82 FR 57489 - Privacy Act of 1974; System of Records

OFFICE OF PERSONNEL MANAGEMENT

Federal Register Volume 82, Issue 232 (December 5, 2017)

In accordance with the Privacy Act of 1974, the Office of Personnel Management (OPM) proposes to establish a new OPM system of records titled ``OPM/Central-21 Federal Employee Viewpoint Survey System of Records.'' This system of records contains information that OPM collects, maintains, and uses in order to develop and administer the Federal Employee Viewpoint Survey (FEVS) and to evaluate and distribute the results of that survey. This system of records will be included in the Office of Personnel Management's inventory of record systems.

[Federal Register Volume 82, Number 232 (Tuesday, December 5, 2017)]
[Notices]
[Pages 57489-57491]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-26107]



[[Page 57489]]

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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974; System of Records

AGENCY: U.S. Office of Personnel Management, Survey Analysis, Office of 
Strategy and Innovation.

ACTION: Notice of a new system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Office of 
Personnel Management (OPM) proposes to establish a new OPM system of 
records titled ``OPM/Central-21 Federal Employee Viewpoint Survey 
System of Records.'' This system of records contains information that 
OPM collects, maintains, and uses in order to develop and administer 
the Federal Employee Viewpoint Survey (FEVS) and to evaluate and 
distribute the results of that survey. This system of records will be 
included in the Office of Personnel Management's inventory of record 
systems.

DATES: Please submit comments on or before January 4, 2018. This new 
system is effective upon publication in today's Federal Register, with 
the exception of the routine uses, which are effective January 9, 2018.

ADDRESSES: You may submit written comments by one of the following 
methods:
     Mail: Dr. Kimberly J. Wells, Survey Analysis, Office of 
Strategy and Innovation, Office of Personnel Management, 1900 E Street 
NW., 4332-S, Washington, DC 20415.
     Email: [email protected].

FOR FURTHER INFORMATION, CONTACT: For general questions, please 
contact: Dr. Kimberly J. Wells, Survey Analysis, Office of Strategy and 
Innovation, Office of Personnel Management at [email protected]. For privacy 
questions, please contact: Kellie Cosgrove Riley, 202-606-2308, Chief 
Privacy Officer, Office of Personnel Management.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, the Office of Personnel Management proposes to establish 
a new system of records titled ``OPM/Central-21 Federal Employee 
Viewpoint Survey System.'' This system of records is being established 
in order to develop and administer the Federal Employee Viewpoint 
Survey (FEVS) and to evaluate and distribute the results of that 
survey. This system of records contains information that OPM collects, 
maintains, and uses regarding individuals who are potential or actual 
survey respondents.
    The Federal Human Capital Survey (FHCS) was first administered in 
2002 under OPM general authorities to conduct studies and research in 
personnel management, with subsequent biennial administrations in 2004, 
2006, and 2008. Starting in 2010, the FHCS was rebranded as the 
``Federal Employee Viewpoint Survey'' and conducted annually. These 
surveys have roots in the long history of OPM-administered 
Governmentwide surveys going back to the 1979 Federal Employee 
Attitudes Survey first administered the same year OPM was instituted 
under the Civil Service Reform Act of 1978.
    A 2003 law enacted by Congress (National Defense Authorization Act 
for FY 2004) required each agency to conduct an annual survey of their 
employees and make results available to the public. As required by the 
law, OPM issued regulations (5 CFR part 250) in 2006 and revised in 
2016 containing survey items covering topic areas prescribed by the law 
and other general requirements. Both the FEVS and the 2008 FHCS (the 
survey administered after the regulations went into effect) included 
the required survey items as part of their overall scope and served as 
a conduit through which participating executive branch agencies have 
fulfilled their annual employee survey obligation.
    The FEVS is a tool that measures Federal employees' perceptions of 
whether, and to what extent, conditions that characterize successful 
organizations are present in their agencies. The FEVS provides general 
indicators of how well the Federal government is running its human 
resources management systems, and gives senior managers critical 
information needed to make their agency work better. It is administered 
to evaluate elements of strategic human capital management, to assess 
the general climate of the Federal workforce and to appraise various 
programs and human capital topics as necessary. The FEVS covers 
multiple human capital topic areas, including, but not limited to, 
those specified in 5 CFR 250.302. Survey questions ask participants to 
share their attitudes, behaviors, and thoughts on these topic areas. In 
addition, more agency-specific evaluation questions may be added from 
time to time. Demographic questions are also included to evaluate 
differences among subgroups in the way responses were distributed.
    In order to administer the FEVS, information about Federal 
employees is collected from OPM's Enterprise Human Resource Integration 
(EHRI) system, consistent with the OPM/Govt 1 General Personnel Records 
system of records. The data from EHRI is used to (1) identify current 
Federal employees, (2) determine survey eligibility, (3) collect 
contact information where necessary and available, (4) perform 
statistical weighting procedures using select demographic information, 
and (5) support research and reporting functions.
    In addition to the EHRI data, additional organizational and 
employee data are collected from participating agencies. Organizational 
data includes the hierarchical structure of the agency and the titles 
associated with all work groups, branches, and divisions of that 
hierarchy. Employee data can include names, other personal identifiers 
such as Social Security number and date of birth, email addresses, and 
work unit identifiers. The combination of organizational data and 
personnel work unit identifier allows for accurate sampling and 
reporting of summarized survey results for work units that meet the 
requirement of meeting or exceeding the minimum number of respondents 
necessary to adequately protect respondent confidentiality.
    Eligible employees selected to participate in the FEVS are sent an 
email invitation that includes a unique link to the survey. Follow-up 
emails are sent weekly until the employee either completes the survey 
or informs OPM that he or she wishes to opt-out. The survey is web-
based, designed and operated within OPM using commercial software 
running on OPM servers. All surveys and survey items are voluntary. 
That is, employees may choose to respond to all, some, or none of the 
items. Surveys with at least 25% of the non-demographic items answered 
are considered complete and will be used. After the survey 
administration, data cleaning and statistical weighting procedures are 
executed by OPM and a contractor. Once final data are available, 
reports of summary survey results are generated and distributed to 
agencies via an OPM contractor who creates the reports and maintains 
the distribution platform. At the end of the FEVS cycle, selected 
summary results and a technical report may be published, and a public 
release data file released.
    The records concerning the potential and actual survey respondents 
will be maintained in the OPM/Central-21 Federal Employee Viewpoint 
Survey System. This system of records will be included in OPM's 
inventory of records systems. In accordance with 5 U.S.C. 552a(r), OPM 
has provided a report of this system of records to the Office of

