OPM Central 9 SORN

Federal Register / Vol. 81, No. 196 / Tuesday, October 11, 2016 / Notices
Week of October 31, 2016—Tentative

March 4, 2014, and supplemented by
letters dated February 13, 2014
(ML14045A290) and April 10, 2015
(ML15117A566).

[FR Doc. 2016–24456 Filed 10–7–16; 8:45 am]
BILLING CODE 7590–01–P

NUCLEAR REGULATORY
COMMISSION
[NRC–2016–0001]

Sunshine Act Meeting Notice
October 10, 17, 24, 31, November
7, 14, 2016.

DATES:

Commissioners’ Conference
Room, 11555 Rockville Pike, Rockville,
Maryland.

PLACE:

STATUS:

Public and Closed.

Week of October 10, 2016
There are no meetings scheduled for
the week of October 10, 2016.
Week of October 17, 2016—Tentative
Tuesday, October 18, 2016
9:30 a.m. Strategic Programmatic
Overview of the Decommissioning
and Low-Level Waste and Spent
Fuel Storage and Transportation
Business Lines (Public Meeting)
(Contact: Janelle Jessie: 301–415–
6775)
This meeting will be webcast live at
the Web address—http://www.nrc.gov/.
Thursday, October 20, 2016
9:30 a.m. Strategic Programmatic
Overview of the New Reactors
Business Line (Public Meeting)
(Contact: Donna Williams: 301–
415–1322)
This meeting will be webcast live at
the Web address—http://www.nrc.gov/.
Week of October 24, 2016—Tentative

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Week of November 7, 2016—Tentative
There are no meetings scheduled for
the week of November 7, 2016.
Week of November 14, 2016—Tentative
There are no meetings scheduled for
the week of November 14, 2016.
*
*
*
*
*
The schedule for Commission
meetings is subject to change on short
notice. For more information or to verify
the status of meetings, contact Denise
McGovern at 301–415–0681 or via email
at [email protected].
*
*
*
*
*
The NRC Commission Meeting
Schedule can be found on the Internet
at: http://www.nrc.gov/public-involve/
public-meetings/schedule.html.
*
*
*
*
*
The NRC provides reasonable
accommodation to individuals with
disabilities where appropriate. If you
need a reasonable accommodation to
participate in these public meetings, or
need this meeting notice or the
transcript or other information from the
public meetings in another format (e.g.
braille, large print), please notify
Kimberly Meyer, NRC Disability
Program Manager, at 301–287–0739, by
videophone at 240–428–3217, or by
email at Kimberly.Meyer-Chambers@
nrc.gov. Determinations on requests for
reasonable accommodation will be
made on a case-by-case basis.
*
*
*
*
*
Members of the public may request to
receive this information electronically.
If you would like to be added to the
distribution, please contact the Nuclear
Regulatory Commission, Office of the
Secretary, Washington, DC 20555 (301–
415–1969), or email
[email protected] or
[email protected].
Dated: October 5, 2016.
Denise L. McGovern,
Policy Coordinator, Office of the Secretary.
BILLING CODE 7590–01–P

10:00 a.m. Program Review of Part 37 of
Title 10 of the Code of Federal
Regulations (10 CFR part 37) for the
Protection of Risk-Significant
Quantities of Radioactive Material
(Public Meeting) (Contact: George
Smith: 301–415–7201)
This meeting will be webcast live at
the Web address—http://www.nrc.gov/.

VerDate Sep<11>2014

10:00 a.m. Briefing on Security Issues
(Closed Ex. 1)

[FR Doc. 2016–24563 Filed 10–6–16; 11:15 am]

Thursday, October 27, 2016

Jkt 241001

OFFICE OF PERSONNEL
MANAGEMENT
Privacy Act of 1974: Revised System of
Records
U.S. Office of Personnel
Management (OPM).

AGENCY:

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Notice of a revised system of

records.

Friday, November 4, 2016

Dated at Rockville, Maryland, this 3rd day
of October 2016.
For the Nuclear Regulatory Commission.
Jeanne A. Dion,
Acting Chief, Plant Licensing Branch II–2,
Division of Operating Reactor Licensing,
Office of Nuclear Reactor Regulation.

ACTION:

70191

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
SUMMARY:

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Federal Register / Vol. 81, No. 196 / Tuesday, October 11, 2016 / Notices

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,

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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 Federalsector 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 appropriatelycleared 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

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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.

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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.

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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

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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

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70193

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.

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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.

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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

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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).

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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 federallycontrolled 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

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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,

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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

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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 Federalsector 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,

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Federal Register / Vol. 81, No. 196 / Tuesday, October 11, 2016 / Notices

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.

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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

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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,

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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-informationand-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.

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Federal Register / Vol. 81, No. 196 / Tuesday, October 11, 2016 / Notices
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-informationand-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.

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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

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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,

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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

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