[Federal Register: August 13, 2009 (Volume 74, Number 155)]
[Notices]
[Page 40818-40820]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13au09-44]
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GOVERNMENT ACCOUNTABILITY OFFICE
System of Personnel Records
AGENCY: Government Accountability Office.
ACTION: Notice of Establishment of Human Capital Management System of
Records.
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SUMMARY: The Government Accountability Office (GAO) proposes to
establish a new system of personnel records under its privacy
regulations, Privacy Procedures for Personnel Records. This Human
Capital Management System of Records encompasses GAO payroll- and
personnel-related information maintained by GAO and exchanged with the
U.S. Department of Agriculture's National Finance Center (USDA/NFC) and
the U.S. Department of the Treasury's HR Connect program (Treasury/HR
Connect). To support its human capital management activities, GAO has
entered into interagency agreements with these two Federal Executive
Branch agencies as shared service providers. USDA/NFC provides payroll
and personnel information processing (Department of Agriculture,
Systems of Record Notice OP-1), and Treasury/HR Connect operates a
human capital management support system (Department of Treasury .001--
Treasury Payroll and Personnel System). The policies and procedures
described in this notice are intended to ensure that personal
information contained in GAO's personnel records is protected as
provided by GAO's privacy regulation.
DATES: Comments may be submitted on or before September 14, 2009.
ADDRESSES: Comments should be sent to: Government Accountability
Office, Privacy Office, Room 1127, 441 G St., NW., Washington, DC
20548, or by e-mail to privacy@gao.gov. Please include reference to
``Comment: Human Capital Management System of Records'' at the top of a
comment letter or in the subject line of an e-mail.
FOR FURTHER INFORMATION CONTACT: For information about GAO human
capital information management, contact the Chief Human Capital
Officer, Government Accountability Office, Room 1157, 441 G St., NW.,
Washington, DC 20548; e-mail, HCOhelp@gao.gov. For information about
GAO privacy protections, contact the Chief Agency Privacy Officer,
Government Accountability Office, Room 1127, 441 G St., NW.,
Washington, DC 20548; e-mail, privacy@gao.gov.
SUPPLEMENTARY INFORMATION:
Background
A. GAO. GAO is an independent, nonpartisan Legislative Branch
agency that examines a wide range of government activities and provides
analyses, recommendations, and other assistance to help Congress make
sound oversight, policy, and funding decisions. As a Legislative Branch
agency, GAO is not subject to the privacy and information security laws
applicable to Executive Branch agencies, such as the Privacy Act of
1974 (Privacy Act), Federal Information Security Management Act of 2002
(FISMA), the E-Government Act of 2002 (E-Government Act), and Office of
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Management and Budget (OMB) and National Institute of Standards and
Technology (NIST) guidance issued under those laws. Nonetheless, it is
GAO's policy to conduct its activities in a manner consistent with the
spirit of those laws and guidance generally applicable to Executive
Branch agencies, and related best practices.
Notwithstanding the similarities with privacy and information
security laws, regulations, or policies applicable to Executive Branch
agencies, GAO's application of, or compliance with, those laws,
regulations, or policies shall not be interpreted as controlling legal
authorities over GAO. The GAO regulation, 4 CFR Part 83, Privacy
Procedures for Personnel Records, provides the basis for this notice.
B. GAO Human Capital Management. The GAO Human Capital Management
System of Records, managed by GAO's Human Capital Office (HCO), is
comprised of information supporting GAO human capital activities,
primarily relating to pay, benefits, performance, recruitment, and
personnel actions. This information is maintained in paper and
electronic formats, including in the GAO Competency Based Performance
System (CBPS), which tracks employee performance reviews; My Locator,
which compiles contact information of GAO employees and contractors;
and WebTA, which records time and attendance for GAO employees.
GAO Human Capital Management information is also maintained and
managed in systems of records operated by two Federal human capital
shared service providers: the U.S. Department of Agriculture (USDA),
and the U.S. Department of the Treasury (Treasury), and contractors
supporting these agencies. In order to streamline its human capital
processes, reduce costs, and improve efficiencies, GAO has entered into
agreements for the provision of human capital management services with
these agencies.
