[Federal Register: January 21, 2003 (Volume 68, Number 13)]
[Notices]
[Page 2772-2774]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr21ja03-57]
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FEDERAL COMMUNICATIONS COMMISSION
Privacy Act System of Records
AGENCY: Federal Communications Commission (FCC or Commission).
ACTION: Notice; altered Privacy Act system of records; revision of one
routine use; addition of one new routine use; and cancellation of one
system of records.
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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4) and (e)(11), the FCC proposes to alter a
system of records, FCC/Central-6, ``Personnel Investigation Records.''
The altered system of records will incorporate the provisions of FCC/
OMD-4, ``Security Office Control Files,'' including the addition of two
routine uses from FCC/OMD-4; revision of one routine use; and addition
of one new routine use incorporating the data elements and uses for the
Workplace Violence Form; and make other edits and revisions as
necessary. The FCC will cancel FCC/OMB-4.
DATES: In accordance with 5 U.S.C. 552a(e)(4) and (e)(11), any
interested person may submit written comments concerning the proposed
altered system of records on or before February 20, 2003. The Office of
Management and Budget (OMB), which has oversight responsibility under
the Privacy Act to review the system may submit comments on or before
March 3, 2003. The proposed system shall become effective without
further notice March 3, 2003 unless the FCC receives comments that
would require a contrary determination. As required by 5 U.S.C. 552a(r)
of the Privacy Act of 1974, as amended, the FCC has submitted reports
on this proposed altered system to OMB and both Houses of Congress.
ADDRESSES: Comments should be sent to Les Smith, Privacy Act Clerk,
Performance Evaluation and Records Management (PERM), Room 1-A804,
Federal Communications Commission (FCC), 445 12th Street, SW.,
Washington, DC 20554, (202) 418-0217, or via the Internet at
lesmith@fcc.gov.
FOR FURTHER INFORMATION: Contact Les Smith, Performance Evaluation and
Records Management (PERM), Room 1-A804, Federal Communications
Commission, 445 12th Street, SW., Washington, DC 20554, (202) 418-0217
or via the Internet at lesmith@fcc.gov; or Eric Botker, Security
Office, Associate Managing Director--Administrative Operations (AMD-
AO), Security Operations Center, Federal Communications Commission
(FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 20554, (202)
418-7884 or via the Internet at ebotker@fcc.gov.
SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4) and (e)(11), this document sets forth
notice of the proposed altered system of records maintained by the FCC;
addition of two routine uses to FCC/Central-6 that were formerly in
FCC/OMD-4; revision of one routine use in FCC/Central-6 to incorporate
elements formerly in FCC/OMD-4; addition of one new routine use to
incorporate uses in the Workplace Violence Form; and cancellation of
one system of records, FCC/OMD-4. This agency previously gave complete
notice of the two systems of records covered under this Notice by
publication in the Federal Register on October 23, 2000, 65 FR 63468.
This notice is a summary of more detailed information, which may be
viewed at the location given in the ADDRESSES section above. The
purposes for altering FCC/Central-6, ``Personnel Investigation
Records'' are to merge FCC/OMD-4, ``Security Office Control Files''
into this system of records to eliminate possible duplications of
functions and records; to add new data elements, new purposes, and one
new routine use; to update the statutory authority to maintain the
information that the Commission may collect when the Workplace Violence
Form is introduced; and otherwise to alter, update, and revise this
system of records as necessary.
The FCC proposes to achieve these purposes by altering this system
of records, FCC/Central-6, ``Personnel Investigation Records'' with
these changes:
The incorporation of the data elements of another system of
records, FCC/OMD-4, ``Security Office Control Files,'' into FCC/
Central-6;
The elimination of FCC/OMD-4;
The transfer of two routine uses formerly in FCC/OMD-4 to address
new and/or revised uses:
Routine use (7) allows disclosure to the security officers of an
agency in the executive, legislative, or judicial branch, or the
District of Columbia Government, in response to their request(s) for
verification of security clearances of FCC employees to have access to
classified data or areas where their official duties require such
access.
Routine use (8) allows disclosure to request information from a
Federal, state, or local agency maintaining civil, criminal, or other
relevant or pertinent enforcement information or records, such as
licenses, if necessary to obtain information relevant to a Commission
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a grant or other benefit.
The revision of one routine use to incorporate uses formerly in
FCC/OMD-4:
Routine use (5) allows disclosure to designated officers and
employees of agencies, offices, and other establishments in the
executive, legislative, and judicial branches of the Federal
Government, and the District of Columbia Government, in response to
their request, when such agency, office, or establishment conducts an
investigation of the individual for the purpose of hiring, firing, or
retention, granting a security clearance, making a determination of
qualifications, suitability, or loyalty to the United States
Government, or access to classified information or restricted areas, or
classifying jobs, letting of a
[[Page 2773]]
contract, or 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 purpose.
