<PRE><DOC>
[2001 Privacy Act]
[From the
[Page 36614]
#.SPECIAL COUNSEL
OFFICE
#..OSC/GOVT-1
#....System name:
OSC/GOVT-1, OSC Complaint, Litigation and Political Activity
Files.
System location:
Human and Administrative Resources Management
of
Special Counsel, 1730 M Street, NW,
20036-4505.
Categories of
individuals covered by the system:
The
principal categories of individuals covered by the system are
persons
filing allegations of prohibited personnel practices,
improper
political activity, or other prohibited activities; persons
identified as engaging or participating in such practices or
activities; persons filing disclosures of alleged wrongdoing
by
federal agencies, and persons identified as engaging or
participating
in such wrongdoing; persons requesting advisory opinions on
political
activity; persons charged by OSC in disciplinary action
complaints
filed by OSC with the Merit Systems Protection Board (MSPB);
and
plaintiffs seeking remedies against OSC in litigation related
to the
performance of its official functions.
Categories of records
in the system:
Correspondence with persons (or their representatives) filing
allegations of prohibited personnel practices, improper
political
activity, or other prohibited activities; correspondence with
other
agencies, entities, or individuals referring matters to OSC
for
review and/or investigation; exhibits and other documentation
from
complainants, governmental entities or other third parties;
interview
records, including notes, summaries, or transcripts;
affidavits;
reports or other summaries of investigation; factual and
legal
summaries and analyses; administrative determinations;
referrals to
other agencies for appropriate action; records created or
compiled in
connection with litigation by or against OSC, or pertinent to
OSC
operations; requests and decisions under the Freedom of
Information
and/or Privacy Acts; and other correspondence and documents
arising
out of the performance of official OSC functions under 5
U.S.C. 1211-
1221,
1501-1508, and 7321-7326; 38 U.S.C. 4324, and other applicable
law or
regulation.
Authority for maintenance of the system:
5 U.S.C.
552, 552a, 1211-1221, 1501-1508, and 7321-7326; and 38
U.S.C.
4324.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. To
disclose the fact that an allegation of prohibited
personnel
practices or other prohibited activity has been filed;
b. To
disclose information to the Office of Personnel Management
(OPM) pursuant to Civil Service
Rule 5.4 (5 CFR 5.4), or to obtain an
advisory
opinion concerning the application or effect of civil
service
laws, rules, regulations or OPM guidelines in particular
situations;
c. To
disclose to the Equal Employment Opportunity Commission or
any other
agency or office concerned with the enforcement of the
anti-discrimination laws, information concerning any
allegation or
complaint of discrimination based on race, color, religion,
sex,
national origin, age, or handicapping condition;
d. To
disclose information to the MSPB or the President upon the
filing or
referral of a disciplinary action complaint against an
employee
on the basis of an OSC investigation;
e. To
disclose information to an agency, the MSPB, OPM, and the
President reporting, under 5
U.S.C. 1214, the results of
investigations which disclose reasonable grounds
to believe a
prohibited personnel practice has occurred, exists, or is to
be
taken;
f. To
disclose information to Congress in connection with the
submission of an annual report on activities of the Special
Counsel;
g. To disclose information to any agency or person regarding
allegations of prohibited personnel practices or other
prohibited
activity or prohibited political activity filed against an
agency or
any employee thereof, for the purposes of conducting an
investigation, in transmitting information to an agency under
5
U.S.C. 1213(c)(1) and the OSC procedures established thereunder; or
to give
notice of the status or outcome of the investigation;
h. To
disclose information to any source from which additional
information is requested (to the extent necessary to identify
the
individual, inform the source of the purpose(s) of the
request, and
to identify the type of information requested), where
necessary to
obtain information relevant to an agency decision concerning
the
hiring or retention of an employee, the issuance of a
security
clearance, the conducting of a security or suitability
investigation
of an individual, the letting of a contract, or the issuance
of a
license, grant, or other benefit;
i. To disclose information to the Office of Management and
Budget
(OMB) at any
stage in the legislative coordination and clearance
process
in connection with private relief legislation, as set forth
in OMB
Circular No. A-19;
j. To
provide information to a congressional office from the
record of
an individual in response to an inquiry from that
congressional office (made at the request of that
individual);
k. To
furnish information to the National Archives and Records
Administration
(
under authority of 44 U.S.C. 2904 and
2906;
l. To produce summary descriptive statistics and analytical
studies
in support of the function for which the records are
collected
and maintained or for related work force studies;
m. To
disclose records to the Department of Justice (DOJ) when:
(1) The
OSC, or
(2) Any employee of the OSC in his or her official capacity, or
(3) Any
employee of the OSC in his or her individual capacity
where the
DOJ has agreed to represent the employee, or
(4) The
is likely
to affect the OSC, is a party to litigation or has an
interest
in such litigation, and the use of such records by the DOJ
is deemed
by the OSC to be relevant and necessary to the litigation,
provided,
however, that the OSC determines that disclosure of the
records
to the DOJ is a use of the information contained in the
records
that is compatible with the purpose for which the records
were
collected;
n. To
disclose records maintained by the OSC in a proceeding
before a
court or adjudicative body before which the OSC is
authorized to appear, when:
(1) The
OSC, or
(2) Any employee of the OSC
in his or her official capacity,
(3) Any
employee of the OSC in his or her individual capacity
where the
OSC has agreed to represent the employee, or
(4) The
is likely
to affect the OSC, is a party to litigation or has an
interest
in such litigation, and the OSC determines that use of such
records
is relevant and necessary to the litigation, provided,
however,
that the OSC determines that disclosure of the records is a
use of
the information contained in the records that is compatible
with the
purpose for which the records were collected;
