
internally redisclose an OPM report of investigation for a purpose not 
described in this Notice, or to externally redisclose an OPM report of 
investigation for any purpose, should first contact the OPM NBIB 
Freedom of Information and Privacy Act (FOI/PA) office. OPM NBIB's FOI/
PA office will make a release determination by applying the routine 
uses described in this Notice or other uses prescribed in 5 U.S.C. 
552a(b); or, in the case of a FOIA referral, by applying the FOIA. 
Alternatively if the record will be used in a legal proceeding that has 
commenced, the agency should contact OPM's Office of General Counsel 
under 5 CFR part 295. Because the disclosure is made from OPM/Central-
9, even if made by the agency under OPM's direction, OPM will record 
all required disclosure accountings for routine use releases. It is 
therefore unnecessary for the agency to make a separate decision of 
whether to disclose the report from its internal systems of records.

Categories of individuals covered by the system:
    a. Civilian and military applicants and Federal employees or 
employees of government contractors, experts, instructors, and 
consultants to Federal programs who undergo a personnel background 
investigation for the purpose of determining suitability for government 
employment, fitness for appointment to an excepted service position, 
fitness to perform work under a Government contract, eligibility to 
serve in a national security sensitive position, acceptance or 
retention in the armed forces, eligibility for access to classified 
information, and/or eligibility for logical or physical access to a 
federally controlled facility or information technology system.
    b. Individuals who are current or former employees or applicants 
for employment with International Organizations.
    c. Individuals considered for assignment as representatives of the 
Federal Government in volunteer programs.

[[Page 70194]]

    d. Individuals who are neither applicants nor employees of the 
Federal Government, but who are or were involved in Federal programs 
under a co-operative assignment or under a similar agreement.
    e. Individuals who are neither applicants nor employees of the 
Federal Government, but who are or were involved in matters related to 
the administration of the merit system.
    f. State, Local, Tribal and Private Sector partners identified by 
Federal sponsors for eligibility to access classified information in 
support of homeland defense initiatives.
    g. Individuals who are applicants or employees of the District of 
Columbia Public Schools.
    h. Individuals about whom OPM has provided an adjudication advisory 
opinion at the request of another Federal agency's adjudication or 
security office.

Categories of records in the system:
    a. Records containing the following information about the 
individual investigated may be maintained: Name, former names, and 
aliases; date and place of birth; Social Security Number; height; 
weight; hair and eye color; gender; mother's maiden name; current and 
former home addresses, phone numbers, and email addresses; employment 
history; military record information; selective service registration 
record; residential history; education and degrees earned; names of 
associates and references with their contact information; citizenship; 
passport information; criminal history record information; criminal or 
civil fingerprint history information; civil court actions; bureau of 
vital statistics records; publicly available electronic information; 
prior and current security clearance and investigative information, 
including information from the U.S. Intelligence Community; mental 
health history; records related to drug and/or alcohol use; financial 
record information; information from the Internal Revenue Service 
pertaining to income tax returns; credit reports; the name, date and 
place of birth, Social Security Number, citizenship information, 
criminal history, and prior security clearance and investigative 
information for spouse or cohabitant; the name and marriage information 
for current and former spouse(s); the citizenship, name, date and place 
of birth, and address for relatives; information on foreign contacts 
and activities; association records; information on loyalty to the 
United States; and other agency reports furnished to OPM in connection 
with the background investigation process, and other information 
developed from above.
    b. Summaries of personal and third party interviews conducted 
during the course of the background investigation.
    c. Correspondence relating to adjudication matters and results of 
suitability decisions in cases adjudicated by the OPM in accordance 
with 5 CFR part 731.
    d. Records of personnel background investigations conducted by 
other Federal agencies.
    e. Records of adjudicative and credentialing decisions by other 
Federal agencies, including clearance determinations and/or indicators 
that polygraph(s) were administered.
    f. Records of electronic investigative forms completed by the 
subject and/or submitted to other Federal Agencies that utilize the 
Electronic Questionnaires for Investigations Processing (e-QIP) system.