[[Page 57490]]

Management and Budget and to Congress.

U.S. Office of Personnel Management.
Kathleen M. McGettigan,
Acting Director.
SYSTEM NAME AND NUMBER:
    Federal Employee Viewpoint Survey System, OPM/Central-21.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained by the Office of Strategy and Innovation, 
Office of Personnel Management, 1900 E Street NW., Washington, DC 
20415, as well as by an OPM contractor in Rockville, Maryland.

SYSTEM MANAGER(S):
    Manager, Survey Analysis, Office of Strategy and Innovation, U.S. 
Office of Personnel Management, 1900 E. Street NW., Washington, DC 
20415, [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 1103, 4702, and 7101 note (referencing Pub. L. 108-136 
section 1128); 5 CFR 5.2(b) and 9.2; 5 CFR part 250; Executive Order 
13197.

PURPOSE(S) OF THE SYSTEM:
    The purpose of the system is to permit OPM to administer, collect, 
maintain, and evaluate the results of, the Federal Employee Viewpoint 
Survey, a comprehensive set of questions posed to selected Federal 
employees throughout executive branch agencies; to measure Federal 
employees' perceptions of whether, and to what extent, conditions that 
characterize successful organizations are present in their agencies; to 
obtain general indicators of how well the Federal Government is running 
its human resources management systems; to assess the general climate 
of the Federal workforce; to appraise programs and human capital topics 
as necessary; to provide senior managers with critical information 
needed to make their agency work better; to provide the results of the 
survey to individual agencies, Congress, other oversight entities, and 
the public, as appropriate; to determine individuals' eligibility for 
the survey; and to conduct statistical weighting procedures. In 
addition, information in this system of records is used to produce a 
de-identified, publicly available data file that contains survey 
responses, select demographics, and limited agency organizational 
information; as well as to produce reports of summarized survey results 
for participating agencies, their subcomponents, and others.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current Federal employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    a. Full name;
    b. Email address;
    c. Social Security number, or other unique employee identification 
number;
    d. Agency;
    e. Agency subcomponent;
    f. Organizational/Work component names and codes (up to nine levels 
of work unit information may be obtained);
    g. Appointment authority;
    h. Type of appointment;
    i. Work schedule;
    j. Tenure;
    k. Service computation date;
    l. Duty location and core based statistical area;
    m. Occupational classification or series;
    n. Personnel Office identifier;
    o. Pay status;
    p. Grade level;
    q. Pay plan;
    r. Base and adjusted salary;
    s. Retirement plan;
    t. Supervisory status;
    u. Ethnicity and Race/National Origin indicator;
    v. Sex;
    w. Date of birth;
    x. Responses to the FEVS survey questions, including demographic 
information.