The addition of one new routine use to include the data elements,
information, and purposes for the Workplace Violence Form:
Routine use (9) allows disclosure to the Merit System Protection
Board (MSPB) during the course of the MSPB's investigation of the
individual's appeal, following the Commission's adverse action against
the individual.
The alteration, revision, or modification of various data elements
in FCC/Central-6, including editorial changes to update, simplify, or
clarify, as necessary, this system of records.
The FCC Security Officer and the Personnel Security Specialist in
the Security Office will use the records in FCC/Central-6 to provide
investigative information to determine compliance with Federal
regulations and/or an individual's suitability and fitness for Federal
employment, access to classified information or restricted areas,
position sensitivity, security clearances, evaluations of
qualifications, and loyalty to the U.S.; to evaluate qualifications and
suitability to perform contractual services for the U.S. Government; to
document such determinations; to respond to an inquiry conducted under
the President's Program to Eliminate Waste and Fraud in the Government;
to take action on, or respond to a complaint about a threat,
harassment, intimidation, violence, or other inappropriate behavior
involving one or more FCC employees and/or contract employees; and to
counsel employees.
Records in this system will be available for public inspection at
the location given above. The functions in this system of records will
be performed by the FCC Security Officer and the Personnel Security
Specialist in the Security Office.
This notice meets the requirement documenting the change in the
Commission's system of records, and provides the public, Congress, and
the Office of Management and Budget (OMB) an opportunity to comment.
FCC/CENTRAL-6
SYSTEM NAME:
Personal Investigation Records.
SECURITY CLASSIFICATION:
There is no specific security classification for this system;
however, data or records within the system may have national defense/
foreign policy classifications up through secret.
SYSTEM LOCATION:
Security Operations Center, Assistant Managing Director-
Administrative Offices (AMD-AO), Office of Managing Director, Federal
Communications Commission (FCC), 445 12th Street, SW., Room 1-B458,
Washington, DC 20554.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
1. Current and former FCC employees, applicants for employment in
the Federal service, and contractors.
2. Individuals considered for access to classified information or
restricted areas and/or security determinations such as contractors,
experts, instructors, and consultants to Federal programs.
3. Individuals who are neither applicants nor employees of the
Federal Government, but who are or were involved in Federal programs
under a co-operative agreement.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Data needed to identify an individual and his/her security
clearance for both FCC and contract employees: Individual's last,
first, and middle names (filed alphabetically by last name); Social
Security Number; date of birth; place of birth; Bureau/Office/
Contractor Company; position title; security classification; types and
dates of investigations; agency conducting investigation, investigation
dates, clearance level granted, and position sensitivity level; and
remarks.
2. Data needed to investigate an individual's character, conduct,
and behavior in the community where he or she lives or lived; arrests
and convictions for violations against the law; reports of interviews
with present and former supervisors, co-workers, associates, educators,
etc; reports about the individual's qualifications for a position;
reports of inquiries with law enforcement agencies, employers, and
educational institutions attended; reports of action after OPM or FBI
Section 8(d) Full Field Investigation; Notices of Security
Investigation and other information developed from the above described
Certificates of Clearance; and in some instances, a photograph of the
subject.
3. Data to needed to investigate allegations of misconduct by an
FCC employee;
4. Data needed to investigate miscellaneous complaints not covered
by the FCC's formal or informal grievance procedure; and
5. Data needed to conduct inquiries under the ``President's Program
to Eliminate Waste and Fraud in Government.''
6. Data needed to investigate violence, threats, harassment,
intimidation, or other inappropriate behavior that causes an FCC
employee or contractor to fear for his/her personal safety in the FCC
workplace: case number; victim's name; office telephone number; room
number; organization bureau/office/division/branch; duty station;
position; supervisor; supervisor's telephone number; location of
incident; activity at time of incident; circumstances surrounding the
incident; perpetrator; name(s) and telephone number(s) of witness(es);
injured party(s); medical treatment(s); medical report; property
damages; report(s) to police and/or Federal Protective Services; and
other miscellaneous information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 CFR part 5; 29 CFR part 1960; 47 CFR 19.735-107; 5 U.S.C. 1303,
1304, 3301, 7902; and Executive Orders 10450, 11222, 12065, and 12196.
PURPOSE(S):
FCC Security Officer and the Personnel Security Specialist of the
Security Office use the records in this system to provide investigative
information to determine compliance with Federal regulations and/or to
make a determination about an individual's suitability and fitness for
Federal employment, access to classified information or restricted
areas, position sensitivity, security clearances, evaluations of
qualifications, and loyalty to the U.S.; to evaluate qualifications and
suitability to perform contractual services for the U.S. Government; to
document such determinations; to respond to an inquiry conducted under
the President's Program to Eliminate Waste and Fraud in the Government;
to take action on, or to respond to a complaint about a threat,
harassment, intimidation, violence, or other inappropriate behavior
involving one or more FCC employees and/or contract employees; and to
counsel employees.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
1. A record from this system of records may be referred to the
appropriate Federal, state, or local agency responsible for
investigating or prosecuting a violation or for enforcing or
implementing the statute, rule, regulation, or order where there is an
indication of a violation or potential violation of a statute,
regulation, rule, or order.
