24242 Federal Register / Vol. 77, No. 78 / Monday, April 23, 2012 / Notices 

17 17 CFR 200.30–3(a)(12). 

facing business, would be able to 

participate in the SLP program. 

As noted above, the Exchange would 

continue to require that a DMM be 

registered in every security at the 

Exchange, and similar to NYSE Arca’s 

market maker program, which has two 

classes of market maker, the SLMMs 

would provide supplemental liquidity 

in addition to the DMMs. Because the 

proposed SLMMs would be required to 

meet the Two-Sided Obligation 

applicable to all equities market makers, 

the Exchange believes that the proposed 

rule change would also remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system by 

increasing the number of market 

participants that are required to 

maintain a continuous two-sided 

quotation in the securities in which they 

are registered. The Exchange further 

believes that adding additional 

registered market makers would protect 

investors and the public interest by 

providing additional sources of liquidity 

for trading. 

In addition, the Exchange believes 

that the proposed rule change is 

consistent with the requirements of the 

Act because the proposed requirements 

for the SLMMs are based on existing, 

approved requirements for registered 

market makers on other exchanges. In 

addition to the Two-Sided Obligation, 

the proposed SLMMs would also be 

required to assist in the maintenance of 

a fair and orderly market, as reasonably 

practicable, and maintain net capital 

consistent with federal requirements for 

market makers. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

any burden on competition that is not 

necessary or appropriate in furtherance 

of the purposes of the Act. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

No written comments were solicited 

or received with respect to the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Within 45 days of the date of 

publication of this notice in the Federal 

Register or within such longer period (i) 

as the Commission may designate up to 

90 days of such date if it finds such 

longer period to be appropriate and 

publishes its reasons for so finding or 

(ii) as to which the self-regulatory 

organization consents, the Commission 

will: 

(A) By order approve or disapprove 

the proposed rule change, or 

(B) Institute proceedings to determine 

whether the proposed rule change 

should be disapproved. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s Internet 

comment form (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rulecomments@sec.gov. Please include File 

Number SR–NYSE–2012–10 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, 

Securities and Exchange Commission, 

100 F Street NE., Washington, DC 

20549–1090. 

All submissions should refer to File 

Number SR–NYSE–2012–10. This file 

number should be included on the 

subject line if email is used. To help the 

Commission process and review your 

comments more efficiently, please use 

only one method. The Commission will 

post all comments on the Commission’s 

Internet Web site (http://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

Commission, and all written 

communications relating to the 

proposed rule change between the 

Commission and any person, other than 

those that may be withheld from the 

public in accordance with the 

provisions of 5 U.S.C. 552, will be 

available for Web site viewing and 

printing in the Commission’s Public 

Reference Room, 100 F Street NE., 

Washington, DC 20549, on official 

business days between the hours of 

10 a.m. and 3 p.m. Copies of such filing 

also will be available for inspection and 

copying at the principal office of the 

Exchange. All comments received will 

be posted without change; the 

Commission does not edit personal 

identifying information from 

submissions. You should submit only 

information that you wish to make 

publicly available. All submissions 

should refer to File Number SR–NYSE– 

2012–10 and should be submitted on or 

before May 14, 2012. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.17

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2012–9629 Filed 4–20–12; 8:45 am] 

BILLING CODE 8011–01–P 

OFFICE OF SPECIAL COUNSEL 

Privacy Act of 1974; System of 

Records 

AGENCY: U.S. Office of Special Counsel. 

ACTION: Notice of Proposed Revisions to 

Existing System of Records. 

SUMMARY: In accordance with the 

Privacy Act of 1974 (5 U.S.C. 552a), as 

amended, the U.S. Office of Special 

Counsel (OSC) is publishing notice of 

proposed revisions to its system of 

records entitled ‘‘OSC/GOVT-1—OSC 

Complaint, Litigation, and Political 

Activity Files,’’ last published in full in 

the Federal Register on July 12, 2001 

(66 FR 36611), and corrected on October 

5, 2001 (66 FR 51095). OSC proposes to 

modify this system of records to make 

necessary revisions to include: 

—Revising the title of the system to 

clarify that Disclosure Unit records 

are included; 

—Modifications to update statutory 

coverage, OSC procedures, and OSC’s 

administrative changes; 

—Revisions to some existing routine 

uses to clarify coverage and add 

necessary disclosures; 

—Adding new routine uses; and 

—Making plain language or technical 

revisions throughout. 

