Federal Register / Vol. 82, No. 207 / Friday, October 27, 2017 / Notices 49811 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Paper records are maintained in file 

folders stored within locking filing 

cabinets or locked rooms in secured 

facilities with controlled access. 

Electronic records are stored in 

computers, removable drives, storage 

devices, electronic databases, and other 

electronic media under the control of 

the FLRA, and in other Federal agency 

systems pursuant to interagency sharing 

agreements. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records may be retrieved by name, 

SSN, ECI, birth date, organizational 

code, or other assigned person. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

Records are maintained in accordance 

with General Records Schedule (GRS) 

1.0 ‘‘Finance’’, and GRS 2.0 ‘‘Human 

Resources,’’ which are approved by the 

National Archives and Records 

Administration. The system generally 

maintains temporary records, and 

retention periods vary based on the type 

of record under each item and the needs 

of the agency. Paper records are 

disposed of by shredding, and records 

maintained on electronic media are 

degaussed or erased in accordance with 

the applicable records retention 

schedule and NARA guidelines. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

The records maintained in this system 

are safeguarded in accordance with 

FLRA security and privacy rules and 

policies. During normal hours of 

operations, paper records are 

maintained in locked files cabinets 

under the control of authorized 

personnel. Information technology 

systems follow the National Institute of 

Standards and Technology privacy and 

security standards developed to comply 

with the Privacy Act of 1974 as 

amended, 5 U.S.C. 552a; the Paperwork 

Reduction Act of 1995, Public Law 104– 

13; the Federal Information Security 

Modernization Act of 2014, Public Law 

113–283, as codified at 44 U.S.C. 3551 

et seq.; and the Federal Information 

Processing Standard 199, Standards for 

Security Categorization of Federal 

Information and Information Systems. 

Computer servers on which electronic 

records are stored are located in secured 

FLRA and DOI facilities with physical, 

technical and administrative levels of 

security to prevent unauthorized access 

to FLRA and DOI network and 

information assets. Security controls 

include encryption, firewalls, audit logs, 

and network system security 

monitoring. Electronic data is protected 

through user identification, passwords, 

database permissions and software 

controls. Access to records in the system 

is limited to authorized personnel who 

have a need to access the records in the 

performance of their official duties, and 

each person’s access is restricted to only 

the functions and data necessary to 

perform that person’s job 

responsibilities. System administrators 

and authorized users for both the FLRA 

and DOI are trained and required to 

follow established internal security 

protocols and must complete all 

security, privacy, and records 

management training, and sign Rules of 

Behavior for each agency. 

RECORD ACCESS PROCEDURES: 

Individuals wishing access to records 

about them should contact the System 

Manager. Individuals must furnish the 

following information for their records 

to be located and identified: 

a. Full name. 

b. Date of birth. 

Individuals requesting access must 

comply with the FLRA’s Privacy Act 

regulations regarding access to records 

(5 CFR 2412.5). 

CONTESTING RECORD PROCEDURES: 

Individuals wishing to request 

amendment of records about them 

should contact the System Manager. 

Individuals must furnish the following 

information for their records to be 

located and identified: 

a. Full name. 

b. Date of birth. 

Individuals requesting amendment must 

follow the FLRA’s Privacy Act 

regulations regarding amendment of 

records (5 CFR 2412.10). 

NOTIFICATION PROCEDURES: 

Individuals wishing to determine 

whether this system of records contains 

information about them should contact 

the System Manager. Individuals must 

furnish the following for their records to 

be located and identified: 

a. Full name. 

b. Date of birth. 

Individuals making inquiries must 

comply with the FLRA’s Privacy Act 

regulations regarding the existence of 

records (5 CFR 2412.4). 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This system of records was last 

published at 45 FR 85316 (Dec. 24, 

1980); 63 FR 1110 (Jan. 8, 1998). 

Office of Inspector General Investigative 

Files, FLRA/OIG–1. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Office of Inspector General (OIG), 

Federal Labor Relations Authority, 1400 

K Street, NW., Washington, DC 20424. 

SYSTEM MANAGER: 

Inspector General, Federal Labor 

Relations Authority, 1400 K Street NW., 

Washington, DC 20424. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The Inspector General Act of 1978, as 

amended, 5 U.S.C. Appendix 3. 

