Privacy Act of 1974; System of Records
| Court | Personnel Management Office |
| Citation | 88 FR 63134 |
| Published date | 14 September 2023 |
| Record Number | 2023-19926 |
| Section | Notices |
Federal Register, Volume 88 Issue 177 (Thursday, September 14, 2023)
[Federal Register Volume 88, Number 177 (Thursday, September 14, 2023)]
[Notices]
[Pages 63134-63137]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-19926]
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OFFICE OF PERSONNEL MANAGEMENT
[Docket ID: OPM-2023-0033]
Privacy Act of 1974; System of Records
AGENCY: Office of Personnel Management.
ACTION: Notice of a new system of records.
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SUMMARY: In accordance with the requirements of the Privacy Act of
1974, the Office of Personnel Management (OPM) proposes to establish a
new government-wide system of records titled ``OPM/GOVT-11 Federal Fair
Chance Act Complaint Records.''
DATES: Submit comments on or before October 16, 2023. This new system
is effective upon publication in the Federal Register, except for the
routine uses, which are effective October 19, 2023.
ADDRESSES: You may submit written comments through the:
Federal Rulemaking Portal: https://www.regulations.gov.
All submissions received must include the agency name and docket
number for this Federal Register document. The general policy for
comments and other submissions from members of the public is to make
these submissions available for public viewing on the internet at
https://www.regulations.gov as they are
[[Page 63135]]
received without change, including any personal identifiers or contact
information.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Timothy Curry, Deputy Associate Director, Employee Services,
Accountability and Workforce Relations, Office of Personnel Management,
at (202) 606-2930 or [email protected]. For privacy
questions, please contact: Marc Flaster, Acting Senior Agency Official
for Privacy, Office of Personnel Management, at (202) 606-2115 or
[email protected].
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, OPM proposes to establish a new system of records titled
``OPM/GOVT-11 Federal Fair Chance Act Complaint Records.'' This system
of records will enable Federal agencies to collect and maintain
complaint records pertaining to the Fair Chance to Compete for Jobs Act
of 2019 or the Fair Chance Act, 5 U.S.C. 9201-9206 (``FCA'' or ``the
Act'').
The FCA limits the circumstances in which agencies may request
criminal history information from an applicant prior to extending a
conditional offer of employment. In addition, the FCA requires OPM to
establish a complaint process by which applicants for appointment to a
position in the civil service may submit a complaint, or any other
information, relating to compliance with the requirements of the Act.
Furthermore, the Act establishes requirements and procedures regarding
penalties for violations.
The FCA directs OPM to establish and publish procedures under which
an applicant for an appointment to a position in the civil service may
submit a complaint, or any other information, relating to compliance by
an employee of an agency with 5 U.S.C. 9202. The complaint, or any
other information, is submitted to and maintained by the employing
agency until such time as the complaint is referred to OPM or OPM
requests the records.
The records in this system of records include the applicant's
complaint or any other information submitted by the applicant and the
agency's investigative report, which includes the agency's factual
findings; a complete copy of all information gathered during the
investigation, including documentary and testimonial evidence; any
other information the agency believes OPM should consider; and any
additional information OPM requests the agency provide. In addition,
the records include OPM's written notification to the agency and the
subject(s) of the complaint regarding OPM's assessment of the
complaint, including whether to dismiss the complaint or that a
violation may have occurred such that OPM is initiating adverse action
proceedings under 5 CFR part 754, subpart B.
This proposed Government-wide system of records will include the
complaint records in the custody and control of the agencies as well as
those with OPM. OPM has provided a report of this system of records to
the Committee on Oversight and Government Reform of the House of
Representatives, the Committee on Homeland Security and Governmental
Affairs of the Senate, and the Office of Management and Budget (OMB),
pursuant to 5 U.S.C. 552a(r) and OMB Circular A-108, ``Federal Agency
Responsibilities for Review, Reporting, and Publication under the
Privacy Act,'' dated December 23, 2016. This system of records will be
included in the OPM's inventory of records systems.
Dated: September 11, 2023.
Kayyonne Marston,
Federal Register Liaison.
SYSTEM NAME AND NUMBER:
Office of Personnel Management, OPM/Government-wide-11 Federal Fair
Chance Act Complaint Records.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Employee Services, Accountability and Workforce Relations, Office
of Personnel Management, and other Federal agencies are responsible for
the records in this system of records. Records in OPM's custody are
maintained at 1900 E Street NW, Washington, DC 20415. Other Federal
agencies that receive Fair Chance Act complaints, or any other
information, maintain records at their headquarters and field offices.
