[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
PERSONNEL MANAGEMENT OFFICE
OPM Systems of Records
OPM/Internal-2 Negotiated Grievance Procedure Records.
OPM/Internal-3 Security Officer Control Files.
OPM/Internal-4 Health Program Records.
OPM/Internal-5 Pay, Leave, and Travel Records.
OPM/Internal-6 Appeal and Administrative Review Records.
OPM/Internal-7 Complaints and Inquiries Records.
OPM/Internal-8 Employee Counseling Services Program Records.
OPM/Internal-9 Employee Locator Card Files.
OPM/Internal-10 Motor Vehicle Operator and Accident Report
Records.
OPM/Internal-11 Administrative Grievance Records.
OPM/Internal-12 Telephone Call Detail Records.
OPM/Internal-13 Parking Program Records.
OPM/Internal-14 Photo Identification and Visitor Access Control
Records
OPM/Internal-15 OPM Child Care Tuition Assistance Records.
OPM/Internal-16 Adjudications Officer Control Files.
OPM/Central-1 Civil Service Retirement and Insurance Records.
OPM/Central-2 Complaints and Inquiries Records.
OPM/Central-3 [Reserved]
OPM/Central-4 Inspector General Investigations Case Files.
OPM/Central-5 Intergovernmental Personnel Act Assignment Records.
OPM/Central-6 Administrative Law Judge Application Records.
OPM/Central-7 Litigation and Claims Records.
OPM/Central-8 Privacy Act/Freedom of Information Act (PA/FOIA)
Case Records.
OPM/Central-9 Personnel Investigations Records.
OPM/Central-10 Federal Executive Institute Program Participant
Records.
OPM/Central-11 Presidential Management Intern (PMI) Program
Records.
OPM/Central-12 [Reserved]
OPM/Central-13 Executive Personnel Records.
OPM/Central-14 Debarment of Suspension Records for Federal
Employees Health Benefits Program (FEHPB).
OPM/GOVT-1 General Personnel Records.
OPM/GOVT-2 Employee Performance File System Records.
OPM/GOVT-3 Records of Adverse Actions, Performance Based
Reduction in Grade and Removal Actions, and Termination of
Probationers.
OPM/GOVT-4 [Reserved].
OPM/GOVT-5 Recruiting, Examining and Placement Records.
OPM/GOVT-6 Personnel Research and Test Validation Records.
OPM/GOVT-7 Applicant Race, Sex, National Origin, and Disability
Status Records.
OPM/GOVT-8 [Reserved].
OPM/GOVT-9 File on Position Classification Appeals, Job Grading
Appeals, Retained Grade or Pay Appeals, and Fair Labor Standard Act
(FLSA) Claims and Complaints.
OPM/GOVT-10 Employee Medical File System Records.
Prefatory Statement of Routine Uses for OPM's Internal and Central
Systems of Records
Certain established routine uses have been found to be applicable
to the majority of OPM's Internal and Central systems of records.
These repetitive routine uses will be published in their entirety
once, in this Prefatory Statement. Each Internal and Central system
notice will note which of these routine uses are applicable to that
notice, and will also include the full text of any routine uses
unique to that system of records.
1. For Law Enforcement Purposes--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, where OPM becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation.
2. For Certain Disclosures to Other Federal Agencies--To disclose
information to a Federal agency, in response to its request in
connection with the hiring or retention of an employee, the issuance
of a security clearance, the conducting of a suitability or security
investigation of an individual, the classifying of jobs, the letting
of a contract, or the issuance of 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 on the
matter.
3. For Congressional Inquiry--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.
4. For Judicial/Administrative Proceedings--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 the
judicial or administrative proceeding. In those cases where the
Government is not a party to the proceeding, records may be disclosed
if a subpoena has been signed by a judge.
5. For National Archives and Records Administration--To disclose
information to the National Archives and Records Administration for
use in records management inspections.
6. Within OPM for Statistical/Analytical Studies--By OPM in the
production of 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 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.
7. For Litigation--To disclose information to the Department of
Justice, or in a proceeding before a court, adjudicative body, or
other administrative body before which OPM is authorized to appear,
when:
(1) OPM, or any component thereof; or
(2) Any employee of OPM in his or her official capacity; or
(3) Any employee of OPM in his or her individual capacity where
the Department of Justice or OPM has agreed to represent the
employee; or
(4) The United States, when OPM determines that litigation is
likely to affect OPM 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 OPM is deemed by OPM to be
relevant and necessary to the litigation provided, however, that the
disclosure is compatible with the purpose for which records were
collected.
8. For the Merit Systems Protection Board--To disclose
information to officials of the Merit Systems Protection Board or the
Office of the Special Counsel, when requested in connection with
appeals, special studies of the civil service and other merit
systems, review of OPM rules and regulations, investigations of
alleged or possible prohibited personnel practices, and such other
functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may
be authorized by law.
9. For the Equal Employment Opportunity Commission--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, compliance by Federal
agencies with the Uniform Guidelines on Employee Selection Procedures
or other functions vested in the Commission and to otherwise ensure
compliance with the provisions of 5 U.S.C. 7201.
10. For the Federal Labor Relations Authority--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 matters before the Federal
Service Impasses Panel.
11. For Non-Federal Personnel--To disclose information to
contractors, grantees, or volunteers performing or working on a
contract, service, grant, cooperative agreement, or job for the
Federal Government.
OPM/INTERNAL-2
System name: Negotiated Grievance Procedure Records.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415-0001.
Categories of individuals covered by the system:
Current and former Office employees who have filed grievances
under a negotiated grievance procedure.
Categories of records in the system:
This system contains a variety of records relating to an
employee's grievance filed under procedures established by labor-
management negotiations. The records may include information such as:
Employee's name, Social Security number, grade, job title, employment
history, arbitrator's decision or report, record of appeal to the
Federal Labor Relations Authority, and a variety of employment and
personnel records associated with the grievance.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 U.S.C. 7121.
Purpose(s):
These records are used to process an employee's grievance filed
under a negotiated grievance procedure.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 11 of the Prefatory Sttement at the
beginning of OPM's system notices apply to the records maintained
within this system. The rroutine uses listed below are specific to
this system of records only.
a. By the Department of Labor in carrying out its functions
regarding labor-management relations in the Federal service.
b. To disclose information to officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting working conditions.
c. To disclose information to any source from which additional
information is requested in the course of resolving a grievance, 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.
Policies and practices of storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are located in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
These records are disposed of three years after the close of the
fiscal year in which a final decision was issued. Disposal is by
shredding or burning.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
Notification procedure:
Individuals who file a grievance under a negotiated procedure are
aware of that fact and have been provided access to the record. They
may, however, contact the indicated system manager regarding the
existence of such records about them. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Approximate date of closing of the grievance.
d. Organizational component involved.
Record access procedure:
Individuals who file a grievance under a negotiated grievance
procedure are aware of that fact and have been provided access to the
record. However, after the grievance has been closed, an individual
may request access to the official copy of the grievance record by
writing the indicated system manager. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Approximate date of closing of the grievance.
d. Organizational component involved.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
Review of requests from individuals seeking amendment of their
records which have previously been or could have been the subject of
an administrative, judicial, or quasi-judicial action will be limited
in scope. Review of amendment requests of these records will be
restricted to determining if the record accurately documents the
action of the agency or administrative body ruling on the case and
will not include a review of the merits of the action, determination,
or finding. Individuals wishing to request amendment of their records
to correct factual errors should contact the appropriate system
manager or OPM regional office indicated in the Notification
Procedure section. Individuals must furnish the following information
for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Approximate date of closing of the grievance.
d. Organizational component involved.
Individuals wishing to request amendment of their records to
correct factual errors should contact the indicated system manager.
Individuals must furnish the following information for their records
to be located and identified:
Record source categories:
Information in this system of records is obtained from:
a. The individual on whom the record is maintained.
b. Testimony of witnesses.
c. Union officials.
d. Office of Personnel Management officials.
e. Department of Labor, Federal Labor Relations Authority, or
arbitration officials involved in the grievance.