PURPOSE OF THE SYSTEM: 

These records are maintained to fulfill 

the purposes of the Inspector General 

Act of 1978, as amended and to fulfill 

responsibilities assigned by that Act 

concerning investigative activities. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Subjects of OIG investigations relating 

to the programs and operations of the 

FLRA. Subject individuals include, but 

are not limited to, current and former 

employees; contractors, subcontractors, 

their agents or employees; and others 

whose actions affect the FLRA, its 

programs, and operations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Correspondence relating to the 

investigation; internal staff memoranda; 

copies of subpoenas issued during the 

investigation, affidavits, statements from 

witnesses, transcripts of testimony taken 

in the investigation and accompanying 

exhibits; documents, records, or copies 

obtained during the investigation; 

interview notes, investigative notes, 

staff working papers, draft materials, 

and other documents and records 

relating to the investigation; opening 

reports, progress reports, and closing 

reports; and other investigatory 

information or data relating to alleged or 

suspected criminal, civil, or 

administrative violations or similar 

wrongdoing by subject individuals. 

RECORD SOURCE CATEGORIES: 

Employees or other individuals on 

whom the record is maintained, nontarget witnesses, FLRA and non-FLRA 

records. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

In addition to the disclosure generally 

permitted under 5 U.S.C. 552a(b) of the 

Privacy Act, these records or 

information in these records may be 

used pursuant to 5 U.S.C. 552a(b)(3): 


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49812 Federal Register / Vol. 82, No. 207 / Friday, October 27, 2017 / Notices 

a. To other agencies, offices, 

establishments, and authorities, whether 

Federal, State, local, foreign, or selfregulatory (including, but not limited to, 

organizations such as professional 

associations or licensing boards), 

authorized or with the responsibility to 

investigate, litigate, prosecute, enforce, 

or implement a statute, rule, regulation, 

or order, where the record or 

information, by itself or in connection 

with other records or information, 

(1) Indicates a violation or potential 

violation of law, whether criminal, civil, 

administrative, or regulatory in nature, 

and whether arising by general statute 

or particular program statute, or by 

regulation, rule or order issued pursuant 

thereto, or; 

(2) Indicates a violation or potential 

violation of a professional, licensing, or 

similar regulation, rule or order, or 

otherwise reflects on the qualifications 

or fitness of an individual licensed or 

seeking to be licensed. 

b. To any source, private or 

governmental, to the extent necessary to 

secure from such source information 

relevant to and sought in furtherance of 

a legitimate investigation or audit of the 

OIG. 

c. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branches of 

Federal, State, Tribal, or local 

government where disclosure is 

requested in connection with the award 

of a contract or other determination 

relating to a government procurement, 

or the issuance of a license, grant, or 

other benefit by the requesting agency, 

to the extent that the record is relevant 

and necessary to the requesting agency’s 

decisions on the matter, including, but 

not limited to, disclosure to any Federal 

agency responsible for considering 

suspension or debarment actions where 

such record would be germane to a 

determination of the propriety or 

necessity of such action, or any Federal 

contract board of appeals in cases 

relating to an agency procurement. 

d. To the Office of Personnel 

Management, the Office of Government 

Ethics, the Merit Systems Protection 

Board, the Office of Special Counsel, or 

the Equal Employment Opportunity 

Commission, of records or portions 

thereof relevant and necessary to 

carrying out their authorized functions, 

such as, but not limited to, rendering 

advice requested by the OIG, 

investigations of alleged or prohibited 

personnel practices (including 

discriminatory practices), appeals before 

official agencies, offices, panels, boards, 

or courts, and authorized studies or 

reviews of civil service or merit systems 

or affirmative action programs. 

e. To independent auditors or other 

private firms with which the OIG has 

contracted to carry out an independent 

audit or investigation, or to analyze, 

collate, aggregate or otherwise refine 

data collected in the system of records, 

subject to the requirement that such 

contractors shall maintain Privacy Act 

safeguards with respect to such records. 

f. To the Department of Justice and for 

disclosure by the Department of Justice 

or the FLRA, 

(1) To the extent relevant and 

necessary in connection with litigation 

in proceedings before a court or other 

adjudicative body, where the 

government is a party to or has an 

interest in the litigation, and the 

litigation is likely to affect the agency or 

any component thereof, including 

where the agency, or an agency 

component, or an agency official or 

employee in his or her official capacity, 

or an individual agency official or 

employee whom the Department of 

Justice has agreed to represent, is a 

defendant; or 

(2) For purposes of obtaining advice 

concerning the accessibility of a record 

or information under the Privacy Act or 

the Freedom of Information Act. 