In accordance with 5 U.S.C. 552a(e)(4) 

and (11), the public is given a 30-day 

period in which to comment; and the 

Office of Management and Budget 

(OMB), which has oversight 

responsibility under the Privacy Act, 

requires a 40-day period in which to 

conclude its review of the system. 

Therefore, please submit any comments 

within 30 days of this notice. In 

accordance with 5 U.S.C. 552a(r), OSC 

is providing a report to OMB and the 

Congress. 

DATES: Comments should be received on 

or before May 23, 2012. The proposed 

revisions to the system of records will 

become effective without further notice 

on May 23, 2012, unless OSC 

determines otherwise based on 

comments received. 


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ADDRESSES: Written comments may be 

sent to Office of General Counsel, U.S. 

Office of Special Counsel, by mail at 

1730 M Street NW., Suite 218, 

Washington, DC 20036–4505; or by fax 

to (202) 653–5151. 

FOR FURTHER INFORMATION CONTACT: 

Kathryn Stackhouse, Associate General 

Counsel, U.S. Office of Special Counsel, 

at (202) 254–3600, or write to the 

address above. 

SUPPLEMENTARY INFORMATION: 

OSC proposes the following revisions 

to its Privacy Act system of records 

‘‘OSC/GOVT-1—OSC Complaint, 

Litigation, and Political Activity Files.’’ 

The system name has been revised 

from ‘‘OSC/GOVT-1—OSC Complaint, 

Litigation, and Political Activity Files’’ 

to ‘‘OSC/GOVT-1, OSC Complaint, 

Litigation, Political Activity, and 

Disclosure Files’’ to clarify that this 

system includes Disclosure Unit 

records. In addition, the system location 

and system manager address have been 

updated. 

The categories of individuals covered 

have been modified to reflect current 

coverage. The description of categories 

of records in the system has been 

revised to more clearly describe the 

system’s records by including specific 

examples and descriptions. 

The statement of authorities for 

maintenance of the system has been 

updated to add the Administrative 

Dispute Resolution Act of 1996 (Pub. L. 

104–320), codified at 5 U.S.C. 571–574, 

and USERRA demonstration projects 

under Sec. 204 of the Veterans Benefits 

Improvement Act of 2004 (Pub. L. 108– 

454), and Sec. 105 of the Veterans 

Benefits Act of 2010 (Pub. L. 111–175), 

codified at 38 U.S.C. 4301 note. A 

purposes section has been added. 

Revisions to the existing routine uses 

include the following: 

(1) Routine use ‘‘g’’ has been revised: 

To clarify that disclosures under this 

provision include those disclosures 

required under 5 U.S.C. 1213; and to 

clarify that disclosures may be made as 

part of resolving an allegation by 

settlement or otherwise; 

(2) Routine use ‘‘h’’ has been revised 

to add disclosures where necessary to 

obtain information relevant to an agency 

decision pertaining to the classification 

of a job; 

(3) Routine use ‘‘k’’ has been revised 

to clarify that all functions authorized 

by laws, regulations, and policies 

governing National Archives and 

Records Administration (NARA) 

operations and OSC records 

management responsibilities are 

included; 

(4) Routine use ‘‘m’’ has been revised 

to add that a disclosure may be made to 

the Department of Justice (DOJ) in order 

for OSC to request that DOJ represent an 

agency employee. In addition, routine 

uses ‘‘m’’ and ‘‘n’’ have been revised for 

clarification purposes; 

(5) Routine use ‘‘p’’ has been revised 

to clarify that disclosures under this 

provision include notifying an Office of 

Inspector General (OIG) (or comparable 

office) of the disposition of matters 

referred by such office to the OSC; 

(6) Routine use ‘‘r’’ has been revised 

to state that the reference to litigation 

under 38 U.S.C. 4324 includes ‘‘possible 

litigation,’’ and to add disclosures 

pertaining to a USERRA demonstration 

project, or to mediation by the U.S. 

Department of Defense, Employer 

Support of the Guard and Reserve. 

Nine routine uses have been added. 