o. To
disclose information to the MSPB to aid in the conduct of
special
studies by the Board under 5 U.S.C. 1204(a)(3);
p. To
disclose information to the Office of Inspector General
(OIG) or comparable internal
inspection, audit, or oversight office
of an
agency for the purpose of facilitating the coordination and
conduct
of investigations and review of allegations within the
purview
of both the OSC and the agency OIG or comparable office;
q. To
disclose information to the news media and the public when
(1) the
matter under investigation has become public knowledge, (2)
the
Special Counsel determines that disclosure is necessary to
preserve
confidence in the integrity of the OSC investigative process
or is
necessary to demonstrate the accountability of OSC officers,
employees, or individuals covered by this system, or (3) the
Special
Counsel
determines that there exists a legitimate public interest
(e.g., to demonstrate that the law
is being enforced, or to deter the
commission of prohibited personnel practices, prohibited
political
activity, and other prohibited activity within the OSC's
jurisdiction), except to the extent that the
Special Counsel
determines in any of these situations that disclosure of
specific
information in the context of a particular case would
constitute an
unwarranted invasion of personal privacy; and
r. To
disclose information to the U.S. Department of Labor (DOL)
about
OSC's referral of a complaint alleging a violation of
veterans
preference requirements to DOL for further action under the
Veterans'
Employment
Opportunities Act of 1998; to disclose information to DOL
or any
agency or person as needed to develop relevant information
about
matters referred by DOL to OSC under 38 U.S.C. 4324 (the
Uniformed Services Employment and
Reemployment Rights Act of 1994)the
Uniformed Services Employment and
Reemployment Rights Act of 1994; to
disclose
information to DOL or any agency or person as needed to
advise on
the status or disposition of matters referred by DOL to OSC
for
disciplinary action under 5 U.S.C. 1215, or litigation under 38
U.S.C.
4324.
Policies and practices for storage, retrieving, accessing,
retaining
and disposing of records in the system:
Storage:
These
records are stored in a variety of media, primarily
consisting of file folders, and computer storage
equipment.
Retrievability:
Files in
this system of records are retrievable by the names of
key
individuals or agencies involved (e.g., complainants or
requesters; subjects identified in corrective action or
disciplinary
proceedings, warning letters, or other determinations; legal,
congressional, or other representatives or points of contact;
or key
witnesses), although files are generally retrieved by the
name of:
(a) The
complainant alleging a prohibited personnel practice, or
other
prohibited activity; (b) the alleged subject of a complaint
about
prohibited political activity; (c) the person filing an
allegation through the OSC whistleblower disclosure channel;
(d) the
name of the person filing a request for an advisory opinion
on
political activity; (e) the name of the person on whose
behalf OSC
seeks corrective action, or the person against whom OSC seeks
disciplinary action, in litigation before the MSPB; and (f)
the
plaintiff in litigation against OSC.
Safeguards:
These
records are located in lockable file cabinets or in secured
areas.
The required use of computer password protection
identification features and other system protection methods
also
restrict access. Access is limited to those agency personnel
who have
an official need for access to perform their duties.
Retention and
disposal:
prohibited activity for three years after the matter or case
is
closed, or for six years if the file has been the subject of
a
Freedom of Information Act request.
[[Page
36614]]
regulation.
System manager(s) and
address:
The
official responsible for records management functions
associated with OSC program and administrative files,
including those
in the OSC/GOVT-1 system of records, is the Records
Management
Officer, Human and Administrative Resources Management
Office of Special Counsel, 1730 M
Street, NW,
DC 20036-4505.
Notification
procedure:
Individuals who wish to inquire whether this system contains
information about them should contact the system manager. To
assist
in the process of locating and identifying records,
individuals
should furnish the following:
a. Name and address;
b. Date
and place of birth;
c. Social
Security number;
d. A
description of the circumstances under which records may
have been
included in the system.
Record access
procedures:
Same as notification procedure, above.
Contesting record
procedures:
Individuals who wish to contest records about them should contact
the system manager, identify any information they believe
should be
corrected, and furnish a statement of the basis for the
requested
correction along with all available supporting documents and
materials.
Record source
categories:
Information in this system of records is obtained from a variety
of sources, consisting of complainants or others on whose
behalf
allegations, or requests for information, have been submitted
or
referred to OSC; legal, congressional, or other
representatives or
points of contact; other government bodies; witnesses and
subjects in
matters under review; principals involved in litigation
matters,
including parties and their representatives; and other
persons or
entities furnishing information pertinent to the discharge of
functions for which OSC is responsible.
Exemptions claimed for
the system:
a. Complaint, Litigation and Political Activity files
containing
investigatory material compiled by OSC for law enforcement
purposes
are exempt to the extent allowed under subsections (k)(2) and
(5) of
the Privacy Act. This exemption is necessary to protect
confidential
sources and facilitate the voluntary cooperation of witnesses
during
inquiries into allegations of prohibited personnel practices
or other
prohibited activities.
b. Testing
or examination material compiled by OSC solely to
determine
individual qualifications for appointment or promotion in
the
Federal service is exempt to the extent allowed under subsection
(k)(6) of
the Privacy Act. This exemption is necessary to prevent the
disclosure of information that would potentially give an
individual
an unfair competitive advantage or diminish the utility of
established examination procedures.
c. OSC
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 OSC may refuse access to
information compiled in reasonable anticipation of a civil
action or
proceeding, pursuant to subsection (d)(5) of the Privacy
Act.