g. To a congressional office from the 

record of a subject individual in 

response to an inquiry from the 

congressional office made at the request 

of that individual, but only to the extent 

that the record would be legally 

accessible to that individual. 

h. To any direct recipient of Federal 

funds, such as a contractor, where such 

record reflects serious inadequacies 

with a recipient’s personnel and 

disclosure of the record is for purposes 

of permitting a recipient to take 

corrective action beneficial to the 

government. 

i. To debt-collection contractors for 

the purpose of collecting debts owed to 

the government as authorized by the 

Debt Collection Act of 1982, 31 U.S.C. 

3718. 

j. To appropriate agencies, entities, 

and persons when (1) the FLRA 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) the FLRA has determined that as a 

result of the suspected or confirmed 

breach there is a risk of harm to 

individuals, the FLRA (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 the FLRA’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 the FLRA 

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 security, resulting from a 

suspected or confirmed breach. 

l. To contractors, grantees, experts, 

consultants, students, and others 

performing or working on a contract, 

service, grant, cooperative agreement, or 

other assignment for the federal 

government, when necessary to 

accomplish an agency function related 

to this system of records. 

m. To such recipients and under such 

circumstances and procedures as are 

mandated by federal statute or treaty. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

These records may be in either paper 

or electronic form, consisting of files, 

audio or video recordings, disks, flash 

drives, or other electronic storage 

media. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

The records are retrieved by the name 

of the subject of the investigation or by 

a unique control number assigned to 

each investigation. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

Under approved FLRA records 

schedule N1–480–01–1: 

OIG investigative files meeting one or 

more of the following criteria are kept 

indefinitely: (1) Cases involving senior 

agency personnel such as the Chairman; 

the Members; the Chief Counsels; the 

General Counsel; the Chief 

Administrative Law Judge; the Solicitor; 

the Executive Director; the Executive 

Director of the Federal Service Impasses 

Panel; or other senior officials who are 

either appointed officers or career 

employees; (2) cases resulting in 

extensive media coverage, either 

nationally or regionally; (3) cases 

resulting in further investigation by 

Congress; (4) cases involving substantial 

amounts of money (over $5,000); or (5) 

cases resulting in substantive changes in 

FLRA policies and procedures. 

All other OIG investigative files are 

destroyed 10 years after the end of the 

fiscal year in which the case closes. 


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Federal Register / Vol. 82, No. 207 / Friday, October 27, 2017 / Notices 49813 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are maintained in lockable 

metal file cabinets in lockable rooms 

and in password-protected automated 

systems. Access is restricted to 

individuals whose duties require access 

to the records. File cabinets and rooms 

are locked during non-duty hours. 

RECORD ACCESS PROCEDURES: 

Individuals wishing to request access 

to records about them should contact 

the System Manager. Individuals must 

furnish their full name in order for their 

records to be located and identified. 

Individuals wishing to request access to 

records must comply with the FLRA’s 

Privacy Act regulations regarding access 

to records (5 CFR 2412.5). 

CONTESTING RECORD PROCEDURES: 

Individuals wishing to request an 

amendment to their records should 

contact the System Manager. 

Individuals must furnish their full name 

in order for their records to be located 

and identified. Individuals requesting 

amendment must also follow the 

FLRA’s Privacy Act regulations 

regarding amendments to records (5 

CFR 2412.10). 

NOTIFICATION PROCEDURES: 

Individuals inquiring whether this 

system contains information about them 

should contact the System Manager. 

Individuals must furnish their full name 

in order for their records to be located 

and identified. Individuals making 

inquiries must comply with the FLRA’s 

Privacy Act regulations regarding 

existence of records (5 CFR 2412.4). 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Pursuant to 5 U.S.C. 552a(j)(2), 

records in this system are exempt from 

the provisions of 5 U.S.C. 552a, except 

subsections (b), (c)(1) and (2), (e)(4)(A) 

through (F), (e)(6), (7), (9), (10), and (11), 

and (i), to the extent the system of 

records relates in any way to the 

enforcement of criminal laws. 