They are: 

(1) Routine use ‘‘s’’ to disclose 

records, when OSC has agreed to 

represent a USERRA complainant under 

38 U.S.C. 4324 (a)(2)(A), from the 

corresponding USERRA investigative 

file to the relevant USERRA litigation 

file, and to disclose records from the 

relevant USERRA litigation file to the 

USERRA complainant; 

(2) Routine use ‘‘t’’ to disclose 

information to agency contractors, 

experts, consultants, detailees, or nonOSC employees performing or working 

on a contract, service, or other activity 

related to the system of records, when 

necessary to accomplish an agency 

function related to the system; 

(3) Routine use ‘‘u’’ to make lists and 

reports available to the public as 

required by 5 U.S.C. 1219; 

(4) Routine use ‘‘v’’ to make 

disclosures that may be needed in the 

case of a data breach, pursuant to OMB 

Memorandum M–07–16, ‘‘Safeguarding 

Against and Responding to the Breach 

of Personally Identifiable Information; 

(5) Routine use ‘‘w’’ for disclosures to 

other agencies with subject matter 

expertise when needed; 

(6) Routine use ‘‘x’’ for disclosures to 

appropriate authorities when violations 

or potential violations of law or 

regulation are indicated, and as required 

under 28 U.S.C. 535 and 5 U.S.C. 1214; 

(7) Routine use ‘‘y’’ for necessary 

disclosures to the Integrity Committee of 

the Council of the Inspectors General on 

Integrity and Efficiency; 

(8) Routine use ‘‘z’’ for disclosures to 

DOJ and the Federal Bureau of 

Investigation required for inclusion in 

the National Instant Criminal 

Background Check System (NICS), 

under the reporting requirements of the 

Brady Handgun Violence Prevention 

Act, as amended by the NICS 

Improvement Amendments Act of 2007; 

and 

(9) Routine use ‘‘aa’’ for disclosures 

that may be required when processing 

certain FOIA or Privacy Act matters. 

The description of retrievability has 

been modified to reflect actual practices. 

The description of retention periods has 

been updated to reflect OSC’s current 

record retention practice. OSC is 

revising its record retention schedule in 

consultation with NARA. Records are 

maintained for the current or draft 

proposed retention period, whichever is 

longer. 

The system manager contact 

information has been updated to reflect 

administrative changes within the 

agency. 

The notification procedure has been 

revised to conform with the revisions to 

OSC’s regulations implementing the 

Privacy Act, published October 4, 2007 

(72 FR 56617). The contact information 

has been changed to OSC’s Privacy Act 

Officer, rather than the system manager, 

to reflect current practice. The point-ofcontact for contesting records has also 

been similarly revised. Reference to 

OSC’s Privacy Act regulations at 5 CFR 

part 1830 has been included in the 

records access and contesting records 

sections for consistency. 

The description of record source 

categories has been revised to clarify 

that disclosures of information filed 

with OSC are included. 

The description of exemptions 

claimed for the system has been 

updated to reflect the revisions to OSC’s 

regulations implementing the Privacy 

Act, published October 4, 2007 (72 FR 

56617). 

Finally, several ‘‘plain language’’ edits 

have been made throughout the notice. 

The revised OSC/GOVT-1 reads: 

OSC/GOVT-1 

SYSTEM NAME: 

OSC/GOVT-1, OSC Complaint, 

Litigation, Political Activity, and 

Disclosure Files. 

SYSTEM LOCATION: 

Program offices and the Document 

Control Branch, U.S. Office of Special 

Counsel (OSC), 1730 M Street NW., 

Suite 218, Washington, DC 20036–4505, 

and records which may be located at 

other agencies. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

The principal categories of 

individuals covered by the system are 

persons filing allegations of prohibited 

personnel practices or other prohibited 

activities; persons identified as engaging 

or participating in improper political 

activity; persons filing disclosures of 

alleged wrongdoing by federal agencies; 


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persons requesting advisory opinions on 

political activity, or third party subjects 

of such advisory opinions; persons 

charged by OSC in disciplinary action 

complaints filed by OSC with the Merit 

Systems Protection Board (MSPB); 

persons on whose behalf OSC seeks 

corrective action before the MSPB; 

persons filing allegations of wrongdoing 

in Uniformed Services Employment and 

Reemployment Rights Act (USERRA) 

matters referred or transferred to OSC; 

plaintiffs seeking remedies or discovery 

against OSC in litigation or 

administrative claims; and persons 

filing requests for information or 

administrative appeals under the 

Freedom of Information Act (FOIA) or 

the Privacy Act. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The principal types of records in the 

system are complaints alleging 

prohibited personnel practices, 

improper political activity, or other 

violations of law or regulation; 

