[Federal Register Volume 83, Number 36 (Thursday, February 22, 2018)]
[Notices]
[Pages 7721-7723]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-03653]


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FEDERAL COMMUNICATIONS COMMISSION


Privacy Act of 1974; System of Records.

AGENCY: Federal Communications Commission.

ACTION: Notice of a modified system of records.

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SUMMARY: The Federal Communications Commission (FCC or Commission or 
Agency) has modified an existing system of records, FCC/OGC-3, 
Adjudication of Internal Complaints against Employees, subject to the 
Privacy Act of 1974, 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. The Office of the General Counsel (OGC) uses the personally 
identifiable information (PII) in this system for purposes that 
include, but are not limited to settlement negotiations with opposing 
parties and to prepare for litigation before an administrative body or 
a court of appropriate jurisdiction.

DATES: This action will become effective on February 22, 2018. The 
routine uses in this action will become effective on March 26, 2018 
unless comments are received that require a contrary determination.

ADDRESSES: Send comments to Leslie F. Smith, Privacy Manager, 
Information Technology (IT), Room 1-C216, Federal Communications 
Commission, 445 12th Street SW, Washington, DC 20554, or to 
[email protected].

FOR FURTHER INFORMATION CONTACT: Leslie F. Smith, (202) 418-0217, or 
[email protected] (and to obtain a copy of the Narrative Statement 
and the Supplementary Document, which includes details of the proposed 
alterations to this system of records).

SUPPLEMENTARY INFORMATION: This notice serves to update and amend FCC/
OGC-3, Adjudication of Internal Complaints against Employees, as a 
result of an increased use of electronic information technology. The 
substantive changes and modifications to the previously published 
version of the FCC/OGC-3 system of records include:
    1. Updating the language in the Security Classification to follow 
with OMB guidance.
    2. Minor changes to the Purposes, Categories of Individuals, and 
Categories of Records to be consistent the language and phrasing now 
used in the FCC's SORNs.
    3. Deletion of two routine uses: (2) Public Access since releases 
under the FOIA are covered by 5 U.S.C. 552a(b)(2), so a separate 
routine use for them is not needed; and (6) Employment, Clearances, 
Licensing, Contract, Grant, or other Benefits Decisions by other than 
the agency, and its replacement with a new routine use: (5) For Certain 
Disclosures to Other Agencies to make information available to another 
Federal agency.
    4. Updating language and/or renumbering seven routine uses: (1) 
Adjudication and Litigation; (2) Law Enforcement and Investigation; (3) 
Congressional Inquiries; (4) Government-wide Program Management and 
Oversight; (6) Employment, Clearances, Licensing, Contract, Grant, or 
other Benefits Decisions by the FCC; and (7) Labor Relations.
    5. Adding three other new routine uses: (8) Breach Notification to 
address the Commission's real or suspected data breach situations; (9) 
Assistance to Federal Agencies and Entities for assistance with other 
Federal agencies' data breach situations; and (10) For Non-Federal 
Personnel to allow contractors performing or working on a contract for 
the Federal Government

[[Page 7722]]

access to information. Routine Uses (8) and (9) are required by OMB 
Memorandum m-17-12.
    The system of records is also updated to reflect various 
administrative changes related to the system managers and system 
addresses; policy and practices for storage, retrieval, and retention 
and disposal of the records; administrative, technical, and physical 
safeguards; and updated notification, records access, and contesting 
records procedures.
System Name and Number
    FCC/OGC-3, Adjudication of Internal Complaints against Employees.

SECURITY CLASSIFICATION:
    No information in this system is classified.

SYSTEM LOCATION:
    Office of General Counsel (OGC), Federal Communications Commission 
(FCC), 445 12th Street SW, Washington, DC 20554.

SYSTEM MANAGER(S) AND ADDRESS:
    Office of General Counsel (OGC), Federal Communications Commission 
(FCC), 445 12th Street SW, Washington, DC 20554.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301.