2. A record on an individual in this system of records may be
disclosed to a
[[Page 2774]]
Congressional office in response to an inquiry an individual has made
to the Congressional office.
3. A record for this system of records maybe disclosed to GSA and
NARA for the purpose of records management inspections conducted under
authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used
to make a determination about individuals.
4. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
5. A record from this system may be disclosed to designated
officers and employees of agencies, offices, and other establishments
in the executive, legislative, and judicial branches of the Federal
Government, and the District of Columbia Government, in response to
their request, when such agency, office, or establishment conducts an
investigation of the individual for the purpose of hiring, firing, or
retention, granting a security clearance, making a determination of
qualifications, suitability, or loyalty to the United States
Government, or access to classified information or restricted areas, or
classifying jobs, letting of a contract, or 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
purpose.
6. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or adjudicatory
body when:
(a) The United States, the Commission, a component of the
Commission, or when represented by the government, an employee of the
Commission is a party to litigation or anticipated litigation or has an
interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
7. A record from this system may be disclosed to the security
officers of an agency in the executive, legislative, or judicial
branch, or the District of Columbia Government, in response to their
request(s) for verification of security clearances of FCC employees to
have access to classified data or areas where their official duties
require such access.
8. A record in this system may be disclosed to request information
from a Federal, state, or local agency maintaining civil, criminal, or
other relevant or pertinent enforcement information or records, such as
licenses, if necessary to obtain information relevant to a Commission
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a grant or other benefit.
9. A record from this system may be disclosed to the Merit System
Protection Board (MSPB) during the course of the MSPB's investigation
of the individual's appeal, following the Commission's adverse action
against the individual.
In each of these cases, the FCC will determine whether disclosure
of the records is compatible with the purpose for which the records
were collected.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Not applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records in this system of records include both paper and electronic
records. Paper records are stored in file folders in security
containers. The electronic records are maintained in a computer
database.
RETRIEVABILITY:
Records are retrieved by individual's name and Social Security
Number.
SAFEGUARDS:
Paper records are maintained in file folders and stored in approved
security containers, within a secure, access-controlled area with an
intrusion alarm. Access is limited to approved security office and
administrative personnel.
The electronic records are maintained in a ``stand-alone'' computer
database, which is secured through controlled access and passwords
restricted to security and administrative personnel on a ``need to
know'' basis. The computers are located in a room with a simplex lock
and intrusive alarm systems. The computer databases are maintained on a
computer that is not connected to the FCC computer network. The
databases are backed-up on a daily basis to floppy disk(s), which are
then stored in a secured area.
RETENTION AND DISPOSAL:
Both paper and electronic records are retained during employment or
while an individual is actively involved in federal programs. As
appropriate, records are returned to investigating agencies after
employment terminates; otherwise, the records are retained for five
years from the date that the employee leaves the Commission.
Investigative files and the computer database, which show the
completion of an investigation, are retained for 15 years, except for
investigations involving potential actionable issue(s), which will be
maintained for 25 years plus the current year from the date of the most
recent investigative activity.
Paper records are destroyed by shredding. Electronic records are
destroyed by electronic erasure.
SYSTEM MANAGER(S) AND ADDRESS:
Security Office, Associate Managing Director--Administrative
Operations (AMD-AO), Security Operations Center, Federal Communications
Commission (FCC), 445 12th Street, SW., Room 1-B458, Washington, DC
20554.
NOTIFICATION, RECORD ACCESS AND CONTESTING RECORD PROCEDURES:
This system is exempt from the requirement that the agency publish
the procedures for notifying an individual, at his or her request, if
the system contains a record pertaining to him/her, for gaining access
to such record, and for contesting the contents of the record.
RECORD SOURCE CATEGORIES:
This system is exempt from the requirement that the agency publish
the categories of sources of records in this system.
EXEMPTION FROM CERTAIN PROVISIONS OF THE ACT:
This system of records is exempt from sections (c)(3), (d),
(e)(4)(G), (H), and (I), and (f) of the Privacy Act of 1974, 5 U.S.C.
552a, and from 47 CFR 0.554-0.557 of the Commission's rules. These
provisions concern the notification, record access, and contesting
procedures described above, and also the publication of record sources.
The system is exempt from these provisions because it contains the
following types of information:
1. Investigative material compiled for law enforcement purposes as
defined in Section (k)(2) of the Privacy Act.
2. Properly classified information, obtained from another Federal
agency during the course of a personnel investigation, which pertains
to national defense and foreign policy, as stated in Section (k)(1) of
the Privacy Act.
3. Investigative material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, as described in Section (k)(5) of the Privacy Act,
as amended.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
[FR Doc. 03-1195 Filed 1-17-03; 8:45 am]
BILLING CODE 6712-01-P