OPM/INTERNAL-3
System name:
Security Officer Control Files.
System location:
U.S. Office of Personnel Management, Office of Contracting and
Administrative Services, 1900 E Street NW., Washington, DC 20415-7100
Categories of individuals covered by the system:
This system contains records on active, inactive and pending OPM
employees and contractors.
Categories of records in the system:
The records in the system contain date of birth; social security
number; classification as to position sensitivity; types and dates of
investigations; investigative reports, including those from Federal
law enforcement agencies, Department of Defense and internal
inquiries; dates and levels of clearances; names of agencies and the
reasons why they were provided clearance information on OPM employees
and contractors.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
Executive Orders 10450 and 12958.
Purpose(s):
These records are used exclusively by OPM Security Officers and
the employees of other security offices to assist them in controlling
position sensitivity and personnel clearances.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1, 3, 5 and 6, of the Prefatory Statement at the
beginning of OPM's system notices (60 FR 63075, effective January 17,
1996) apply to the records maintained within the system. The routine
uses listed below are specific to this system of records only.
a. To disclose information to an agency in the executive,
legislative, or judicial branch, or the District of Columbia
Government, in response to its request related to issuing a security
clearance or conducting a security or suitability investigation of an
individual. Only information that is relevant and necessary to the
requesting agency's decision on the matter will be released.
b. To verify a security clearance in response to an inquiry from
a security office of an agency in the executive legislative, or
judicial branch, or the District of Columbia Government. Also, to
provide OPM employees and contractors access to classified data or
areas, when their official duties require such access.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of records in the system:
Storage:
These records are maintained in file folders and in an automated
data base.
Retrievability:
These records are retrieved by name, social security number, and
date of birth of the individual on whom they are maintained.
Safeguards:
The disks and file folders are stored in fire-resistant safes
contained within a secured area, in lockable metal file cabinets, or
in secured rooms. The file folders do not leave the Security Office.
Retention and disposal:
The Security Office automated data files are retained for five
years after the individual leaves OPM. After five years the files are
erased. The security folders are destroyed 90 days after the employee
leave or contractor stop working for OPM.
System manager(s) and address:
Facility Services Division, Security Office, Office of
Contracting and Administrative Services, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415-7100.
Notification procedure:
Individuals wishing to determine whether this system of records
contains information about them should contact the system manager
indicated. Individuals must furnish the following for their records
to be located and identified:
a. Full name.
b. Date of birth.
c. Social security number.
Record Access Procedures: Individuals wishing to request access
to records about them should contact the system manager indicated.
Individuals must furnish the following for their records to be
located and identified.
a. Full name.
b. Date of birth.
c. Social security number.
An individual requesting access must also follow the OPM's
Privacy Act regulations regarding verification of identity and access
to records (5 CFR part 297).
Note: Individuals must request access to background
investigations through the Privacy Act regulations of the agency for
which the investigation was conducted. Requests for background
investigations maintained in the Security Office file will be denied.
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the system manager indicated. Individuals must furnish the
following for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Social security number.
Individuals requesting amendment must also follow the OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individuals to whom the records applies.
b. OPM's investigative files maintained by Investigations
Service.
c. Employment information maintained by OPM's Director of
Personnel or regional personnel offices.
d. OPM Officials.
e. Federal law enforcement agencies, Department of Defense, and
through external and internal inquiries.
OPM/INTERNAL-4
System name:
Health Program Records.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415 for individuals
receiving health services at the central office. Other OPM employees
receive health services from other agencies, such as the Public
Health Service or the General Services Administration.
Categories of individuals covered by the system:
Individuals who have received health services from OPM's Health
Unit at 1900 E Street NW.
Categories of records in the system:
This system is comprised of records developed as a result of an
individual's utilization of services provided by the OPM Health Unit.
These records contain the following information:
a. Medical history and other biographical data on those
individuals requesting employee health maintenance physical
examinations.
b. Test reports and medical diagnoses based on employee health
maintenance physical examinations or health screening programs (tests
for medical conditions or diseases).
c. History of complaint(s), assessment, and treatment of injuries
and illness presented to Health Unit staff.
d. Immunization records.
e. Medication administered by Health Unit staff. f. Referrals to
other health care providers.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
5 U.S.C. 7901, as further defined in OMB Circular No. A-72.
Purpose(s):
These records document utilization of health services provided by
OPM's Health Unit.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 3, 4, and 7 of the Prefatory Statement at the
beginning of OPM's system notices (60 FR 63075, effective January 17,
1996) apply to the records maintained within this system. The routine
uses listed below are specific to this system of records only:
a. To refer information required by applicable law to be
disclosed to a Federal, State, or local public health service agency,
concerning individuals who have contracted certain communicable
diseases or conditions. Such information is used to prevent further
outbreak of the disease or condition.
b. To disclose information to the appropriate Federal, State, or
local agency responsible for investigation of an accident, disease,
medical condition, or injury as required by pertinent legal
authority.
c. To disclose to the Office of Workers' Compensation Programs in
connection with a claim for benefits filed by an employee.
Note: Disclosure of these records beyond officials of OPM having
a bona fide need for them or to the person to whom they pertain, is
rarely made, as disclosures of information pertaining to an
individual with a history of alcohol or drug abuse must be limited in
compliance with the restriction of the Confidentiality of Alcohol and
Drug Abuse Patient Records regulations 42 CFR part 2. Records
pertaining to the physical and mental fitness of employees are, as a
matter of OPM policy, afforded the same degree of confidentiality and
are generally not disclosed.
Policies and practices for storing, retrieving, retaining, and
disposing of records in the system:
Storage:
These records are maintained as hard copy records.
Retrievability:
These records are retrieved by the name, date of birth, or Social
Security Number of the individual to whom they pertain.
Safeguards:
These records are maintained in lockable file cabinets in a room
with access limited to Health Unit personnel whose duties require
access.
Retention and disposal:
Records of the central office Health Unit are maintained up to
six years from the date of the last entry. Employees are given their
records on request upon separation. Otherwise, the records are burned
approximately three months after separation.
System manager(s) and address:
Chief, Health Unit, Office of Human Resources and EEO, Office of
Personnel Management, 1900 E Street NW., Washington, DC 20415.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information 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. Any former name.
c. Date of birth.
d. Social Security Number.
Record access procedures:
Individuals wishing to request 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. Any former name.
c. Date of birth.
d. Social Security Number.
Any individual requesting access must also follow OPM's Privacy
Act regulation regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment of their records should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Any former name.
c. Date of birth.
d. Social Security Number.
An individual requesting amendment must also follow OPM's Privacy
Act regulation verification of identity and amendment of records (5
CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom the information pertains.
b. Laboratory reports and test results.
c. OPM Health Unit physicians, nurses and other medical
technicians who have examined, tested, or treated the individual.
d. The individual's coworkers or supervisors.
e. The individual's personal physician.
f. Other Federal employee health units.
OPM/INTERNAL-5
System name:
Pay, Leave, and Travel Records.
System location:
Office of the Chief Financial Officer, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415, and in the
office where the individual is currently employed for use by
timekeeper, budget and finance, travel personnel, or fare subsidy
program manager or coordinator.
Categories of individuals covered by the system:
Current and former OPM employees.
Categories of records in the system:
This system contains various records relating to pay, leave, and
travel. This includes information such as: Name; date of birth;
Social Security Number; home address; grade; employing organization;
timekeeper number; salary; pay plan; number of hours worked; leave
accrual rate, usage, and balances; Civil Service Retirement and
Federal Retirement System contributions; FICA withholdings; Federal,
State, and local tax withholdings; Federal Employee's Group Life
Insurance withholdings; Federal Employee's Health Benefits
withholdings; charitable deductions; allotments to financial
organizations; garnishment documents; savings bonds allotments; union
and management association dues withholding allotments; travel
expenses; and information on the leave transfer program and fare
subsidy program.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
31 U.S.C. 66a; 5 U.S.C. 5501 et seq., 5525 et seq., 5701 et seq.,
and 6301 et seq.; Executive Order 9397; Pub. L. 100-202, Pub. L. 100-
440, and Pub. L. 101-509.