    Note:  This system does not include agency records of a 
personnel investigative nature that do not come to OPM

.Authority for maintenance of the system:
    Depending on the purpose of the investigation, Executive Orders 
(E.O.s) 9397, 10450, 10577, 10865, 12333, 12968, and 13467, as amended; 
E.O.s 13488 and 13549; 5 U.S.C. 1103, 1302, 1303, 1304, 3301, 7301, 
9101, and 11001; 22 U.S.C. 272b, 290a, 2519; 31 U.S.C. 1537; 42 U.S.C. 
1874(b)(3), 2165, 2201, and 20132; 50 U.S.C. 3341; Public Law 108-136; 
5 CFR parts 2, 5, 731, 732, 736, and 1400; and Homeland Security 
Presidential Directive 12 (HSPD 12).

Purpose(s):
    The records in this system may be used to provide investigatory 
information for determinations concerning whether an individual is or 
continues to be suitable or fit for Government employment or military 
service; eligible for logical and physical access to federally 
controlled facilities and information systems; eligible to hold a 
sensitive position (including but not limited to eligibility for access 
to classified information); fit to perform work for or on behalf of the 
Government as an employee of a contractor; qualified for Government 
service; qualified to perform contractual services for the Government; 
and loyal to the United States. The system is also used to document 
such determinations.
    To otherwise comply with mandates and Executive Orders.
    The records may be used to locate individuals for personnel 
research conducted under 5 U.S.C. 1103(a)(8).
    The records may be used by OPM and the Office of the Director of 
National Intelligence to streamline and make more effective and 
efficient the investigations and adjudications processes generally.
    The records may be used in support of legally authorized U.S. 
homeland security, law enforcement, intelligence and/or insider threat 
program functions to identify whether an individual poses a terrorism, 
foreign intelligence, and/or insider threat to the United States.
    The records may be used in support of Executive Order 13549 and 
related implementing directives supporting homeland security matters.
    The records may be used to assist in legally authorized 
intelligence activities, including threat analyses and damage 
assessments.

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 of 
information contained in this system may be disclosed outside OPM as a 
routine use pursuant to 5 U.S.C. 552a(b)(3). OPM provides a report of 
investigation to an agency only for a specified purpose, as described 
in this Notice. Internal agency review of the record, for the purpose 
it was given to the recipient agency or another purpose described in 
this Notice, is permissible. Any other disclosure requires OPM's 
consent as described in the System Location section of this Notice. The 
routine uses listed below are specific to this system of records only:
    a. To designated officers and employees of agencies, offices, and 
other establishments in the executive, legislative, and judicial 
branches of the Federal Government or the Government of the District of 
Columbia having a need to investigate, evaluate, or make a 
determination regarding loyalty to the United States; qualifications, 
suitability, or fitness for Government employment or military service; 
eligibility for logical or physical access to federally-controlled 
facilities or information systems; eligibility for access to classified 
information or to hold a sensitive position; qualifications or fitness 
to perform work for or on behalf of the Government under contract, 
grant, or other agreement; or access to restricted areas.
    b. To an element of the U.S. Intelligence Community as identified 
in E.O. 12333, as amended, for use in intelligence activities for the 
purpose of

[[Page 70195]]

protecting United States national security interests.
    c. 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.
    d. 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 where 
OPM becomes aware of an indication of a violation or potential 
violation of civil or criminal law or regulation.
    e. 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 its current employee's, contractor 
employee's, or military member's retention; loyalty; qualifications, 
suitability, or fitness for employment; eligibility for logical or 
physical access to federally-controlled facilities or information 
systems; eligibility for access to classified information or to hold a 
sensitive position; qualifications or fitness to perform work for or on 
behalf of the Government under contract, grant, or other agreement; or 
access to restricted areas.
    f. 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 
investigative 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.
    g. To disclose information to contractors, grantees, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, or job for the Federal Government.
    h. For agencies that use adjudicative support services of another 
agency, at the request of the original agency, the results will be 
furnished to the agency providing the adjudicative support.
    i. To provide criminal history record information to the FBI, to 
help ensure the accuracy and completeness of FBI and OPM records.
    j. To appropriate agencies, entities, and persons when (1) OPM 
suspects or has confirmed that there has been a breach of the system of 
records; (2) OPM has determined that as a result of the suspected or 
confirmed breach there is a risk of harm to individuals, the agency 
(including its information systems, programs and operations), the 
Federal Government, or national security; and (3) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with OPM's efforts to respond to the suspected or 
confirmed breach or to prevent, minimize, or remedy such harm.
    k. To another Federal agency or Federal entity, when OPM determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the agency (including its information 
systems, programs and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.
    l. 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.
    m. To disclose information to the National Archives and Records 
Administration for use in records management inspections.
    n. 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:

    (1) OPM, or any component thereof; or
    (2) Any employee of OPM in his or her official capacity; or
    (3) Any employee of OPM in his or her individual capacity where the 
Department of Justice or OPM has agreed to represent the employee; or
    (4) 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 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.o. 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.

    p. To disclose information to an agency Equal Employment 
Opportunity (EEO) office or to the Equal Employment Opportunity 
Commission when requested in connection with investigations into 
alleged or possible discrimination practices in the Federal sector, or 
in the processing of a Federal-sector EEO complaint.
    q. 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.
    r. To another Federal agency's Office of Inspector General when OPM 
becomes aware of an indication of misconduct or fraud during the 
applicant's submission of the standard forms.
    s. To another Federal agency's Office of Inspector General in 
connection with its inspection or audit activity of the investigative 
or adjudicative processes and procedures of its agency as authorized by 
the Inspector General Act of 1978, as amended, exclusive of requests 
for civil or criminal law enforcement activities.
    t. To a Federal agency or state unemployment compensation office 
upon its 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, security, identity 
credential, or access determination.
    u. To appropriately cleared individuals in Federal agencies, to 
determine whether information obtained in the course of processing the 
background investigation is or should be classified.
    v. To the Office of the Director of National Intelligence for 
inclusion in its Scattered Castles system in order to facilitate 
reciprocity of background investigations and security clearances within 
the intelligence community or assist agencies in obtaining information 
required by the Federal Investigative Standards.
    w. To the Director of National Intelligence, or assignee, such 
information as may be requested and relevant to implement the 
responsibilities of the Security Executive Agent for personnel 
security,

[[Page 70196]]

and pertinent personnel security research and oversight, consistent 
with law or executive order.
    x. To Executive Branch Agency insider threat, counterintelligence, 
and counterterrorism officials to fulfill their responsibilities under 
applicable Federal law and policy, including but not limited to E.O. 
12333, 13587 and the National Insider Threat Policy and Minimum 
Standards.
    y. To the appropriate Federal, State, local, tribal, foreign, or 
other public authority in the event of a natural or manmade disaster. 
The record will be used to provide leads to assist in locating missing 
subjects or assist in determining the health and safety of the subject. 
The record will also be used to assist in identifying victims and 
locating any surviving next of kin.
    z. To Federal, State, and local government agencies, if necessary, 
to obtain information from them which will assist OPM in its 
responsibilities as the authorized Investigation Service Provider in 
conducting studies and analyses in support of evaluating and improving 
the effectiveness and efficiency of the background investigation 
methodologies.
    aa. 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 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.

Policies and practice for storing, retrieving, accessing, retaining and 
disposing of records in the system:
Storage:
    Records are maintained in paper format in file folders, on 
microfilm, as digital images, on computer tapes, and in electronic 
databases such as the Personnel Investigations Processing System, the 
Central Verification System, and the e-QIP system.

Retrievability:
    Records are retrieved by the name, Social Security Number, unique 
case serial number and/or other unique identifier of the individual on 
whom they are maintained.

Safeguards:
    Paper files are stored in a locked filing cabinet or a secure 
facility with an intrusion alarm system. Microfilm is secured in a 
facility with an intrusion system. Electronic records are maintained on 
secure servers in a limited access room with a keyless cipher lock and/
or smart card reader. 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.
    The U.S. Postal Service and other postal providers are used to 
transmit hard copy records sent to and from field offices. Information 
that is transmitted electronically from field offices is encrypted.

Retention and disposal:
    Investigative files and the computerized data bases which show the 
scheduling or completion of an investigation are retained for 16 years 
from the date of closing or the date of the most recent investigative 
activity, whichever is later, except for investigations involving 
potentially actionable issue(s), which will be maintained for 25 years 
from the date of closing or the date of the most recent investigative 
activity.
    The digital capture of a fingerprint card set is forwarded to the 
Federal Bureau of Investigation, and the card is destroyed when it is 
verified that the digital copy was accurately captured and transferred.
    Hard copy records are destroyed by shredding and recycling, and 
computerized records are destroyed by electronic erasure.