SYSTEM MANAGER(S):
Deputy Associate Director, Employee Services, Accountability and
Workforce Relations, Office of Personnel Management, 1900 E Street NW,
Washington, DC 20415.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Fair Chance to Compete for Jobs Act of 2019; 5 U.S.C. 9202; 5
CFR 754.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to permit OPM and other
Federal agencies to collect and maintain records to administer the
provisions of the Fair Chance Act (FCA) regarding complaints, or any
other information, for alleged violations of the FCA. This includes
conducting all activities related to complaints, or any other
information, receipt, investigation, adjudication, and, where
applicable, appeal of the final decision.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by this system of records are:
Applicants for Federal civil service positions, other than
positions excepted under 5 CFR 920.201(b), in a covered agency defined
in 5 U.S.C. 105; and
Agency employees who violate or have been alleged to have
violated the Fair Chance Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records maintained in this system are:
Full name;
Phone numbers;
Email addresses;
Mailing addresses; and
The applicant's complaint, or any other information
provided;
Any information provided by the applicant in support of
the complaint;
Documentation of the applicant's authorized
representative;
Information from current and potential parties and
participants about the complaint and complaint process;
Any records OPM creates when another agency refers a
complaint to OPM;
Correspondence or documentation issued by the t employing
Federal agency; and
Any other information related to the complaint and the
complaint process, including OPM's processing of the complaint through
the adjudication and any appeal.
RECORD SOURCE CATEGORIES:
Information contained in this system may be obtained from:
a. The applicant to whom the records pertain.
b. Supervisors, managers, and other agency officials.
c. Federal employees (non-applicants) and others who provide
information regarding the complaint.
d. Investigators.
e. The individual applicant/complainant's authorized
representative.
f. The employing Federal agency that received the complaint.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The records in this system of records are records of OPM and should
be
[[Page 63136]]
provided to those OPM employees who have an official need or use for
those records. Therefore, if an employing agency is asked by an OPM
employee to access the records within this system, such a request
should be honored.
In addition to 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 as a routine use
pursuant to 5 U.S.C. 552a(b)(3), as follows:
a. To the Department of Justice, including Offices of the U.S.
Attorneys; another Federal agency conducting litigation or in
proceedings before any court, adjudicative, or administrative body;
another party in litigation before a court, adjudicative, or
administrative body; or to a court, adjudicative, or administrative
body. Such disclosure is permitted only when it is relevant and
necessary to the litigation or proceeding, and one of the following is
a party to the litigation or has an interest in such litigation:
(1) OPM, the employing Federal agency, or any component thereof;
(2) Any employee or former employee of OPM or the employing Federal
agency in their official capacity;
(3) Any employee or former employee of OPM or the employing Federal
agency in their individual capacity where the Department of Justice or
another Federal agency has agreed to represent the employee;
(4) The United States, a Federal agency, or another party in
litigation before a court, adjudicative, or administrative body,
pursuant to 5 CFR part 295 or otherwise.
b. To the appropriate Federal, State, or local agency responsible
for investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order, when a record, either on its face or in
conjunction with other information, indicates or is relevant to a
violation or potential violation of civil or criminal law or
regulation.
c. To a member of Congress from the record of an individual in
response to an inquiry made at the request of the individual to whom
the record pertains.
d. To the National Archives and Records Administration (NARA) for
records management inspections being conducted under the authority of
44 U.S.C. 2904 and 2906.
e. To appropriate agencies, entities, and persons when (1) OPM or
the employing Federal agency suspects or has confirmed that there has
been a breach of the system of records; (2) OPM or the employing
Federal agency has determined that, as a result of the suspected or
confirmed breach, there is a risk of harm to individuals, OPM or the
employing Federal 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 efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy
such harm.
f. To another Federal agency or Federal entity, when OPM or the
employing Federal agency 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 recipient agency or entity (including its information systems,
programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
g. To contractors, experts, consultants, or volunteers performing
or working on a contract or other assignment for OPM or the employing
Federal agency when OPM or the employing Federal agency determines that
it is necessary to accomplish an agency function related to this system
of records. Individuals provided information under this routine use
will have proper clearance, act on behalf of the relevant federal
agency and understand the need to protect Privacy Act information.