Purpose(s):
These records are used to administer the pay, leave, and travel
requirements of OPM and in the administration of the fare subsidy
program. 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 purposes of such uses:
Routine uses 1 through 10 of the Prefatory Statement at the
beginning of OPM's system notices (60 FR 63075, effective January 17,
1996) apply to the records maintained within this system. The
following routine uses are specific to this system of records only:
a. By the Department of Labor in connection with a claim filed by
an employee for compensation due to a job-connected injury or
illness.
b. By the Department of the Treasury to issue checks and U.S.
Savings Bonds.
c. By State offices of unemployment compensation with survivor
annuity or health benefits claims or records reconciliations.
d. By Federal Employee's Group Life Insurance or Health Benefits
carriers in connection with survivor annuity or health benefits
claims or records reconciliations.
e. To disclose information to the Internal Revenue Service and
State and local tax authorities.
f. To provide officials of labor organizations recognized under 5
U.S.C. Chapter 71 with information as to the identity of OPM
employees contributing union dues each pay period and the amount of
dues withheld from each contributor.
g. To disclose information to officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting working conditions.
h. To disclose information to any source from which additional
information is requested relevant to an OPM determination concerning
an individual's pay, leave, or travel expenses, 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.
i. 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.
j. To disclose, annually, pay data to the Social Security
Administration and the Department of the Treasury as required.
k. To disclose information to a Federal agency or Congressional
inquiry from which additional or statistical information is requested
relevant to the OPM Fare Subsidy Program.
l. To disclose information to the Department of Health and Human
Services on new hires and quarterly wages as required under the
Personal Responsibility and Work Opportunity Reconciliation Act of
1996.
Disclosure to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, retaining, and
disposing of records in the system:
Storage:
These records are maintained in an automated data base, in file
folders and loose leaf binders, and on cards and magnetic tapes.
Retrievability:
These records are retrieved by the names, Social Security
Numbers, or OPM employee identification numbers of the individuals on
whom they are maintained.
Safeguards:
These records are located in lockable metal filing cabinets or in
a secured facility and are available only to authorized personnel
whose duties require access.
Retention and disposal:
These records are maintained for varying periods of time, in
accordance with NARA General Records Schedules 2 (pay and leave) and
9 (travel). Disposal of manual records is by shredding or burning;
magnetic tapes are erased.
System manager(s) and address:
Chief Financial Officer, Office of Personnel Management, 1900 E
Street NW., Washington, DC 20415-1200.
Notification procedure:
Individuals wishing to determine whether this system of records
contains information on them should contact the system manager
indicated, or the OPM regional office where the individual is or was
employed. Individuals must furnish the following for their records to
be located and identified:
a. Full name.
b. Date of birth.
c. Social Security Number.
d. OPM employment identification number.
Record access procedures:
Individuals wishing to request access to records about them
should contact the system manager indicated, or the OPM regional
office where the individual is or was employed. Individuals must
provide the following information for their records to be located and
identified:
a. Full name
b. Date of birth
c. Social Security Number
d. OPM employment identification number
Individuals requesting access must also follow the OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedures:
Individuals wishing to request amendment of records about them
should contact the system manager indicated , or the OPM regional
office where the individual is or was employed. Individuals must
furnish the following information for their records to be located and
identified:
a. Full name
b. Date of birth
c. Social Security Number
d. OPM employment identification number
Individuals requesting amendment must also follow the OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom the record pertains.
b. OPM officials responsible for pay, leave, and travel
requirements.
c. Other official personnel documents of OPM.
OPM/INTERNAL-6
System name: Appeal and Administrative Review Records.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415-0001.
Categories of individuals covered by the system:
Current and former employees of the OPM.
Categories of records in the system:
This system contains records relating to various appeal or
administrative review procedures available to OPM employees. These
appeals or administrative review procedures include adverse action
appeals initiated prior to September 9, 1974, which were processed
under OPM's internal appeals system; reconsiderations of acceptable
level of competence determinations for within-grade increases;
impartial reviews of performance ratings; and internal appeals of
position classification decisions. The system also contains records
and documentation of the action upon which the appeal or review
procedure was based (e.g., 90-day notices of warning of
unsatisfactory performance rating).
Note: The system does not include:
a. Appeal or complaint records covered by the Merit Systems
Protection Board's system of Appeals Records; or
b. Records for grievances processed under OPM's administrative
grievance procedure or under the grievance system negotiated by OPM
and a recognized labor organization, which are covered under the OPM/
INTERNAL-3 and OPM/INTERNAL-11 systems of records.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 U.S.C. 1302, 3301, 3302, 4305, 5115, 5335, 7501, 7512, and
Executive Order 10577.
Purpose(s):
These records are used to process the various appeals or
administrative reviews available to OPM employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 11 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. To provide information to officials of labor organizations
recognized under 5 U.S.C. Chapter 71, when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting working conditions.
b. To disclose information to any source from which additional
information is requested in the course of processing an appeal or
administrative review procedure, to the extent necessary to identify
the individual, inform the source of the purpose(s) of the request,
and identify the type of information requested.
Policies and practices for storing, retrieving, retaining,
accessing, and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the name of the individuals on
whom they are maintained.
Safeguards:
These records are maintained in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
Adverse action appeals initiated prior to September 9, 1974,
which were processed under OPM's internal appeals system are retained
for 7 years after the closing of the case. Other records in the
system are maintained for a maximum of 4 years after the closing of
the case. Disposal is by shredding or burning.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
Notification procedure:
Individuals involved in appeals and administrative review
procedures are aware of that fact and have been provided access to
the records. They may, however, contact the system manager indicated
regarding the existence of such records about them. They must furnish
the following information for their records to be located and
identified.
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Record access procedure ;
Individuals involved in appeals and administrative review
procedures are aware of that fact and have been provided access to
the record. After the action has been closed, however, an individual
may request access to the official copy of an appeal or
administrative review procedure by contacting the system manager
indicated. Individuals must provide the following information for
their records to be located and identified. I20a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of actions
taken.
d. Organizational component involved.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
Review of requests from individuals seeking amendment of their
records which have previously been or could have been the subject of
a judicial or quasi-judicial action will be limited in scope. Review
of amendment requests of these records will be restricted to
determining if the record accurately documents the action of the
agency or administrative body ruling on the case, and will not
include a review of the merits of the action, determination, or
finding.
Individuals wishing to request amendment of their records to
correct factual errors should contact the system manager indicated.
Individuals must furnish the following information for their records
to be located and identified.
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
The information in this system of records is obtained from:
a. The individual to whom the records pertain.
b. OPM officials involved in the appeal or administrative
procedure.
c. Other official personnel records of OPM.
OPM/INTERNAL-7
System name: Complaints and Inquiries Records.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415-0001.
Categories of individuals covered by the system:
Current OPM employees about whom complaints or inquiries have
been received.
Categories of records in the system:
This system contains information or correspondence concerning an
individual's employment status or conduct while employed by OPM.
Examples of these records include: Correspondence from Federal
employees, members of Congress, or members of the public alleging
misconduct of an OPM employee; and miscellaneous complaints not
covered by OPM's formal or negotiated grievance procedure.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
Executive Order 11222.
Purpose(s):
These records are used to take action on or respond to a
complaint or inquiry concerning an OPM employee or to counsel the
employee.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 11 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine use listed below is specific to this
system of records only.
To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose of the request, and
identify the type of information requested), where necessary to
obtain information relevant to an OPM decision concerning the
individual employee, e.g., on the issuance of a security clearance,
the conducting of a security or suitability investigation of an
individual, the issuance of a license, grant, or other benefit.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained on cards and in file folders which
are separate from the employee's Official Personnel Folder.