System manager(s) and address:
    Director, National Background Investigations Bureau, 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. 552a(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 learn whether this system contains 
information about them or wishing to request access to their record 
should contact: FOI/PA, Office of Personnel Management, National 
Background Investigations Bureau, P.O. Box 618, 1137 Branchton Road, 
Boyers, PA 16018-0618, in writing. Written requests must contain the 
following information:
    a. Full name.
    b. Date and place of birth.
    c. Full Social Security Number.
    d. Any available information regarding the type of record involved.
    e. The address to which the record information should be sent.
    f. Two forms of acceptable identity source documents.
    g. 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).
    An attorney or other persons acting on behalf of an individual must 
provide written authorization from that individual for the 
representative to act on the individual's 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 part 297).
    A detailed list of acceptable identity source documents can be 
found on the OPM Web site at https://www.opm.gov/investigations/freedom-of-information-and-privacy-act-requests/.

Amendment procedures:
    Specific materials in this system have been exempted from Privacy 
Act provisions at 5 U.S.C. 552a(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 
amendment.
    Individuals wishing to request amendment to their non-exempt 
records should contact the Federal Investigations Processing Center in 
writing. Requests should be directed only to the OPM National 
Background Investigations Bureau, whether the record sought is in the 
primary system or in an agency's decentralized segment.

[[Page 70197]]

Individuals must furnish the following information for their records to 
be located and identified:
    a. Full name.
    b. Date and place of birth.
    c. Full Social Security Number.
    d. The precise identification of the records to be amended.
    e. The identification of the specific material to be deleted, 
added, or changed.
    f. A statement of the reasons for the request, including all 
available material substantiating the request.
    g. The address to which correspondence should be sent.
    h. Two forms of acceptable identity source documents.
    i. 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).
    An attorney or other person acting on behalf of an individual must 
provide written authorization from that individual for the 
representative to act on the individual's 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).
    A detailed list of acceptable identity source documents can be 
found on the OPM Web site at https://www.opm.gov/investigations/freedom-of-information-and-privacy-act-requests/.

    Note: Where an agency retains the decentralized copy of the 
investigative report provided by OPM, requests for access to or 
amendment of such reports will be forwarded to the OPM National 
Background Investigations Bureau for processing.

Record source categories:
    Information contained in this system of records is obtained from:
    a. Electronic and paper applications, personnel and security forms 
or other information completed or supplied by the individual, and the 
results of personal contacts with the individual.
    b. Investigative and other record material furnished by Federal 
agencies, including notices of personnel actions.
    c. By personal investigation, written inquiry, or computer linkage 
from sources such as employers, educational institutions, references, 
neighbors, associates, police departments, courts, credit bureaus, 
medical records, probation officials, prison officials, and other 
sources, including publically available information such as newspapers, 
magazines, periodicals, and public posts on social media.

Systems exempted from certain provisions of the act:
    OPM has claimed that 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, access 
to and amendment of records, and maintaining in its records only such 
information that is relevant and necessary. (5 U.S.C. 552a(c)(3), (d), 
and (e)(1)).
    This system may contain the following types of exempt information:
    1. Properly classified information subject to the provisions of 
section 552(b)(1), which references matters that are ``(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.'' 5 
U.S.C. 552a(k)(1).
    2. ``[I]nvestigatory material compiled for law enforcement 
purposes, other than material within the scope of subsection (j)(2) of 
[5 U.S.C. 552a]: Provided, however, [t]hat 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 U.S.C. 
552a(k)(2).
    3. Information ``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].'' 5 U.S.C. 
552a(k)(3).
    4. Material that is ``required by statute to be maintained and used 
solely as a statistical record.'' 5 U.S.C. 552a(k)(4).
    5. ``[I]nvestigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, military service, Federal contracts, or access to 
classified information . . . .'' 5 U.S.C. 552a(k)(5). Materials may be 
exempted only 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.'' Id.
    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.'' 5 
U.S.C. 552a(k)(6).
    7. Evaluation materials, compiled during the course of a personnel 
investigation, that are used 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.'' 5 U.S.C. 552a(k)(7).
    These exemptions are codified by regulation in 5 CFR 297.501(b)(5). 
In addition, under 5 CFR 297.501(c), OPM reserves the right to assert 
exemptions for records received from another agency that could be 
properly claimed by that agency in responding to a request; and to 
refuse access to information compiled in reasonable anticipation of a 
civil action or proceeding. Under this regulation OPM may assert 
exemption (j)(1) on behalf of an agency authorized to assert it.

[FR Doc. 2016-24507 Filed 10-7-16; 8:45 am]
 BILLING CODE 6325-53-P