[Federal Register Volume 79, Number 58 (Wednesday, March 26, 2014)]
[Notices]
[Pages 16834-16838]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-06593]


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OFFICE OF PERSONNEL MANAGEMENT


Privacy Act of 1974: Update and Amend System of Records

AGENCY: U.S. Office of Personnel Management (OPM).

ACTION: Update and amend OPM/GOVT-5, Recruiting, Examining, and 
Placement Records.

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SUMMARY: OPM proposes to update and amend OPM/GOVT-5, Recruiting, 
Examining, and Placement Records contained in its inventory of record 
systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended. 
This action is necessary to meet the requirements of the Privacy Act to

[[Page 16835]]

publish in the Federal Register notice of the existence and character, 
as well as any new use or intended new use of records maintained by the 
agency. 5 U.S.C. 552a(e)(4) and (11).

DATES: These changes will become effective without further notice on 
May 5, 2014, unless we receive comments that result in a contrary 
determination.

ADDRESSES: Send written comments to the Director, Integrated Hiring 
Solutions, Office of the Chief Information Officer, U.S. Office of 
Personnel Management, 1900 E Street NW., Room 44690, Washington, DC 
20415.

FOR FURTHER INFORMATION CONTACT: Paul Craven, Director, Integrated 
Hiring Solutions, [email protected].

SUPPLEMENTARY INFORMATION: The Office of Personnel Management's (OPM) 
system of record notices subject to the Privacy Act of 1974 (5 U.S.C. 
552a), as amended, have been published in the Federal Register. The 
proposed changes consist of the deletion of an OPM office from the 
System Locations, and the designation of a replacement for the existing 
System Manager. Both changes reflect the results of an OPM re-
organization that eliminated the position previously named as System 
Manager and the office previously named in the Locations listing.

U.S. Office of Personnel Management.
Katherine Archuleta,
Director.
OPM/GOVT-5

System Name:
    Recruiting, Examining, and Placement Records.

System Location:
    Office of Personnel Management, 1900 E Street NW., Washington, DC 
20415, OPM regional and area offices; and personnel or other designated 
offices of Federal agencies that are authorized to make appointments 
and to act for the Office by delegated authority.

Categories of Individuals Covered by the System:
    a. Persons who have applied to the Office or agencies for Federal 
employment and current and former Federal employees submitting 
applications for other positions in the Federal service.
    b. Applicants for Federal employment believed or found to be 
unsuitable for employment on medical grounds.

Categories of Records in the System:
    In general, all records in this system contain identifying 
information including name, date of birth, Social Security Number, and 
home address. These records pertain to assembled and unassembled 
examining procedures and contain information on both competitive 
examinations and on certain noncompetitive actions, such as 
determinations of time-in-grade restriction waivers, waiver of 
qualification requirement determinations, and variations in regulatory 
requirements in individual cases.
    This system includes such records as:
    a. Applications for employment that contain information on work and 
education, military service, convictions for offenses against the law, 
military service, and indications of specialized training or receipt of 
awards or honors. These records may also include copies of 
correspondence between the applicant and the Office or agency.
    b. Results of written exams and indications of how information in 
the application was rated. These records also contain information on 
the ranking of an applicant, his or her placement on a list of 
eligibles, what certificates applicant's names appeared on, an agency's 
request for Office approval of the agency's objection to an eligible's 
qualifications and the Office's decision in the matter, an agency's 
request for Office approval for the agency to pass over an eligible and 
the Office's decision in the matter, and an agency's decision to 
object/pass over an eligible when the agency has authority to make such 
decisions under agreement with the Office.
    c. Records regarding the Office's final decision on an agency's 
decision to object/pass over an eligible for suitability or medical 
reasons or when the objection/pass over decision applies to a 
compensable preference eligible with 30 percent or more disability. 
(Does not include a rating of ineligibility for employment because of a 
confirmed positive test result under Executive Order 12564.)
    d. Responses to and results of approved personality or similar 
tests administered by the Office or agency.
    e. Records relating to rating appeals filed with the Office or 
agency.
    f. Registration sheets, control cards, and related documents 
regarding Federal employees requesting placement assistance in view of 
pending or realized displacement because of reduction in force, 
transfer or discontinuance of function, or reorganization.
    g. Records concerning non-competitive action cases referred to the 
Office for decision. These files include such records as waiver of 
time-in-grade requirements, decisions on superior qualification 
appointments, temporary appointments outside a register, and employee 
status determinations. Authority for making decisions on many of these 
actions has also been delegated to agencies. The records retained by 
the Office on such actions and copies of such files retained by the 
agency submitting the request to the Office, along with records that 
agencies maintain as a result of the Office's delegations of 
authorities, are considered part of this system of records.
    h. Records retained to support Schedule A appointments of severely 
physically handicapped individuals, retained both by the Office and 
agencies acting under the Office delegated authorities, are part of 
this system.
    i. Agency applicant supply file systems (when the agency retains 
applications, resumes, and other related records for hard-to-fill or 
unique positions, for future consideration), along with any pre-
employment vouchers obtained in connection with an agency's processing 
of an application, are included in this system.
    j. Records derived from the Office-developed or agency-developed 
assessment center exercises.
    k. Case files related to medical suitability determinations and 
appeals.
    l. Records related to an applicant's examination for use of illegal 
drugs under provisions of Executive Order 12564. Such records may be 
retained by the agency (e.g., evidence of confirmed positive test 
results) or by a contractor laboratory (e.g., the record of the testing 
of an applicant, whether negative, or confirmed or unconfirmed positive 
test result).