h. To the Merit Systems Protection Board or the Office of the
Special Counsel, the Federal Labor Relations Authority and its General
Counsel, the Equal Employment Opportunity Commission, arbitrators, and
hearing examiners to the extent necessary to carry out their authorized
duties.
i. To any source, including but not limited to a former employee or
Federal agency, from which information is requested in the course of
reviewing, investigating, and responding to a complaint, to the extent
necessary to identify the individual, inform the source of the nature
of the complaint, and to identify the type of information being
requested.
j. To the employing Federal agency and the employee who was the
subject of the complaint, by OPM, to provide information to the
employing agency concerning OPM's review and OPM's assessment regarding
the complaint, including any decision to initiate adverse action
proceedings or to dismiss the complaint.
k. To the Office of Government Information Services (OGIS), NARA,
to the extent necessary to fulfill its responsibilities in 5 U.S.C.
552(h) to review administrative policies, procedures, and compliance
with the FOIA, and to facilitate OGIS' offering of mediation services
to resolve disputes between persons making FOIA requests and
administrative agencies.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The records in this system of records are stored electronically on
OPM or Federal agency or cloud servers or on paper in locked file
cabinets or locked offices with access restricted to those who have a
need to know.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records may be retrieved by the name or by any other personal
identifier, or combination of identifiers, contained in this system of
records.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The records in this system of records are subject to General Record
Schedule 2.3, Item 060, which requires that they be destroyed no sooner
than 4 years but no later than 7 years after the case is closed or
there is a final settlement on appeal, as appropriate. Agencies must
select one fixed retention period, between 4 and 7 years, for all
administrative grievance, adverse action, and performance-based action
case files. Agencies may not use different retention periods for
individual cases.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records in this system are protected from unauthorized access and
misuse through various administrative, technical, and physical security
measures. OPM and the other Federal agencies who maintain custody and
control of records in this system of records are required to maintain
security measures in compliance with the Federal Information Security
Modernization Act of 2014 (Pub. L. 113-203), associated OMB policies,
and applicable standards and guidance from the National Institute of
Standards and Technology. Electronic records are protected by
restricted access procedures, including passwords and sign-on
protocols; paper records are in locked file cabinets or locked offices
with restricted access. Only employees whose official duties require
access to the electronic or paper records are authorized to view,
administer, and control these records.
[[Page 63137]]
RECORD ACCESS PROCEDURES:
Individuals seeking notification of and access to their records in
this system of records may submit a request in writing to the Office of
Personnel Management, Office of Privacy and Information Management--
FOIA, 1900 E Street NW, Room 5H25, Washington, DC 20415-7900 or by
emailing [email protected]; ATTN: Employee Services, Accountability and
Workforce Relations. OPM may refer notification and access requests to
the agency named in the complaint. In addition, if the individual is
seeking notification of and access to records stored at the agency
named in the complaint, or any other information, relating to a
violation of 5 U.S.C. 9202, the individual may submit a request to that
agency in accordance with the agency's FOIA and Privacy Act procedures.
Individuals must furnish the following information to locate and
identify the records sought:
1. Full name.
2. Email address or mailing address.
3. Name of the relevant agency named in the complaint.
4. Signature.
Individuals requesting access must also comply with OPM's Privacy
Act regulations on verification of identity and access to records (5
CFR part 297).
CONTESTING RECORD PROCEDURES:
Individuals may request that records about them be amended by
submitting a request in writing to the Office of Personnel Management,
Office of Privacy and Information Management--FOIA, 1900 E Street NW,
Room 5H25, Washington, DC 20415-7900 or by emailing [email protected]; ATTN:
Employee Services, Accountability and Workforce Relations. OPM may
refer amendment requests to the agency named in the complaint. In
addition, if the individual is seeking amendment of records stored at
the agency named in the complaint, the individual may submit a request
to the agency in accordance with the agency's Privacy Act procedures.
Individuals must furnish the following information to locate and
identify the records sought:
1. Full name.
2. Email address or mailing address.
3. Name of the relevant agency named in the complaint.
4. A precise description of the records for which they are
requesting amendment and the reason for the amendment.
5. Signature.
Individuals must also comply with OPM's Privacy Act regulations on
verification of identity and access to records (5 CFR part 297).
NOTIFICATION PROCEDURES:
See ``Record Access Procedures.''
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
[FR Doc. 2023-19926 Filed 9-13-23; 8:45 am]
BILLING CODE 6325-67-P