Retrievability:
These records are retrieved by the name of the individual on whom
they are maintained.
Safeguards:
These records are filed in lockable metal filing cabinets with
access limited to personnel whose official duties require access.
Retention and disposal:
These records are disposed of upon the transfer or separation of
the employee or after 1 year, whichever is earlier. Disposal is by
shredding or burning.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the system manager. Individuals
must furnish the following information for their records to be
located and identified:
a. Name.
b. Date of birth.
Record access procedure:
OPM employees wishing to request access to their records should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Date of birth.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
OPM employees wishing to request amendment of their records
should contact the system manager indicated. Individuals must furnish
the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom the information pertains.
b. Federal employees, Members of Congress, creditors, or members
of the public who submitted the complaint or inquiry.
c. OPM officials.
d. Other source from whom information was requested regarding the
complaint or inquiry.
OPM/INTERNAL-8
System name: Employee Counseling Services Program Records.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415, and OPM Regional
Offices.
Note: In order to meet the statutory requirement that agencies
provide appropriate prevention, treatment, and rehabilitation
programs and services for employees with alcohol or drug problems,
and to better accommodate establishment of a health service program
to promote employees' physical and mental fitness, it may be
necessary for an agency to negotiate for use of the counseling staff
of another Federal, State, or local government, or private sector
agency or institution. This system also covers records on OPM
employees that are maintained by another Federal, State, or local
government, or private sector agency or institution under such a
negotiated agreement. When one or more Federal agencies wish to
jointly make similar arrangements for employees, in order to ensure
compliance with the law and to promote the agency health service
program, OPM may, on behalf of the participating agencies, negotiate
an agreement that provides such services through another Federal,
State, or local government, or private sector agency or institution.
However, when such is the case, this system will not cover records
pertaining to employees of other participating agencies. Such records
are considered by OPM as being part of the employing agency's
internal system of records covering agency employees.
Categories of individuals covered by the system:
Current and former OPM employees who have been counseled or
otherwise treated regarding alcohol or drug abuse or for personal or
emotional health problems.
Categories of records in the system:
Records in this system include documentation of visits to
employee counselors (Federal, State, local government, or private)
and the diagnosis, recommended treatment, results of treatment, and
other notes or records of discussions held with the employee made by
the counselor. Additionally, records in this system may include
documentation of treatment by a private therapist or a therapist at a
Federal, State, local government, or private institution.
Authority for maintenance of the system:Includes the following with
any revisions or amendments:
5 U.S.C. 3301 and 7901, 21 U.S.C. 1101 and 1108, 42 U.S.C. 4541
and 4561, and 44 U.S.C. 3101.
Purpose(s):
These records are used to document the nature of the individual's
problem and progress made and to record an individual's participation
in and the results of community or private sector treatment or
rehabilitation program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to the Department of Justice or other
appropriate Federal agencies in defending claims against the United
States, when the claim is based upon an individual's mental or
physical condition and is alleged to have arisen because of
activities of OPM in connection with the individual.
b. To disclose information to qualified personnel for the purpose
of conducting scientific research, management audits, financial
audits, or program evaluation, but such personnel may not identify,
directly or indirectly, any individual patient in any report or
otherwise disclose patient identities in any manner (when such
records are provided to qualified researchers employed by OPM, all
patient identifying information shall be removed).
Note: Disclosure of these records beyond officials of OPM having
a bona fide need for them or to the person to whom they pertain, is
rarely made as disclosures of information pertaining to an individual
with a history of alcohol or drug abuse must be limited in compliance
with the restriction of the Confidentiality of Alcohol and Drug Abuse
Patient Records regulations, 42 CFR part 2. Records pertaining to the
physical and mental fitness of employees are, as a matter of OPM
policy, afforded the same degree of confidentiality and are generally
not disclosed.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the name of the individual on whom
they are maintained.
Safeguards:
These records are maintained in locked file cabinets labeled
confidential with access strictly limited to employees directly
involved in OPM's alcohol and drug abuse prevention function (as that
term is defined in 42 CFR part 2).
Retention and disposal:
Records are maintained for three to five years after the
employee's last contact with OPM's prevention function or, if the
employee leaves the agency, until the Employee Counseling Service
Program Annual Report for the fiscal year in which separation
occurred is prepared. Records are destroyed by shredding or burning.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
Notification procedure:
OPM employees wishing to inquire whether this system of records
contains information about them should contact the OPM Employee
Counseling Services Program coordinator who arranged for counseling
or treatment. Individuals must furnish the following information for
their records to be located and identified:
a. Name.
b. Date of birth.
Record access procedure:
OPM employees wishing to request access to records pertaining to
them should contact the OPM Employee Counseling Services Program
coordinator who arranged for counseling or treatment. Individuals
must furnish the following information for their records to be
located and identified.
a. Name.
b. Date of birth.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
OPM employees wishing to request amendment to these records
should contact OPM's Employee Counseling Service Program coordinator
who arranged for counseling or treatment. Individuals must furnish
the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment or
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom the record applies.
b. The supervisor of the individual if the individual was
referred by a supervisor.
c. The Employee Counseling Services Program staff member who
records the counseling session.
d. Therapists or institutions providing treatment.
OPM/INTERNAL-9
System name:
Employee Locator Card Files.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415-0001.
Categories of individuals covered by the system:
Employees of OPM.
Categories of records in the system:
This system contains information regarding the organizational
location and telephone extension of individual OPM employees. The
system also contains the home address and telephone number of the
employee and the name, address, and telephone number of an individual
to contact in the event of a medical or other emergency involving the
employee.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
5 U.S.C. 301.
Purpose(s):
Information is collected for this system in order to identify an
individual for OPM officials to contact, should an emergency of a
medical or other nature involving the employee occur while the
employee is on the job. These records may be used to locate
individuals for personnel research.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 11 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. There are no routine uses unique to this system
of records.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
Records are maintained on cards or in an automated format.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained.
Safeguards:
Records are maintained in secured areas and are available only to
authorized personnel whose duties require access.
Retention and disposal:
Records are maintained as long as the individual is an employee
of OPM. Expired records are destroyed by burning, shredding, or
erasure of tapes/disks.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415.
Notification procedure:
OPM employees wishing to inquire whether this system contains
information about them should contact the system manager.
Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
Record access procedures:
OPM employees wishing to request 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.
Individuals requesting access must also comply with OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedures:
OPM employees may amend information in these records at any time
by resubmitting updated information. Individuals wishing to request
amendment of their records under the provisions of the Privacy Act
should contact the system manager. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information is provided by the individual who is the subject of
the record.
OPM/INTERNAL-10
System name: Motor Vehicle Operator and Accident Report Records.
System location:
Office of Contracting and Administrative Services, Investigations
Service; and the Office of the General Counsel; Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415-0001.
Categories of individuals covered by the system:
Current and former employees of OPM.
Categories of records in the system:
The system contains documents related to the authorization of an
individual to operate Government motor vehicle; and reports,
correspondence, and fiscal documents concerning automobile accidents
occurring in a Government-owned, leased, or rented vehicle or in a
privately-owned vehicle while on official business.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
28 U.S.C. 171.
Purpose(s):
These records serve to document supervisor's verification of
employee's license to operate a Government motor vehicle;
authorization to use Government-owned, leased, or rented motot
vehicle or private-owned vehicle to conduct official business; and
information regarding motor vehicle accidents, including reports and
related documents that may be used in settlement of claims and
litigation resulting from an accident involving a Government-owned,
leased, or rented motor vehicle or privately-owned vehicle used by
employees to conduct official business.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 and 3 through 7, of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. To disclose information any source from which additional
information is requested (to extent necessary to identify the
individual, inform the source of the purpose of the request, and
identify the type of information requested), when necessary to obtain
information relevant to an office decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation of an
individual, the classifying of jobs, the letting of a contract, or
the issuance of a grant or other benefit.
b. To disclose accident report record information to officials of
labor organizations recognized under the Chapter 71, title 5, U.S.C.
when relevant and necessary to their duties of exclusive
representation concerning personnel policies, practices, and matters
affecting working conditions.
h. To disclose information to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the conducting of a
security or suitability investigation, the classifying of jobs, or
the award of a contract, license, grant, or other benefit.
i. To disclose information to the General Services Administration
about accidents involving Government owned or leased automobiles.
j. To disclose information to insurance carriers about accidents
involving privately-owned vehicles.