The USDA's National Finance Center (NFC) provides payroll
processing and related services. The Treasury HR Connect program
operates an automated human resources system to support human capital
management activities in Treasury and other Federal agencies through
cross-servicing agreements. Implementation of GAO's agreements with
USDA/NFC and Treasury/HR Connect will be phased in over 18 months. Full
implementation is scheduled for January 2011.
Authorized GAO employees access human capital information
maintained in GAO systems and in systems maintained by GAO's shared
service providers and their contractors. All information is securely
transmitted to and from GAO and its shared service providers and their
contractors as necessary to support agreed upon human capital
management activities (e.g., employment application processing,
recruiting, hiring, pay, promotions, employee awards processing, and
compiling reports).
For a description of the privacy protections provided by USDA/NFC
and Treasury/HR Connect, as required by law of Executive Branch
agencies, see the following: Treasury/HR Connect Privacy Act System of
Records Notice, http://www.ustreas.gov/foia/privacy/treas001.html;
Treasury/HR Connect Privacy Impact Assessment (PIA), http://
www.treas.gov/pia/HRCPIA05-01-2008v10Final.pdf; NFC Privacy Act System
of Records Notice (Personnel and Payroll System for USDA/NFC Employees
USDA/NFC/OP-1), http://www.ocio.usda.gov/OP%20-%201.txt; and NFC PIA,
http://www.usda.gov/documents/NFC_Mainframe_GSS_Redacted_PIA.doc.
Privacy protections for GAO information maintained by contractors of
those agencies are provided under contracts between the agencies and
their contractors. The text of GAO's human capital management system of
records is set forth below.
SYSTEM NAME:
Government Accountability Office, Human Capital Management System
of Records.
SYSTEM LOCATION:
Information maintained in this system of records is located at GAO
headquarters in Washington, DC, and GAO field offices. GAO human
capital information exchanged with Federal shared service providers
(i.e., USDA/NFC and Treasury/HR Connect) is maintained in those
agencies' systems of records. GAO human capital information maintained
by contractors of those shared service providers is maintained at
information processing facilities under the control of those
contractors.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system of records contains information on current GAO
employees, former GAO employees, and applicants for GAO employment.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records contains GAO human capital information,
which comprises both biographic and employment information. Biographic
information includes identifying information (e.g., name, social
security number, date of birth, gender, race, and national origin),
education, and disabilities. Employment information includes
compensation (e.g., salary, date of salary increases, pay plan, pay
basis, sick and annual leave balances), benefits (e.g., pension, Thrift
Savings Plan, health insurance, life insurance, Medicare and Federal
Employees Compensation Act benefits), employment actions (e.g.,
promotions, demotions, removals), performance appraisals (e.g.,
individual ratings), veterans preference, military service, work
schedule (e.g., telework and alternate work schedule), awards, dates of
probationary periods, type of position appointment, and changes in
position (e.g. position identification number, occupational series,
organization location, and accounting classification codes), payroll
data such as earnings and deductions (e.g., Federal, State, and local
taxes), time and attendance data, and training courses attended. Both
biographic and employment information may be maintained in electronic
and paper format.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
4 CFR Part 83; System of Personnel Records.
PURPOSE:
The purpose of this system of records is to maintain records
relating to current and former GAO employees and applicants for GAO
employment as are relevant and necessary to efficiently and effectively
conduct authorized GAO human capital management activities.
ROUTINE USES OF RECORDS MANTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
All or a portion of personal information maintained in this system
of records may only be disclosed as permitted under 4 CFR Part 83,
http://www.access.gpo.gov/nara/cfr/waisidx_09/4cfr83_09.html.
Specifically, such information shall not be disclosed to any person or
entity without the written consent of the individual to whom the
information pertains, except as permitted under Sec. 83.4 and Sec.