Note 1:
    Only Routine Use `p' identified for this system of records is 
applicable to records relating to drug testing under Executive Order 
12564. Further, such records shall be disclosed only to a very limited 
number of officials within the agency, generally only to the agency 
Medical Review Official (MRO), the administrator of the agency Employee 
Assistance Program, and any supervisory or management official within 
the employee's agency having authority to take the adverse personnel 
action against the employee.

Note 2:
    OPM does not intend that records created by agencies in connection 
with the agency's Merit Promotion Plan program be included in the term 
`Applicant Supply File' as used within this notice. It is OPM's 
position that

[[Page 16836]]

Merit Promotion Plan records are not a system of records within the 
meaning of the Privacy Act as such records are usually filed by a 
vacancy announcement number or some other key that is not a unique 
personnel identifier. Agencies may choose to consider such records as 
within the meaning of a system of records as used in the Privacy Act, 
but if they do so, they are solely responsible for implementing Privacy 
Act requirements, including establishment and notice of a system of 
records pertaining to such records.

Note 3:
    To the extent that an agency utilizes an automated medium in 
connection with maintenance of records in this system, the automated 
versions of these records are considered covered by this system of 
records.

Authority for Maintenance of the System:
    5 U.S.C. 1302, 3109, 3301, 3302, 3304, 3305, 3306, 3307, 309, 3313, 
3317, 3318, 3319, 3326, 4103, 4723, 5532, and 5533, and Executive Order 
9397.

Purpose(s):
    The records are used in considering individuals who have applied 
for positions in the Federal service by making determinations of 
qualifications including medical qualifications, for positions applied 
for, and to rate and rank applicants applying for the same or similar 
positions. They are also used to refer candidates to Federal agencies 
for employment consideration, including appointment, transfer, 
reinstatement, reassignment, or promotion. Records derived from the 
Office-developed or agency-developed assessment center exercises may be 
used to determine training needs of participants. These records may 
also be used to locate individuals for personnel research.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purpose of Such Uses:
Note 4:
    With the exception of Routine Use `p,' none of the Other Routine 
Uses identified for this system of records are applicable to records 
relating to drug testing under Executive Order 12564. Further, such 
records shall be disclosed only to a very limited number of officials 
within that agency, generally only to the agency Medical Review Officer 
(MRO), the administrator of the agency's Employee Assistance Program, 
and the management official empowered to recommend or take adverse 
action affecting the individual.
    a. To refer applicants, including current and former Federal 
employees to Federal agencies for consideration for employment, 
transfer, reassignment, reinstatement, or promotion.
    b. With the permission of the applicant, to refer applicants to 
State and local governments, congressional offices, international 
organizations, and other public offices for employment consideration.
    c. 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 disclosing agency becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    d. 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 purposes of the request, and to 
identify the type of information requested), when necessary to obtain 
information relevant to an agency decision concerning hiring or 
retaining an employee, issuing a security clearance, conducting a 
security or suitability investigation of an individual, classifying 
positions, letting a contract, or issuing a license, grant or other 
benefit.
    e. To disclose information to a Federal agency, in response to its 
request, in connection with hiring or retaining an employee, issuing a 
security clearance, conducting a security or suitability investigation 
of an individual, classifying positions, letting a contract, or issuing 
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 in the matter.
    f. To disclose information to the Office of Management and Budget 
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.
    g. 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.
    h. 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 a judicial or administrative proceeding.
    i. To disclose information to the Department of Justice, or in a 
proceeding before a court, adjudicative body, or other administrative 
body before which the agency is authorized to appear, when:
    1. The agency, or any component thereof; or
    2. Any employee of the agency in his or her official capacity; or
    3. Any employee of the agency in his or her individual capacity 
where the Department of Justice or the agency has agreed to represent 
the employee; or
    4. The United States, when the agency determines that litigation is 
likely to affect the agency 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 the agency is deemed by the 
agency to be relevant and necessary to the litigation, provided, 
however, that in each case it has been determined that the disclosure 
is compatible with the purpose for which the records were collected.
    j. By the National Archives and Records Administration in records 
management inspections and its role as Archivist.
    k. By the agency maintaining the records or by the Office to locate 
individuals for personnel research or survey response or in producing 
summary descriptive statistics and analytical studies in support of the 
function for which the records are collected and maintained, or for 
related workforce studies. While published statistics and studies do 
not contain individual identifiers, in some instances the selection of 
elements of data included in the study may be structured in such a way 
as to make the data individually identifiable by inference.
    l. To disclose information to the Merit Systems Protection Board or 
the Office of the Special Counsel in connection with appeals, special 
studies of the civil service and other merit systems, review of Office 
rules and rules and regulations, investigations of alleged or possible 
prohibited personnel practices, and such other functions; e.g., as 
prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.
    m. To disclose information to the Equal Employment Opportunity 
Commission when requested in connection with investigations into 
alleged or possible discrimination practices in the Federal sector, 
examination of Federal affirmative employment programs, compliance by 
Federal agencies with the Uniform Guidelines or Employee Selection 
Procedures, or other functions vested in the Commission.
    n. 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