Policies and practices of storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained in file folders and on indexed
application cards.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained.
Safeguards:
Records are maintained in a secured area with access limited to
authorized personnel whose duties require access.
Retention and disposal:
Motor vehicle operator authorization records are maintained for
three years after the separation of the employee (operator) and are
destroyed by shredding. Accident reports are maintained for 6 years
after the file is closed and are destroyed by shredding, except in
cases involving litigation. In cases involving litigation, these
records are to be maintained for seven years after the litigation is
resolved.
System manager(s) and address:
Motor vehicle operator authorization records:
Director, Office of Contracting and Administrative Services,
Office of Personnel Management, 1900 E Street NW, Washington, DC
20415-0001, or the Director of the appropriate field service office.
Accident report records: For reports involving femployees of the
Investigations Service with judgements under $2,500: Associate
Director, Investigations Service, Office of Personnel Management,
1900 E Street NW, Washington, DC 20415-0001.
For reports involving employees of Field Service Offices with no
personal injury, and judgements under $2,500: Appropriate Field
Service Office Director.
For reports involving other OPM employees, or of employees of the
Investigations Service involving judgements over $2,500: Office of
the General Counsel, Office of Personnel Management, 1900 E Street
NW, Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate system
manager as indicated under SYSTEM MANAGER AND ADDRESS.
Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
b. Date of birth.
Record access procedure:
Individuals wishing to request access to records about them
should contact the appropriate system manager as indicated under
SYSTEM MANAGER AND ADDRESS.
Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
b. Date of birth.
An individual requesting access must also follow OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Note: The Office of General Counsel, pursuant to 5 U.S.C. 552a
(d)(5) reserves the right to refuse access to information compiled in
reasonable anticipation of a civil action or proceeding.
Contesting record procedure:
Individuals wishing to request amendment of their records should
contact the appropriate system manager indicated under SYSTEM MANAGER
AND ADDRESS.
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 also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom the record pertains.
b. OPM employees and other parties involved in the accident.
c. Witnesses to the accident.
d. Police reports and reports of investigations conducted by OPM
investigators and other Federal agency investigators.
e. Officials of OPM.
OPM/INTERNAL-11
System name: Administrative Grievance Records.
System location:
Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street, NW, Washington, DC 20415-0001.
Categories of individuals covered by the system:
Current or former OPM employees who have filed grievances under
OPM's administrative grievance procedures in accordance with part 771
of OPM's regulations (5 CFR part 771).
Categories of records in the system:
The system contains records relating to grievances filed by OPM
employees under administrative procedures and in accordance with part
771 of OPM's regulations. These case files contain all documents
related to the grievance including statements of witnesses, reports
of interviews and hearings, examiner's findings and recommendations,
a copy of the original decision, and related correspondence and
exhibits. This system does not include files and records of any
grievance filed under negotiated procedures with recognized labor
organizations.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 CFR part 771.
Purpose(s):
These records are used to process grievances submitted by OPM
employees for personal relief in a matter of concern of
dissatisfaction which is subject to the control of agency management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 11 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine use listed below is specific to this
system of records only.
To disclose information to any source from which additional
information is required in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request, and identify the type of information
requested.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are maintained in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
These records are disposed of 3 years after closing of the case.
Disposal is by shredding or burning.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
Notification procedure:
It is required that individuals submitting grievances be provided
a copy of the record under the grievance process. They may, however,
contact the personnel office regarding the existence of such records
on them. They must furnish the following information for their
records to be located and identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Record access procedure:
It is required that individuals submitting grievances be provided
a copy of the record under the grievance process. After the action
has been closed, an individual may request access to the official
copy of the grievance file by contacting the personnel office.
Individuals must furnish the following information for their records
to be located and identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
Review of requests from individuals seeking amendment of their
records which have been the subject of an administrative, judicial,
or quasi-judicial action will be limited in scope. Review of
amendment requests of these records will be restricted to determining
if the record accurately documents the ruling on the case, and will
not include a review of the merits of the action, determination, or
finding.
Individuals wishing to request amendment of their records to
correct factual errors should contact the personnel office.
Individuals must furnish the following information for their records
to be located and identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual on whom the record is maintained.
b. Testimony of witnesses.
c. Agency officials.
d. Related correspondence from organizations or persons.
OPM/INTERNAL-12
System name:
Telephone Call Detail Records.
System location:
Employment Service, Office of Personnel Management, 1900 E Street
NW., Washington, DC 20415-0001.
Categories of individuals covered by the system:
Persons who are assigned OPM telephone numbers or are authorized
to use OPM telephone services, and persons who make or receive
telephone calls billed to OPM.
Categories of records in the system:
Call detail records of long-distance telephone calls placed from
OPM telephones or otherwise billed to OPM (including originating and
destination telephone numbers, cities, and states; date; time; cost;
and duration of each call); records indicating the assignment of
telephone numbers to organizations and individuals; and the
organizational location of telephones.
Authority for maintenance of the system:
Authority for maintenance of the system includes the following
with any revisions or amendments:
31 U.S.C. 1348 and 44 U.S.C. 3101.
Purpose(s):
OPM uses call detail records to verify telephone usage and to
resolve billing discrepancies so that telephone bills can be paid.
OPM may also use these records to allocate the costs of telephone
services to OPM organizational units; to identify unofficial
telephone calls; to seek reimbursement for unofficial calls; and as a
basis for taking action when Agency employees or other persons misuse
or abuse OPM telephone services.
Routine uses of records maintained in the system, including
categories of useers and the purposes of such uses:
Routine uses 1 through 7, and 11, of the Prefatory Statement at
the beginning of OPM's system notices (60 FR 63075, effective January
17, 1996) apply to the records maintained within this system. The
routine uses listed below are specific to this system of records
only:
a. By OPM employees or other persons to determine their
individual responsibility for telephone calls;
b. By another Federal agency or a telecommunications company
providing telephone services to permit servicing the account;
c. By appropriate OPM employees to assist in the planning and
effective management of OPM telephone services, and to determine that
OPM telephone services are being used in an efficient and economical
manner;
d. By auditors, investigators, and other employees authorized by
the Inspector General, pursuant to sections 4 and 6 of the Inspector
General Act of 1978.
Disclosure to consumer repordting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), OPM may disclose records from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for stopring, retrieving, retaining and
disposing of records in the system:
Storage:
OPM stores records on magnetic media, on optical media, and on
paper.
Retrievability:
Records are retrieved by employee name; by OPM organization; or
by originating telephone number, destination telephone number, date,
time, cost, or duration of call.
Safeguards:
Records are stored in secure areas and are available only to
those persons whose official duties require access.
Retention and disposal:
These records are maintained for varying periods of time, from 6
months to 3 years, in accordance with NARA General Records Schedule
12, items 2 and 3. Records are destroyed after the appropriate
retention period.
System manager(s) and address:
Network Communications Services, Employment Service, Office of
Personnel Management, 1900 E Street NW., Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should send written requests to the
system manager. Individuals must furnish the following information
for their records to be located and identified:
a. Full name;
b. OPM-assigned telephone number or telephone service
authorization number; and
c. Description of information being sought, including the time
frame of information being sought.
Record access procedures:
Individuals wishing to request 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. OPM-assigned telephone number or telephone service
authorization number; and
c. Description of information being sought, including the time
frame of information being sought.