PURPOSE(S) OF THE SYSTEM:
    Staff attorneys in the Office of General Counsel (OGC) use these 
records for purposes including, but not limited to settlement 
negotiations with opposing parties and to prepare for litigation before 
an administrative body or a court of appropriate jurisdiction.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Any FCC employee who files or is the subject of a complaint 
investigation involving internal personnel actions or activities, which 
include but are not limited to discrimination, grievance, political 
activity, separation, or adverse action.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information in this system of records involves internal personnel 
disputes that have reached the litigation stage, and may include but 
are not limited to correspondence, memoranda, transcripts of hearings, 
briefs, pleadings, investigative reports, and decisions of hearing 
examiners and Commissioners.

RECORD SOURCE CATEGORIES:
    The sources for the information in this system of records include 
but are not limited to:
    (a) Individuals filing such claims; the individuals who are the 
subjects of such claims;
    (b) Attorneys or representatives of the claimants and the subjects 
of the claims;
    (c) Communication between FCC organizational units; and
    (d) Investigative materials and related documentation and decisions 
involved in but not limited to appeals, amendments, and litigation 
concerning such claims.

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 the 
FCC as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows. In 
each of these cases, the FCC will determine whether disclosure of the 
records is compatible with the purpose(s) for which the records were 
collected:
    1. Adjudication and Litigation--To disclose information to the 
Department of Justice (DOJ), or other administrative body before which 
the FCC is authorized to appear, when: (a) The FCC or any component 
thereof; (b) any employee of the FCC in his or her official capacity; 
(c) any employee of the FCC in his or her individual capacity where DOJ 
or the FCC has agreed to represent the employee; or (d) the United 
States is a party to litigation or has an interest in such litigation, 
and the use of such records by DOJ or the FCC is deemed by the FCC to 
be relevant and necessary to the litigation.
    2. Law Enforcement and Investigation--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, where the FCC becomes aware of 
an indication of a violation or potential violation of civil or 
criminal law or regulation.
    3. Congressional Inquiries--To provide information to a 
congressional office from the record of an individual in response to an 
inquiry from that congressional office made at the request of that 
individual.
    4. Government-wide Program Management and Oversight--To disclose 
information to the National Archives and Records Administration (NARA) 
for use in its records management inspections; to the Government 
Accountability Office (GAO) for oversight purposes; to the Department 
of Justice (DOJ) to obtain that department's advice regarding 
disclosure obligations under the Freedom of Information Act (FOIA); or 
to the Office of Management and Budget (OMB) to obtain that office's 
advice regarding obligations under the Privacy Act.
    5. For Certain Disclosures to Other Federal Agencies--To disclose 
information to a Federal agency, in response to its request in 
connection with the hiring or retention of an employee, the issuance of 
a security clearance, the conducting of a suitability or security 
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.
    6. Employment, Clearances, Licensing, Contract, Grant, or other 
Benefits Decisions by the Agency--To disclose information to a Federal, 
State, local, foreign, tribal, or other public agency or authority 
maintaining civil, criminal, or other relevant enforcement records, or 
other pertinent records, or to another public authority or professional 
organization, if necessary to obtain information relevant to an 
investigation concerning the hiring or retention of an employee or 
other personnel action, the issuance or retention of a security 
clearance, the classifying of jobs, the letting of a contract, or the 
issuance or retention of a license, grant, or other benefit by the 
Commission, to the extent that the information is relevant and 
necessary to the requesting agency's decisions on the matter.
    7. Labor Relations--To disclose information to officials of labor 
organizations recognized under 5 U.S.C. Chapter 71 upon receipt of a 
formal request and in accord with the conditions of 5 U.S.C. 7114 when 
relevant and necessary to their duties of exclusive representation 
concerning personnel policies, practices, and matters affecting working 
conditions.
    8. Breach Notification--To appropriate agencies, entities, and 
persons when: (a) The Commission suspects or has confirmed that there 
has been a breach of the system of records; (b) the Commission has 
determined that as a result of the suspected or confirmed breach there 
is a risk of harm to individuals, the Commission (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (c) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist

[[Page 7723]]

in connection with the Commission's efforts to respond to the suspected 
or confirmed breach or to prevent, minimize, or remedy such harm.
    9. Assistance to Federal Agencies and Entities--To another Federal 
agency or Federal entity, when the Commission determines that 
information from this system is reasonably necessary to assist the 
recipient agency or entity in: (a) Responding to a suspected or 
confirmed breach or (b) preventing, minimizing, or remedying the risk 
of harm to individuals, the recipient agency or entity (including its 
information systems, program, and operations), the Federal Government, 
or national security, resulting from a suspected or confirmed breach.
    10. For Non-Federal Personnel--To disclose information to 
contractors performing or working on a contract for the Federal 
Government.

REPORTING TO A CONSUMER REPORTING AGENCY:
    In addition to the routine uses cited above, the Commission may 
share information from this system of records with a consumer reporting 
agency regarding an individual who has not paid a valid and overdue 
debt owed to the Commission, following the procedures set out in the 
Debt Collection Act, 31 U.S.C. 3711(e).

POLICIES AND PRACTICES FOR STORING OF RECORDS:
    Information in this system includes both paper and electronic 
records. The paper records, documents, and files are maintained in file 
cabinets that are located in OGC and in the bureaus and offices (B/Os) 
of the FCC staff who provide the responses to such claims. The 
electronic records, files, and data are stored in the FCC's computer 
network.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by the name of the subject individual in the 
investigation.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained and disposed of in accordance with the agency 
records control schedules NC1-173-84-05, Item 3 and N1-173-91-001, Item 
6, both of which have been approved by the National Archives and 
Records Administration (NARA).

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    The file cabinets containing paper records in this system are 
maintained in file cabinets in ``non-public'' rooms in the OGC and B/O 
suites. The OGC and B/O file cabinets are locked at the end of the 
business day. Access to these office suites is through card-coded main 
doors. Only authorized OGC and B/O supervisors and staff who are 
responsible for responding to these claims, have access to these paper 
records.
    The electronic records, files, and data are housed in the FCC's 
computer network. Access to the electronic files is restricted to OGC 
and B/O staff who are responsible for responding to such claims, and to 
the IT staff and contractors who maintain the FCC's computer network. 
Other FCC employees and contractors may be granted access on a ``need-
to-know'' basis. The FCC's computer network databases are protected by 
the FCC's IT privacy safeguards, a comprehensive and dynamic set of IT 
safety and security protocols and features that are designed to meet 
all Federal IT privacy standards, including those required by the 
National Institute of Standards and Technology (NIST) and the Federal 
Information Security Modernization Act of 2014 (FISMA).

NOTIFICATION PROCESS:
    Individuals wishing to determine whether this system of records 
contains information about them may do so by writing to Leslie F. 
Smith, Privacy Manager, Information Technology, Federal Communications 
Commission, 445 12th Street SW, Washington, DC 20554, or email 
[email protected].
    Individuals must furnish reasonable identification by showing any 
two of the following: Social security card; driver's license; employee 
identification card; Medicare card; birth certificate; bank credit 
card; or other positive means of identification, or by signing an 
identity statement stipulating that knowingly or willfully seeking or 
obtaining access to records about another person under false pretenses 
is punishable by a fine of up to $5,000.
    Individuals requesting access must also comply with the FCC's 
Privacy Act regulations regarding verification of identity and access 
to records (47 CFR part 0, subpart E).

RECORD ACCESS PROCEDURE:
    Individuals wishing to request access to and/or amendment of 
records about them should follow the Notification Procedure above.

CONTESTING RECORD PROCEDURE:
    Individuals wishing to request an amendment of records about them 
should follow the Notification Procedure above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    The FCC last gave full notice of this system of records, FCC/OGC-3, 
Adjudication of Internal Complaints against Employees, by publication 
in the Federal Register on April 5, 2006 (71 FR 17234, 17243).

Federal Communications Commission.
Marlene H. Dortch,
Secretary.
[FR Doc. 2018-03653 Filed 2-21-18; 8:45 am]
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