[[Page 16837]]

matters before the Federal Service Impasses Panel.
    o. To disclose, in response to a request for discovery or for an 
appearance of a witness, information that is relevant to the subject 
matter involved in a pending judicial or administrative proceeding.
    p. To disclose the results of a drug test of a Federal employee 
pursuant to an order of a court of competent jurisdiction where 
required by the United States Government to defend against any 
challenge against any adverse personnel action.
    q. To disclose information to Federal, State, local, and 
professional licensing boards, Boards of Medical Examiners, or to the 
Federation of State Medical Boards or a similar non-government entity 
which maintains records concerning the issuance, retention, or 
revocation of licenses, certifications, or registration necessary to 
practice an occupation, profession, or specialty, in order to obtain 
information relevant to an agency decision concerning the hiring, 
retention, or termination of an employee or to inform a Federal agency 
or licensing board or the appropriate non-government entity about the 
health care practice of a terminated, resigned, or retired health care 
employee whose professional health care activity so significantly 
failed to conform to generally accepted standards of professional 
medical practice as to raise reasonable concern for the health and 
safety of patients in the private sector or from another Federal 
agency.
    r. To disclose information to contractors, grantees, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, or job for the Federal Government.

Policies and Practices for Storing, Retrieving, Safeguarding, Retaining 
and Disposing of Records in the System:
Storage:
    Records are maintained on magnetic tapes, disk, punched cards, 
microfiche, cards, lists, and forms.

Retrievability:
    Records are retrieved by the name, date of birth, social security 
number, and/or identification number assigned to the individual on whom 
they are maintained.

Safeguards:
    Records are maintained in a secured area or automated media with 
access limited to authorized personnel whose duties require access.

Retention and Disposal:
    Records in this system are retained for varying lengths of time, 
ranging from a few months to 5 years, e.g., applicant records that are 
part of medical determination case files or medical suitability appeal 
files are retained for 3 years from completion of action on the case. 
Most records are retained for a period of 1 to 2 years. Some records, 
such as individual applications, become part of the person's permanent 
official records when hired, while some records (e.g., non-competitive 
action case files), are retained for 5 years. Some records are 
destroyed by shredding or burning while magnetic tapes or disks are 
erased.

System Manager(s) and Address:
    Director, Integrated Hiring Solutions, Office of the Chief 
Information Officer, U.S. Office of Personnel Management, 1900 E Street 
NW., Room 44690, Washington, DC 20415.

Notification Procedure:
    Individuals wishing to inquire whether this system of records 
contains information about them should contact the agency or OPM where 
application was made or examination was taken. Individuals must provide 
the following information for their records to be located and 
identified:
    a. Name.
    b. Date of birth.
    c. Social Security Number.
    d. Identification number (if known).
    e. Approximate date of record.
    f. Title of examination or announcement with which concerned.
    g. Geographic area in which consideration was requested.