Individuals requesting access must also follow the Agency's
Privacy Act regulations regarding verification of identity and access
to records (5 CFR part 297).
Contesting record procedure:
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. OPM-assigned telephone number or telephone service
authorization number; and
c. Description of information being sought, including the time
frame of information being sought.
Individuals requesting amendment must also follow the Agency's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
The information in this system of records is obtained from:
a. Local OPM telephone directories and other telephone assignment
records;
b. Call detail reports provided by suppliers of telephone
services; and
c. The individual on whom the record is maintained.
OPM/INTERNAL-13
System name:
Parking Program Records.
System location:
U.S. Office of Personnel Management, Office of Contracting and
Administrative Services, 1900 E Street NW., Washington, DC 20415-
7100.
Categories of individuals covered by the system:
Current OPM employees and others who use OPM parking facilities.
Categories of records in the system:
This system contains records relating to the administration of
the parking permit system for OPM's central office at the Theodore
Roosevelt Office Building, 1900 E Street NW, Washington, DC. The
records include information such as name; Social Security Number;
employing organization; assigned permit number; home and office
telephone numbers; home address; vehicle information; duty hours and
location; and medical information when necessary.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
Federal Property and Administrative Services Act of 1949, as
amended, and 5 U.S.C. 301.
Purpose(s):
The records are used to administer the parking program at OPM,
collect information for tax purposes, and compare records with other
Federal agencies to ensure parking privileges are not abused. 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 purposes of such uses:
Routine uses 1, 3 through 7, and 11, of the Prefatory Statement
at the beginning of OPM's system notices (60 FR 63075, effective
January 17, 1996) apply to the records maintained within the system.
The routine uses listed below are specific to this system of records
only.
a. To disclose information to the Internal Revenue Service and
State and local tax authorities.
b. To disclose information to officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting working conditions.
c. To disclose information in computer matching activities,
including comparison of parking records with other Federal agencies,
and for the purpose of assigning tax liabilities related to the
fringe benefit accrual value of parking.
d. To disclose information to OPM's Medical Doctor for approving
parking based on a person's disability.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders and in an automated
data base.
Retrievability:
These records are retrieved by the names, Social Security
Numbers, permit numbers, addresses, or vehicle information of the
individuals on whom they are maintained.
Safeguards:
Access is only to authorized personnel whose duties require
access.
Retention and disposal:
These records are maintained for varying periods of time, in
accordance with NARA General Records Schedules 2 (pay) and 11
(parking permits). Disposal of manual records is by shredding or
burning; electronic data is erased.
System manager(s) and address:
Facility Services Division, Security Office, Office of
Contracting and Administrative Services, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415-7100.
Notification procedure:
Individuals wishing to determine whether this system of records
contains information on them should contact the system manager.
Individuals must furnish the following for their records to be
located and identified:
a. Full name.
b. Parking permit number (if appropriate).
c. Vehicle license number (if appropriate).
d. Social Security Number.
Record access procedures:
Individuals wishing to request access to records about them
should contact the system manager. Individuals must furnish the
following for their records to be located and identified:
a. Full name.
b. Parking permit number (if appropriate).
c. Vehicle license number (if appropriate).
d. Social Security Number.
Individuals requesting access must also follow the OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Contesting record procedures:
Individuals wishing to request amendment of records about them
should contact the system manager. Individuals must furnish the
following for their records to be located and identified:
a. Full name.
b. Parking permit number (if appropriate).
c. Vehicle license number (if appropriate).
d. Social Security Number.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individuals to whom the records pertain.
b. Information taken from official OPM records.
c. Other Federal agency parking records.
d. OPM Medical Doctors when disability determinations are
requested.
OPM/INTERNAL-14
System name:
Photo Identification and Visitor Access Control Records.
System location:
U.S. Office of Personnel Management, Office of Contracting and
Administrative Services, 1900 E Street NW., Washington, DC 20415-
7100.
Categories of individuals covered by the system:
Individuals visiting OPM facilities, OPM employees, contractors,
and retirees seeking access to OPM facilities and classified records.
Categories of records in the system:
Records of individuals visiting OPM and employees, contractors,
and retirees identification files (including photographs) maintained
for access purposes.
Authority for maintenance of the system:
Federal Property and Administrative Services of 1949, as amended,
and 40 U.S.C. 486(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine use 1 of the Prefatory Statement at the beginning of
OPM's system notices (60 FR 63075, effective January 17, 1996)
applies to the records maintained within the system. The are no
routine uses unique to this system of records.
Purpose(s):
OPM will use the records to issue official U.S. Government
Identification cards to OPM employees and contract employees
requiring access to OPM building and offices. The records will also
be used to maintain a record of all holders of identification cards,
for renewal and recovery of expired cards, and to identify lost or
stolen cards.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in an automated database.
Retrievability:
By name.
Safeguards:
Access is limited to security and guard force personnel. Records
are stored in guarded security areas.
Retention and disposal:
Records are destroyed 3 months after they are returned to the
issuing office.
System manager(s) and address:
U.S. Office of Personnel Management, Office of Contracting &
Administrative Services, Facilities Services Division, Security
Office, Washington, DC 20415-7100.
Notification procedure:
OPM employees wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated. Individuals must furnish their full names for their
records to be located and identified.
Record access procedures:
OPM employees wishing to request access to records about them
should contact the system manager indicated. Individuals must furnish
their full names for their records to be located and identified.
Contesting record procedures:
OPM employees wishing to request amendment of their records
should contact the system manager indicated. Individuals must furnish
their full names for their records to be located and identified.
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom the records pertain.
b. Information taken from official OPM records.
OPM/Internal-15
System name:
OPM Child Care Tuition Assistance Records.
System location:
U. S. Office of Personnel Management, Office of Human Resources
and EEO, 1900 E Street, NW., Room 1469, Washington, DC 20415.
Categories of individuals covered by the system:
Employees of the Office of Personnel Management who voluntarily
apply for child care tuition assistance.
Categories of records in the system:
Application forms for child care tuition assistance containing
personal information, including employee (parent) name, Social
Security Number, grade, home and work numbers, addresses, telephone
numbers, total family income, names of children on whose behalf the
parent is applying for tuition assistance, child's date of birth;
information on child care providers used, including name, address,
provider license number and State where issued, tuition cost, and
provider tax identification number; and copies of IRS Form 1040 and
1040A for verification purposes.
Authority for maintenance of the system:
Pub. L. 106-58, section 643 and E.O. 9397.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1, and 3 through 11 of the Prefatory Statement at
the beginning of OPM's system notices (60 FR 63075, effective January
17, 1996) applies to the records maintained within the system. There
are no system unique routine uses.
Purpose(s):
To establish and verify OPM employees' eligibility for child care
subsidies in order for OPM to provide monetary assistance to its
employees.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information may be collected on paper or electronically and may
be stored as paper forms or on computers.
Retrievability:
By name; may also be cross-referenced to Social Security Number.
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable file cabinets or secured rooms. Electronic records are
protected by the use of passwords.
Retention and disposal:
Disposition of records is according to the National Archives and
Records Administration (NARA) guidelines.
System manager(s) and address:
Director, Office of Human Resources and EEO, Office of Personnel
Management, 1900 E Street, NW., Washington, DC 20415.
Notification procedure:
Individuals may submit a request on whether a system contains
records about them to the system manager indicated. Individuals must
furnish the following for their records to be located and identified:
Full name.
Social Security Number.
Record access procedure:
Individuals wishing to request access to records about them
should contact the system manager indicated. Individuals must provide
the following information for their records to be located and
identified:
Full name.
Social Security Number.
Individuals requesting access must also follow the OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment of records about them
should contact the system manager indicated. Individuals must furnish
the following information for their records to be located and
identified:
Full name.
Social Security Number.
Individuals requesting amendment must also follow the OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Information is provided by OPM employees who apply for child care
tuition assistance. Furnishing of the information is voluntary.