RECORD SOURCE CATEGORIES:
    Records are obtained from the Office of Personnel Management's 
Enterprise Human Resource Integration system, which contains general 
personnel records from the OPM/Govt 1 General Personnel Records system 
of records, from the individual Federal agencies that participate in 
the FEVS, and from the individuals who voluntarily complete the FEVS.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND 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 or 
information contained in this system may be disclosed outside OPM as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    a. To the Department of Justice, including Offices of the U.S. 
Attorneys; another Federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body; 
another party in litigation before a court, adjudicative, or 
administrative body; or to a court, adjudicative, or administrative 
body. Such disclosure is permitted only when it is relevant or 
necessary to the litigation or proceeding and one of the following is a 
party to the litigation or has an interest in such litigation:
    (1) OPM, or any component thereof;
    (2) Any employee or former employee of OPM in his or her official 
capacity;
    (3) Any employee or former employee of OPM in his or her individual 
capacity where the Department of Justice or OPM has agreed to represent 
the employee;
    (4) The United States, a Federal agency, or another party in 
litigation before a court, adjudicative, or administrative body, upon 
the OPM General Counsel's approval, pursuant to 5 CFR part 295 or 
otherwise.
    b. To the appropriate Federal, State, or local agency responsible 
for investigating, prosecuting, enforcing, or implementing a statute, 
rule, regulation, or order, when a record, either on its face or in 
conjunction with other information, indicates or is relevant to a 
violation or potential violation of civil or criminal law or 
regulation.
    c. To a member of Congress from the record of an individual in 
response to an inquiry made at the request of the individual to whom 
the record pertains.
    d. To the National Archives and Records Administration (NARA) for 
records management inspections being conducted under the authority of 
44 U.S.C. 2904 and 2906.
    e. To appropriate agencies, entities, and persons when (1) OPM 
suspects or has confirmed that there has been a breach of the system of 
records,[middot] (2) OPM has determined that as a result of the 
suspected or confirmed breach there is a risk of harm to individuals, 
OPM (including its information systems, programs, and operations), the 
Federal Government, or national security; and (3) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with OPM's efforts to respond to the suspected or 
confirmed breach or to prevent, minimize, or remedy such harm.
    f. To another Federal agency or Federal entity, when OPM determines 
that information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national

[[Page 57491]]

security, resulting from a suspected or confirmed breach.
    g. To contractors, grantees, experts, consultants, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for OPM when OPM determines that it is 
necessary to accomplish an agency function related to this system of 
records. Individuals provided information under this routine use are 
subject to the same Privacy Act requirements and limitations on 
disclosure as are applicable to OPM employees.
    h. To Federal agencies whose employees participate in the FEVS, and 
their subcomponents, where OPM determines that assistance may be 
required in any aspect of administering and reporting on the FEVS.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    The records in this system of records are stored electronically on 
OPM's local area network with access limited to a small number of 
personnel in the Office of Strategy and Innovation. In addition, 
records are stored by OPM's contractor at its location with access 
restricted to authorized users.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by name, email address, or other personal 
identifier but are generally only retrieved in this manner leading up 
to and during the administration of the FEVS. After the FEVS is 
administered, personal identifiers are rarely used, to retrieve records 
or otherwise. Instead, records post-administration of the FEVS are 
generally retrieved by agency work unit and/or demographics in a manner 
that is not intended to identify individual survey respondents.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    OPM is currently working to develop a records schedule to submit to 
the National Archives and Records Administration for approval. Until a 
records schedule is in place, the records will be retained as permanent 
records.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in the system are protected from unauthorized access and 
misuse through various administrative, technical and physical security 
measures. OPM security measures are in compliance with the Federal 
Information Security Modernization Act (Pub. L. 113-283), associated 
OMB policies, and applicable standards and guidance from the National 
Institute of Standards and Technology (NIST).

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of and access to their records in 
this system of records may submit a request in writing to the Office of 
Personnel Management, Office of Strategy and Innovation, 1900 E Street 
NW., Washington, DC 20415. Individuals must furnish the following 
information for their records to be located:
    1. Full name.
    2. Date of birth.
    3. Social Security Number.
    4. Signature.
    5. Available information regarding the type of information 
requested.
    6. The reason why the individual believes this system contains 
information about him/her.
    7. The address to which the information should be sent.
    Individuals requesting access must also comply with OPM's Privacy 
Act regulations regarding verification of identity and access to 
records (5 CFR 297).

CONTESTING RECORD PROCEDURES:
    Individuals may request that records about them be amended by 
writing to the Office of Personnel Management, Office of Strategy and 
Innovation, 1900 E Street NW., Washington, DC 20415 and furnish the 
following information for their records to be located:
    1. Full name.
    2. Date of birth.
    3. Social Security Number.
    4. Signature.
    5. Precise identification of the information to be amended.
    Individuals requesting amendment must also follow OPM's Privacy Act 
regulations regarding verification of identity and amendment to records 
(5 CFR 297).

NOTIFICATION PROCEDURES:
    See ``Record Access Procedure.''

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

[FR Doc. 2017-26107 Filed 12-4-17; 8:45 am]
 BILLING CODE 6325-45-P