disclosures of information about alleged 

wrongdoing by federal agencies; written 

requests that result in formal advisory 

opinions on political activity; 

allegations of USERRA violations; 

litigation documents served on or filed 

by OSC in litigation; correspondence 

with persons (or their representatives) 

filing such complaints, disclosures, 

requests, or litigation; communications 

with other agencies, entities, or 

individuals referring matters to OSC for 

review or investigation; exhibits and 

other documentation received from 

filers and requesters, governmental 

entities or third parties; interview 

records, including notes, summaries, or 

transcripts; affidavits; reports or other 

summaries of investigation; factual and 

legal summaries or analyses; 

administrative determinations; referrals 

to other governmental entities for 

appropriate action; records created or 

compiled in connection with litigation 

by or against OSC, or pertinent to OSC 

operations; records relating to attempts 

to resolve matters as part of OSC’s 

Alternative Dispute Resolution (ADR) 

Program; records of or related to OSC’s 

FOIA and Privacy Act Program, 

including but not limited to, requests, 

appeals, and decisions; information 

about complaints, disclosures, requests 

and litigation maintained in OSC’s 

electronic case tracking system; and 

other correspondence and documents 

created or obtained in the performance 

of OSC functions under 5 U.S.C. 1211– 

1221, 1501–1508, and 7321–7326; 5 

U.S.C. 552 and 552a; 38 U.S.C. 4324, 

and other applicable law, regulation, or 

OSC memoranda of understanding. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 552, 552a, 571–584, 1211– 

1221, 1501–1508, and 7321–7326; 38 

U.S.C. 4324, Sec. 204 of the Veterans 

Benefits Improvement Act of 2004, 

Public Law 108–454 and Sec. 105 of the 

Veterans’ Benefits Act of 2010, Public 

Law 111–175, both codified at 38 U.S.C. 

4301 note. 

PURPOSES: 

Records are maintained to: (1) 

Document how each matter at OSC was 

handled; (2) provide a resource for 

consistency in interpretation and 

application of the law; and (3) allow for 

statistical reports and analysis of 

matters processed at OSC. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

The following routine uses permit 

OSC to: 

a. Disclose the fact that an allegation 

of prohibited personnel practices or 

other prohibited activity has been filed; 

b. Disclose information to the Office 

of Personnel Management (OPM) 

pursuant to Civil Service Rule 5.4 (5 

CFR 5.4), or obtain an advisory opinion 

concerning the application or effect of 

civil service laws, rules, regulations, or 

OPM guidelines in particular situations; 

c. 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. 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. Disclose information to an agency, 

the MSPB, OPM, or the President, 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. Disclose information to Congress in 

connection with the submission of an 

annual report on activities of the Special 

Counsel; 

g. Disclose information: 

1. 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 purpose of conducting an 

investigation; resolving an allegation 

before OSC by settlement or otherwise; 

or giving notice of the status or outcome 

of an investigation; 

2. To an agency, Office of Inspector 

General, complainant (whistleblower), 

the President, Congressional 

Committees, or the National Security 

Advisor regarding violations of law, 

rule, or regulation, or other disclosures 

under 5 U.S.C. 1213 for the purposes of 

transmitting information or reports as 

required under that statute; or in giving 

notice of the status or outcome of a 

review; 

h. 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 classification 

of a job; 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. 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. Provide information to a 

congressional office from the record of 

an individual in response to an inquiry 

from that congressional office (made at 

the written request of that individual); 

k. Furnish information to the National 

Archives and Records Administration 

(NARA) in records management 

inspections conducted under authority 

of 44 U.S.C. 2904 and 2906, or other 

functions authorized by laws, 

regulations, and policies governing 

NARA operations and OSC records 

management responsibilities; 

l. Produce summary descriptive 

statistics and analytical studies in 

support of the function for which the 

records are collected and maintained or 

for related workforce studies; 

m. Disclose records to the Department 

of Justice (DOJ) when: 

1. Any of the following entities or 

individuals is a party to litigation or has 

an interest in litigation: 

A. The OSC; 

B. Any employee of the OSC in his or 

her official capacity; 

C. Any employee of the OSC in his or 

her individual capacity whom DOJ has 

been asked or agreed to represent; or 

D. The United States, where the OSC 

determines that the OSC will be affected 

by the litigation; and 

2. When the OSC determines that use 

of the records by the DOJ is relevant and 

necessary to the litigation and that the 


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disclosure to DOJ of the information 

contained in the records is a use 

compatible with the purpose for which 

the records were collected; 

n. Disclose records in a proceeding 

before a court or adjudicative body, 

before which the OSC is authorized to 

appear, when: 