OPM INTERNAL 16
System name:
Adjudications Officer Control Files.
System location:
Office of Personnel Management (OPM), Investigations Service
(IS), Federal Investigations Processing Center, PO Box 618, Boyers,
Pennsylvania 16018-0618.
Categories of individuals covered by the system:
This system contains records on individuals, other than OPM
employees: (1) Who work on an OPM-Investigations Service (IS)
contract; (2) who need to access IS facilities or use IS equipment;
or (3) about whom OPM--IS has provided a suitability or security
adjudication advisory opinion at the request of another Federal
agency's adjudication or security office.
Categories of records in the system:
The records in the system may contain the following:
a. Documents completed by the individual.
b. Dates and types of investigations.
c. Investigative reports, including those from Federal
investigative agencies, the Department of Defense, and internal and
external inquiries.
d. Records of suitability or security determinations.
e. Dates and levels of security clearances and supporting
documentation.
f. Records of disclosures of information. g.Information related
to an individual's work performance on an OPM--IS contract.
h. Documents concerning an individual's conduct problems or
security and policy violations related to an OPM--IS contract or use
of OPM equipment or facilities.
i. Correspondence between OPM--IS and an agency or an individual.
j. Correspondence related to administrative review procedures.
Authority for maintenance of the system:
The authorities for maintenance of the system include the
following, with any revisions or amendments: Executive Orders 10450,
12958 and 12968.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in these records may be used:
1. For Judicial/Administrative Proceedings--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 the
judicial or administrative proceeding. In those cases where the
Government is not a party to the proceeding, records may be disclosed
if a subpoena has been signed by a judge.
2. For National Archives and Records Administration--To disclose
information to the National Archives and Records Administration for
use in records management inspections.
3. Within OPM for Statistical/Analytical Studies--By OPM in the
production of 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 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.
4. For Litigation--To disclose information to the Department of
Justice, or in a proceeding before a court, adjudicative body or
other administrative body before which OPM is authorized to appear,
when: OPM, or any component thereof; or any employee of OPM in his or
her official capacity; or any employee of OPM in his or her
individual capacity where the Department of Justice or OPM has agreed
to represent the employee; or the United States, when OPM determines
that litigation is likely to affect OPM 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 OPM is deemed by
OPM to be relevant and necessary to the litigation provided, however,
that the disclosure is compatible with the purpose for which records
were collected.
5. For the Merit Systems Protection Board--To disclose
information to officials of the Merit Systems Protection Board or the
Office of the Special Counsel, when requested in connection with
appeals, special studies of the civil service and other merit
systems, review of OPM rules and regulations, investigations of
alleged or possible prohibited personnel practices, and such other
functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may
be authorized by law.
6. For the Equal Employment Opportunity Commission--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, compliance by Federal
agencies with the Uniform Guidelines on Employee Selection Procedures
or other functions vested in the Commission and to otherwise ensure
compliance with the provisions of 5 U.S.C. 7201.
7. For the Federal Labor Relations Authority--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 matters before the Federal
Service Impasses Panel.
8. For Certain Disclosures to Other Federal Agencies--To disclose
relevant and necessary information to designated officers and
employees of agencies, offices and other establishments in all
branches of the Federal Government for:
(a) Conducting suitability or security investigations,
(b) Classifying jobs,
(c) Hiring or retaining employees,
(d) Evaluating qualifications, suitability and loyalty to the
United States Government,
(e) Granting access to classified information or restricted
areas,
(f) Letting a contract, issuing a license, grant, or other
benefit, or
(g) Providing a service performed under a contract or other
agreement.
9. For Law Enforcement Purposes--To disclose information to the
appropriate Federal, State, local, tribal, foreign or other public
authority responsible for investigating, prosecuting, enforcing or
implementing a statute, rule, regulation or order when OPM--IS
becomes aware of an indication of a violation or potential violation
of civil or criminal law or regulation.
10. For Congressional Inquiry--To disclose information to a
congressional office in response to an inquiry made on behalf of an
individual. Information will only be released to a congressional
office if OPM receives a notarized authorization from the individual.
11. For Non-Federal Personnel--To disclose information to
contractors or volunteers performing or working on a contract,
service or job for the Federal Government, regarding permission for
an individual to work on an OPM--IS contract or use OPM--IS
facilities or equipment, or be granted a security clearance.
Purpose(S)
OPM--IS Adjudications Officers and Contract Administrators, or
designees, use these records for making suitability or security
determinations, granting security clearances for access to classified
information, determining the need and eligibility to use OPM--IS
facilities or equipment, assigning position sensitivity and
documenting an individual's performance and conduct on an OPM--IS
contract.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
OPM-IS maintains these records in file folders and in electronic
databases.
Retrievability:
Records are retrieved by the name and date of birth or Social
Security Number of the individual about whom they are maintained.
Safeguards:
OPM stores the file folders in locked, metal file cabinets in a
secured room. OPM restricts access to the records on the databases to
employees who have the appropriate clearance and need-to-know.
Retention and disposal:
We maintain the records 3 years (as authorized/prescribed by the
National Archives and Records Administration's General Records
Schedules) after the individual's contract status with OPM-IS ends,
the need to use OPM-IS equipment or facilities has terminated or the
Federal agency notifies OPM-IS that the person whose case OPM-IS
adjudicated has separated from that agency. OPM maintains records of
disclosures of information from this system for 5 years after the
disclosure is made or the life of the record, whichever is longer.
Classified Information Nondisclosure Agreements (Standard Form 312)
signed by individuals are maintained for 70 years.
Contents of the file folders are destroyed by shredding and
recycling and computer records are destroyed by electronic erasure.
System manager(s) and address:
Associate Director, Investigations Service, Office of Personnel
Management, Room 5416, 1900 E Street, NW., Washington, DC 20415-4000.
Notification procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(c)(3) and (d) regarding accounting of
disclosures and access to and amendment of records. The section of
this notice titled ``System Exemptions'' indicates the kinds of
material exempted and the reasons for exempting them from access.
Individuals wishing to ask if this system of records contains
information about them or to request access to their record should
write to FOI/P, OPM, Federal Investigations Processing Center, PO Box
618, Boyers, PA 16018-0618. Individuals must furnish the following
information for their record to be located:
1. Full name.
2. Date and place 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 part 297).
Record access procedure:
See Notification procedure.
Contesting record procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d) regarding access to and amendment
of records. The section of this notice titled ``System Exemptions''
indicates the kinds of material exempted and the reasons for
exempting them from amendment. Individuals wishing to request
amendment of their non-exempt records should write to the Federal
Investigations Processing Center and furnish the following
information for their record to be located:
1. Full name.
2. Date and place 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 part 297).
Record source categories:
Information in this system of records is obtained from:
1. The individual to whom the information applies.
2.OPM-IS investigative files.
3. Officials of OPM and OPM-IS contractors.
4. Federal agencies, the Department of Defense, and external and
internal inquiries.
5. The public.
System exempted from certain provisions of the act:
All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6) or (7) is exempt from
the requirements of the Privacy Act that relate to providing an
accounting of disclosures to the data subject and access to and
amendment of records (5 U.S.C. 552(c)(3) and (d)).
5 U.S.C. 552a(k)
1. Properly classified information obtained from another Federal
agency during the course of a personnel investigation, which pertains
to national defense and foreign policy.
2. Investigatory material compiled for law enforcement purposes
other than material within the scope of this subsection.
3. Investigatory material maintained in connection with providing
protective services to the President of the United States or other
individuals pursuant to section 3056 of title 18 of the U.S. Code.
4. Investigatory material that is required by statute to be
maintained and used solely as a statistical record.
5. Investigatory material compiled solely for the purpose of
determining suitability, eligibility or qualifications for Federal
civilian employment and Federal contact or access to classified
information. Materials may be exempted to the extent that release of
the material to the individual whom the information is about would
reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence or, 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.