Record Access Procedure:
    Specific materials in this system have been exempted from Privacy 
Act provisions at 5 U.S.C. (c)(3) and (d), regarding access to records.
    The section of this notice titled ``Systems Exempted from Certain 
Provisions of the Act'' indicates the kind of material exempted and the 
reasons for exempting them from access. Individuals wishing to request 
access to their non-exempt records should contact the agency or the OPM 
where application was made or examination was taken. Individuals must 
provide the following information for their records to be located and 
identified:
    a. Name.
    b. Date of birth.
    c. Social Security Number.
    d. Identification number (if known).
    e. Approximate date of record.
    f. Title of examination or announcement with which concerned.
    g. Geographic area in which consideration was requested.
    Individuals requesting access must also comply with the OPM's 
Privacy Act regulations on verification of identity and access to 
records (5 CFR part 297).

Contesting Record Procedure:
    Specific materials in this system have been exempted from Privacy 
Act provisions at 5 U.S.C. 552a(d), regarding amendment of records. 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. An individual may contact the agency 
or the Office where the application is filed at any time to update 
qualifications, education, experience, or other data maintained in the 
system.
    Such regular administrative updating of records should not be 
requested under the provisions of the Privacy Act. However, individuals 
wishing to request amendment of other records under the provisions of 
the Privacy Act should contact the agency or the OPM where the 
application was made or the examination was taken. Individuals must 
provide the following information for their records to be located and 
identified:
    a. Name.
    b. Date of birth.
    c. Social Security Number.
    d. Identification number (if known).
    e. Approximate date of record.
    f. Title of examination or announcement with which concerned.
    g. Geographic area in which consideration was requested.
    Individuals requesting amendment must also comply with the OPM's 
Privacy Act regulations on verification of identity and amendment of 
records (5 CFR part 297).

Note 5:
    In responding to an inquiry or a request for access or amendment, 
resource specialists may contact the OPM's area office that provides 
examining and rating assistance for help in processing the request.

Record Source Categories:
    Information in this system of records comes from the individual to 
whom it applies or is derived from information the individual supplied, 
reports from medical personnel on physical qualifications, results of 
examinations that are made known to applicants, agencies, and OPM 
records, and vouchers supplied by references or other sources that the 
applicant lists or that are developed.

Systems Exempted from Certain Provisions of the Act:
    This system contains investigative materials that are used solely 
to

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determine the appropriateness of a request for approval of an objection 
to an eligible's qualifications for Federal civilian employment or 
vouchers received during the processing of an application. The Privacy 
Act, at 5 U.S.C. 552a(k)(5), permits an agency to exempt such 
investigative material from certain provisions of the Act, to the 
extent that release of the material to the individual whom the 
information is about would--
    a. Reveal the identity of a source who furnished information to the 
Government under an express promise (granted on or after September 27, 
1975) that the identity of the source would be held in confidence; or
    b. Reveal the identity of a source who, 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.
    This system contains testing and examination materials used solely 
to determine individual qualifications for appointment or promotion in 
the Federal service. The Privacy Act, at 5 U.S.C. 552a(k)(6), permits 
an agency to exempt all such testing or examination material and 
information from certain provisions of the Act, when disclosure of the 
material would compromise the objectivity or fairness of the testing or 
examination process. OPM has claimed exemptions from the requirements 
of 5 U.S.C. 552a(d), which relate to access to and amendment of 
records.
    The specific material exempted include, but are not limited to, the 
following
    a. Answer keys.
    b. Assessment center exercises.
    c. Assessment center exercise reports.
    d. Assessor guidance material.
    e. Assessment center observation reports.
    f. Assessment center summary reports.
    g. Other applicant appraisal methods, such as performance tests, 
work samples and simulations, miniature training and evaluation 
exercises, structured interviews, and their associated evaluation 
guides and reports.
    h. Item analyses and similar data that contain test keys and item 
response data.
    i. Ratings given for validating examinations.
    j. Rating schedules, including crediting plans and scoring formulas 
for other selection procedures.
    k. Rating sheets.
    l. Test booklets, including the written instructions for their 
preparation and automated versions of tests and related selection 
materials and their complete documentation.
    m. Test item files.
    n. Test answer sheets.

[FR Doc. 2014-06593 Filed 3-25-14; 8:45 am]
BILLING CODE 6325-39-P