1. Any of the following entities or 

individuals is a party to, or has an 

interest in the proceedings: 

A. The OSC; 

B. Any employee of the OSC in his or 

her official capacity; 

C. Any employee of the OSC in his or 

her individual capacity whom OSC has 

agreed to represent; or 

D. The United States, where the OSC 

determines that the OSC will be affected 

by the proceedings; and 

2. When the OSC determines that use 

of the records is relevant and necessary 

to the proceedings and that the 

disclosure in such proceedings is a use 

of the information contained in the 

records that is compatible with the 

purpose for which the records were 

collected; 

o. 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. Disclose information to an 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; or in notifying an 

OIG (or comparable office) of the 

disposition of matters referred by the 

OIG (or comparable office) to the OSC; 

q. 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; 

r. 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; 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 

(USERRA); 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 possible litigation under 38 U.S.C. 

4324; or disclose information to DOL or 

any agency or person as needed to 

develop relevant information about, or 

to advise on the status or disposition of, 

matters investigated under a USERRA 

demonstration project at OSC (Sec. 204, 

Pub. L. 108–454; Sec. 105 Pub. L. 111– 

275); or disclose information to the U.S. 

Department of Defense, Employer 

Support of the Guard and Reserve 

(ESGR), for the purpose of having ESGR 

mediate USERRA complaints received 

by or referred to OSC; 

s. To disclose records, when OSC has 

agreed to represent a USERRA 

complainant under 38 U.S.C. 

4324(a)(2)(A), from the corresponding 

USERRA investigative file to the 

relevant USERRA litigation file, and 

from the relevant USERRA litigation file 

to the USERRA complainant; 

t. Disclose information to agency 

contractors, experts, consultants, 

detailees, or non-OSC employees 

performing or working on a contract, 

service, or other activity related to the 

system of records, when necessary to 

accomplish an agency function related 

to the system; 

u. Make lists and reports available to 

the public pursuant to 5 U.S.C. 1219; 

v. Disclose information to appropriate 

agencies, entities, and persons when: (1) 

OSC suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) OSC 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 

OSC 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 OSC’s efforts to 

respond to the suspected or confirmed 

compromise and prevent, minimize, or 

remedy such harm; 

w. Disclose information to 

appropriate federal entities with subject 

matter expertise to the extent necessary 

to obtain advice on any authorities, 

programs, or functions associated with 

records in this system; 

x. Disclose pertinent information to 

the appropriate federal, state, or local 

agency responsible for investigating, 

prosecuting, enforcing, or implementing 

a statute, rule, regulation, or order 

where OSC becomes aware of a 

violation or potential violation of civil 

or criminal law or regulation; and to 

OPM and the OMB pursuant to 5 U.S.C. 

1214; 

y. Disclose information to the 

Integrity Committee established under 

section 11(d) of the Inspector General 

Act of 1978, when needed because of 

receipt, review or referral to the 

Integrity Committee under section 7(b) 

of Public Law 110–409; or as needed for 

a matter referred to OSC by the Integrity 

Committee; 

z. Disclose information to the DOJ 

and/or the Federal Bureau of 

Investigation for inclusion in the 

National Instant Criminal Background 

Check System (NICS), pursuant to the 

reporting requirements of the Brady 

Handgun Violence Prevention Act, as 

amended by the NICS Improvement 

Amendments Act of 2007; and 

aa. Disclose information when 

consulting with, or referring a record to, 

another Federal entity for the purpose of 

making a decision on a request for 

information under the FOIA or the 

Privacy Act; or to the Office of 

Government Information Services 

established at NARA by the Open 

Government Act of 2007, which 

amended the FOIA, for the purpose of 

conducting mediation and otherwise 

resolving disputes under FOIA. 

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; persons on 

whose behalf OSC seeks corrective 

action; subjects identified in 

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 


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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, or the third party 

subject of such advisory opinions; (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; (f) the plaintiff in litigation 

or administrative claims against OSC; 

persons requesting discovery from OSC; 

and FOIA and Privacy Act requesters 

and appellants. 