83.5. As permitted under Sec. 83.4(a) and Sec. 83.19, personal
information in this system of records may be disclosed to those GAO
employees and contractors who have a need for the record in the
performance of their official duties. All or a portion of the records
in this system of records may be disclosed as a routine use pursuant to
Sec. 83.4(c) in support of GAO's human capital management activities,
as follows:
(a) To Federal shared service providers and their contractors as
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reasonably necessary to provide agreed upon services to support GAO
human capital management activities;
(b) To Federal, State, local, territorial, Tribal, or foreign law
enforcement authorities or other appropriate entities where a record,
either alone or in conjunction with other information, indicates a
violation, or potential violation, of law or regulation, and where such
entities are responsible for investigating or prosecuting such
violation or enforcing or implementing such law or regulation;
(c) To Federal, State, local, or international agencies in
connection with an individual's hiring, employment, related benefits,
suitability, or security investigation, or security clearance; or in
connection with the letting of a contract, or the issuance of a grant
or other benefit to the extent that GAO determines the information is
relevant and necessary to an agency or organization's decision;
(d) To Federal agencies to verify or determine the citizenship or
immigration status of any individual seeking employment with GAO or as
required by law;
(e) To agencies, entities, and persons when: (1) GAO suspects or
has confirmed that the security or confidentiality of information in
this system of records has been compromised; (2) GAO has determined
that as a result of the suspected or confirmed compromise there is a
risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other
systems or programs (whether maintained by GAO or another agency or
entity) that rely upon the compromised information; and (3) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with GAO's efforts to respond to a
suspected or confirmed compromise and prevent, minimize, or remedy such
harm;
(f) To an agency, organization, or individual for the purposes of
performing audit or oversight operations as authorized by law, but only
such information as is necessary and relevant to such audit or
oversight function; and
(g) To a public or professional licensing, certification, or
accreditation organization to confirm the claimed credentials of a GAO
applicant or employee, or when information indicates, either by itself
or in combination with other information, a violation or potential
violation of professional standards, or reflects on the moral,
educational, or professional qualifications of an individual who either
is seeking to become or is already licensed, certified, or accredited.
RETRIEVABILITY:
Information maintained in the system may be retrieved only by
employees of GAO who have a need for the information in the performance
of their official duties.
SAFEGUARDS:
Information maintained in the system is safeguarded under 4 CFR
83.7(i), and GAO information systems security policies and procedures.
Strict controls are imposed to minimize the risk of compromising the
information maintained in this system of records and any of its
supporting information systems. Furthermore, GAO human capital
information maintained by GAO's Federal shared service providers and
their contractors are subject to privacy and security laws applicable
to executive branch agencies (e.g., the Privacy Act, FISMA, the E-
Government Act), and related regulations, standards, and guidance.
RETENTION AND DISPOSAL:
All GAO human capital information will be retained in accordance
with the following schedule:
(a) Time and attendance records are destroyed 7 years after the end
of the fiscal year in which they are created.
(b) Individual employee payroll records are destroyed 7 years after
the end of the fiscal year in which they are created.
(c) An individual's Official Personnel Folder (OPF) is retained for
65 years after separation.
Compelling legal or policy purposes (e.g., ongoing or potential
litigation) may require retention of certain records beyond the
retention periods identified above.
SYSTEM MANAGER AND ADDRESS:
The GAO official responsible for this system of records is the
Chief Human Capital Officer (CHCO), Human Capital Office, U.S.
Government Accountability Office, Room 1157, 441 G St., NW.,
Washington, DC, 20548.
NOTIFICATION PROCEDURE:
As provided under 4 CFR 83.12-18 and Appendix I to Part 83--
Memorandum of Understanding, GAO employees, former employees, or
applicants to GAO interested in knowing whether this system of records
contains information about them, how to obtain access to such
information, or how to contest any element of such information may
submit a request in writing to the Chief Privacy Officer, U.S.
Government Accountability Office, Room 1127, 441 G St., NW.,
Washington, DC 20548, or by e-mail to privacy@gao.gov.
RECORD ACCESS PROCEDURES:
See ``Notification Procedure'' above.
CONTESTING RECORD PROCEDURE:
See ``Notification Procedure'' above.
RECORD SOURCE CATEGORIES:
Information in this system of records originates from individuals
whose personal information is maintained in this system of records,
agency records, financial institutions, employee and professional
organizations, previous employers, consumer reporting agencies, debt
collection agencies, courts, and other government agencies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Certain records contained in this system of records are exempt from
access, amendment, and other procedural requirements pursuant to 4 CFR
83.21.
Catherine Teti,
Chief Agency Privacy Officer, Government Accountability Office.
[FR Doc. E9-19445 Filed 8-12-09; 8:45 am]
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