Pursuant to 5 U.S.C. 552a(k)(2), the 

system is exempt from 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and 

(I), and (f), to the extent the system of 

records consists of investigatory 

material compiled for law enforcement 

purposes, other than material within the 

scope of the exemption at 5 U.S.C. 

552a(j)(2). 

These exemptions are set forth in the 

Authority’s Privacy Act regulations, 5 

CFR part 2412, as amended; see 5 CFR 

2412.16. 

HISTORY: 

This system of records was last 

published at 56 FR 33291 (July 19, 

1991). 

Notice of New System of Records 

Freedom of Information Act Request and 

Appeal Files, FLRA/Internal-17. 

SECURITY CLASSIFICATION: 

Not applicable. 

SYSTEM LOCATION: 

FLRA Headquarters and Regional 

Offices and the Environmental 

Protection Agency’s National Computer 

Center located at 109 T.W. Alexander 

Drive, Durham, NC 27709. 

SYSTEM MANAGER: 

Chief FOIA Officer, Office of the 

Solicitor, Federal Labor Relations 

Authority, 1400 K St. NW., Washington, 

DC 20424. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Freedom of Information Act, 5 U.S.C. 

552. 

PURPOSE OF THE SYSTEM: 

To provide the public with a single 

location to submit and track FOIA 

requests and appeals filed with the 

FLRA, to manage internal FOIA 

administration activities, and to collect 

data for annual reporting requirements 

to the Department of Justice. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

All persons requesting information or 

filing appeals under the Freedom of 

Information Act. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

A copy of each Freedom of 

Information Act (FOIA) request received 

by the FLRA and a copy of all 

correspondence related to the request, 

including the requestors’ names, 

mailing addresses, email addresses, 

phone numbers, Social Security 

Numbers, dates of birth, any aliases 

used by the requesters, alien numbers 

assigned to travelers crossing national 

borders, requesters’ parents’ names, user 

names and passwords for registered 

users, FOIA tracking numbers, dates 

requests are submitted and received, 

related appeals, and agency responses. 

Records also include communications 

with requesters, internal FOIA 

administrative documents (e.g., billing 

invoices) and responsive records. 

RECORD SOURCE CATEGORIES: 

Information in this system of records 

is provided by FLRA employees and 

FOIA requestors. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

PURPOSES OF SUCH USES: 

In addition to the disclosure generally 

permitted under 5 U.S.C. 552a(b) of the 

Privacy Act, these records or 

information in these records may be 

used pursuant to 5 U.S.C. 552a(b)(3): 

a. To disclose pertinent information to 

the appropriate Federal, State, or local 

agency responsible for investigating, 

prosecuting, enforcing, or implementing 

a statute, rule, regulation, or order, 

when the FLRA becomes aware of an 

indication of a violation or potential 

violation of civil or criminal law or 

regulation. 

b. 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. 

c. In an appropriate proceeding before 

a court, grand jury, or administrative or 

adjudicative body, when the FLRA 

determines that the records are arguably 

relevant to the proceeding, or in an 

appropriate proceeding before an 

administrative or adjudicative body 

when the adjudicator determines the 

records to be relevant to the proceeding. 

d. To a Federal, State, local, or foreign 

agency or entity for the purpose of 

consulting with that agency or entity to 

enable the FLRA to make a 

determination as to the propriety of 

access to or correction of information, or 

for the purpose of verifying the identity 

of an individual or the accuracy of 

information submitted by an individual 

who has requested access to or 

amendment of information. 

e. To a Federal agency or entity that 

furnished the record or information for 

the purpose of permitting that agency or 

entity to make a decision as to access to 

or correction of the record or 

information, or to a federal agency or 

entity for purposes of providing 

guidance or advice regarding the 

handling of particular requests. 

f. To a submitter or subject of a record 

or information in order to obtain 

assistance to the FLRA in making a 

determination as to access or 

amendment. 

g. To a Member of Congress or staff 

acting upon the Member’s behalf when 

the Member or staff requests the 

information on behalf of, and at the 

request of, the individual who is the 

subject of the record. 

h. To disclose information to the 

National Archives and Records 

Administration, the Office of 

Government Information Services 

(OGIS), to the extent necessary to fulfill 

its responsibilities in 5 U.S.C. 552(h), to 

review administrative agency policies, 


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