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: 

Case file records related to allegations 

of prohibited personnel practices and 

other prohibited activities, including 

allegations of improper political 

activity, violations of USERRA, and 

other matters under OSC’s jurisdiction, 

including program litigation records and 

records of the ADR Unit and the 

Disclosure Unit, that are of 

extraordinary importance to the nation 

or OSC, are permanent records when 

approved by the Special Counsel. Case 

file records of the Disclosure Unit that 

result in either a referral to an agency 

head pursuant to 5 U.S.C. 1213, or an 

informal referral to an agency’s 

Inspector General, are retained for 10 

years after the date of closure. Other 

case file records related to such 

prohibited activities, including program 

litigation, and the Disclosure Unit are 

retained for 6 years after the date of 

closure. Case file records of Formal 

Advisory Opinions of the Hatch Act 

Unit are retained for 6 years after the 

date of closure. Litigation case file 

records relating to the legal defense of 

OSC and its interests in matters and 

claims filed against the agency in courts, 

administrative tribunals, or other 

forums, including formal and informal 

discovery requests, and other claims or 

similar proceedings that are of 

extraordinary importance to the nation 

or OSC are permanent records when 

approved by the Special Counsel. All 

other such defensive litigation and 

claim case file records are retained for 

7 years after the date of closure. 

Additionally, final signed settlement 

agreements are retained for 20 years 

after the date of closure. Personally 

identifiable information in OSC’s 

electronic case tracking system is 

retained until deleted from the database 

25 years after the corresponding case 

file is destroyed. Case file records 

related to OSC’s FOIA and Privacy Act 

Program are retained in accordance with 

NARA’s General Records Schedule 14 

for Information Services Records. 

Disposal of records is accomplished by 

shredding or by NARA-approved 

processes. Electronic information is 

disposed of by deletion. OSC is revising 

its record retention schedule in 

consultation with NARA. Pending 

NARA approval of the revised records 

schedule, records are maintained for the 

current or proposed retention, 

whichever is longer. 

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, Document Control 

Branch, U.S. Office of Special Counsel, 

1730 M Street NW., Suite 218, 

Washington, DC 20036–4505. 

NOTIFICATION PROCEDURE: 

Individuals who wish to inquire 

whether this system contains 

information about them should contact 

the Privacy Act Officer, U.S. Office of 

Special Counsel: (1) By mail at 1730 M 

Street NW., Suite 218, Washington, DC 

20036–4505; (2) by telephone at 202– 

254–3600; or (3) by fax: at 202–653– 

5161. To assist in the process of locating 

and identifying records, individuals 

should furnish the following: Name and 

home address; business title and 

address; any other known identifying 

information such as an agency file 

number or identification number; a 

description of the circumstances under 

which the records were compiled; and 

any other information deemed necessary 

by OSC to properly process the request. 

RECORD ACCESS PROCEDURES: 

Same as notification procedure, 

above. Requesters should also 

reasonably specify the record contents 

being sought. Rules about access are in 

5 CFR part 1830. 

CONTESTING RECORD PROCEDURES: 

Individuals who wish to contest 

records about them should contact 

OSC’s Privacy Act Officer, 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. See OSC Privacy Act 

regulations at 5 CFR part 1830. 

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, disclosures of 

information, 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: 

OSC will claim exemptions from the 

provisions of the Privacy Act at 

subsections (c)(3) and (d) as permitted 

by subsection (k) for records subject to 

the Act that fall within the category of 

investigatory material described in 

paragraphs (2) and (5), and testing or 

examination material described in 

paragraph (6) of that subsection. The 

exemptions for investigatory material 

are necessary to prevent frustration of 

inquiries into allegations of prohibited 

personnel practices, unlawful political 

activity, whistleblower disclosures, 

USERRA violations, and other matters 

under OSC’s jurisdiction, and to protect 

identities of confidential sources of 

information, including in background 

investigations of OSC employees, 

contractors, and other individuals 

conducted by or for OSC. The 

exemption for testing or examination 

material is necessary to prevent the 

disclosure of information which would 

potentially give an individual an unfair 

competitive advantage or diminish the 

utility of established examination 

procedures. OSC also 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. OSC may also 

refuse access to any information 

compiled in reasonable anticipation of a 

civil action or proceeding. 

Dated: April 13, 2012. 

Mark Cohen, 

Deputy Special Counsel. 

[FR Doc. 2012–9605 Filed 4–20–12; 8:45 am] 

BILLING CODE 7405–01–P 


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