6. Testing and examination materials, compiled during the course
of a personnel investigation, that are used solely to determine
individual qualifications for appointment or promotion in the Federal
service, when disclosure of the material would compromise the
objectivity or fairness of the testing or examination process.
7. Evaluation materials, compiled during the course of a
personnel investigation, that are used solely to determine potential
for promotion in the armed services can be exempted to the extent
that the disclosure of the data would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence or, prior
to September 27, 1975, under an implied promise that the identity of
the source would be held in confidence.
OPM/CENTRAL-1
System name:
Civil Service Retirement and Insurance Records.
System location:
Associate Director, for Retirement and Insurance Service, Office
of Personnel Management, 1900 E Street NW., Washington, DC 20415-
0001. Certain records pertaining to State income tax withholdings
from annuitant payments are located with State Taxing Offices.
Certain information concerning enrollment/change in enrollment in a
health plan under the Federal Employee Health Benefits Program may be
located at other agencies. Certain records pertaining to overpayments
must be forwarded to the Department of the Treasury for collection
activity. Certain records pertaining to enrollment in a Preauthorized
Debit Program (PAD) for sending recurring remittances to OPM for
service credit and voluntary contributions accounts are maintained
with a lockbox bank which operates the PAD program for OPM.
Categories of individuals covered by the system:
a. Former Federal employees and members of Congress who performed
service subject to the Civil Service Retirement (CSR) or Federal
Employees Retirement (FER) system.
b. Current Federal employees who have:
(1) Performed Federal service subject to the CSR system other
than with their present agency; or
(2) Filed a designation of beneficiary for benefits payable under
the CSR system; or
(3) Requested OPM to review claim for health benefits made under
the Federal Employees Benefits Program; or
(4) Enrolled/changed enrollment in a plan under the Federal
Employees Health Benefits Program; or
(5) Filed a service credit application in connection with former
Federal service; or
(6) Filed an application for disability retirement with OPM and
are waiting final decision, or whose disability retirement
application has been disapproved by OPM.
c. Former Federal employees who died subject to or who retired
under the CSR or FER system, or their surviving spouses, and/or
children who have received or are receiving CSR or FER benefits and/
or Federal Employees Group Life Insurance benefits, or Federal
Employees Health Benefits.
d. Former Federal employees who died subject to or who retired
under a Federal Government retirement system other than CSR or FER
system, or their surviving spouses and/or children, who have received
or are receiving Federal Employees Group Life Insurance benefits and/
or Federal Employees Health Benefits.
e. Applicants for Federal employment found unsuitable for
employment on medical grounds.
f. Former spouses of Federal employees who have received or are
receiving CSR or FER benefits, or who have filed a court order
awarding future benefits.
Categories of records in the system:
This system comprises those retirement service history records of
employee's service in the Federal Government other than for the
agency in which they may presently be employed. Also included in the
system are current personnel data pertaining to active United States
Postal Service employees who, by virtue of the provisions set forth
in 5 U.S.C. 2105(e), are not considered civil service employees. It
also contains information concerning health benefit enrollment/change
in enrollment, and information developed in support of claims for
benefits made under the retirement, health benefits, and life
insurance programs for Federal employees that OPM administers. Also
included are medical records and supporting evidence on those
individuals whose application for disability retirement has been
rejected. Consent forms and other records related to the withholding
of State income tax from annuitant payments, whether physically
maintained by the State or OPM; are included in this system. Consent
forms and other records related to enrollment in the Preauthorized
Debit Program, whether physically maintained by the authorized
lockbox bank or OPM, are included in the system. These records
contain the following information:
a. Documentation of Federal service subject to the CSR or FER
system.
b. Documentation of service credit and refund claims made under
the CSR or FER system.
c. Documentation of voluntary contributions made by eligible
individuals.
d. Retirement and death claims files, including documents
supporting the retirement application, health benefits, and life
insurance eligibility, medical records supporting disability claims
(after receipt by OPM), and designations of beneficiary.
e. Claim review files pertaining to requests that claims made
under the Federal Employee Health Benefits Program be reviewed by
OPM.
f. Enrollment and change in enrollment information under the
Federal Employees Health Benefits Program.
g. Documentation of continuing coverage for life insurance and
health benefits for annuitants and their survivors under a Federal
Government retirement system other than the CSR or FER system, or for
compensationers and their survivors under the Office of Workers
Compensation programs.
h. The system also maintains a file of court orders submitted by
former spouses of Federal employees. These court orders are submitted
to support claims to apportion funds/benefits due to a Federal
employee at some point in the future.
i. Records relating to overpayments made to annuitants, survivor
annuitants, spouses and/or dependents. These records may be retained
in OPM or provided to the Department of the Treasury, pursuant to the
Debt Collection Act of 1996. There are two different systems
applicable to overpayments. First, OPM has installed a new financial
management system. The system uses the Social Security Number as part
of the identifying information in the record. The Debt Collection Act
of 1996 requires agencies to turn over all receivables more than 180
days past due to the Department of the Treasury for all further
collection activity. The Social Security Number is one of the
required fields for transferring the record to the Department of the
Treasury. OPM may obtain the SSN from case files or requests made to
credit bureaus.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
Section 3301 and chapters 83, 84, 87, 89 of title 5, United
States Code, Pub. L. 83-598, 84-356, 86-724, and 94-455; and
Executive Order 9397.
Purpose(s):
These records provide information and verification on which to
base entitlement and computation of CSR and FER and survivors'
Benefits, Federal Employees Health Benefits and Enrollments, and
Federal Employees Group Life Insurance benefits, and to withhold
State income taxes from annuitant payments. These records also serve
to review rejection of applicants for Federal employment on medical
suitability grounds. These records also may be used to locate
individuals for personnel research. These records also provide
information and verification concerning enrollment/change in
enrollment in a plan under the Federal Employees Health Benefit
Program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 10 of the Prefatory Statement at the
beginning of OPM's system notices (60 FR 63075, effective January 17,
1996) apply to the records maintained within this system. The routine
uses listed below are specific to this system of records only:
a. To disclose, to the following recipients, information needed
to adjudicate a claim for benefits under OPM's or the recipient's
benefits program(s), or information needed to conduct an analytical
study of benefits being paid under such programs: Office of Workers
Compensation Programs; Department of Veterans Affairs Pension Benefit
Program; Social Security Administration's Old Age, Survivor and
Disability Insurance and Medical Programs, Health Care Financing
Administration, and Supplemental Security Income Program; military
retired pay programs; Federal civilian employee retirement programs
(other than the CSR or FER system); or other national, State, county,
municipal, or other publicly recognized charitable or social security
administrative agency;
b. To disclose to the Federal Employees Group Life Insurance
Office information necessary to verify the election, declination, or
waiver of regular and/or optional life insurance coverage or
eligibility for payment of a claim for life insurance.
c. To disclose to health insurance carriers contracting with OPM
to provide a health benefits plan under the Federal Employees Health
Benefits Program, Social Security Numbers and other information
necessary to identify enrollment in a plan, to verify eligibility for
payment of a claim for health benefits, or to carry out the
coordination for benefits provisions of such contracts.
d. To disclose to any inquirer, if sufficient information is
provided to assure positive identification of an individual on whom a
department or agency maintains retirement or insurance records, the
fact that an individual is or is not on the retirement rolls, and if
so, the type of annuity (employment or survivor, but not retirement
on disability) being paid, or if not, whether a refund has been paid.
e. When an individual to whom a record pertains dies, to disclose
to any person possibly entitled in the order of precedence for lump-
sum benefits, information in the individual's record that might
properly be disclosed to the individual, and the name and
relationship of any other person whose claim for benefits takes
precedence or who is entitled to share the benefits payable. When a
representative of the estate has not been appointed, the individual's
next of kin may be recognized as the representative of the estate.
f. To disclose to the Internal Revenue Service, Department of the
Treasury, information as required by the Internal Revenue Code of
1954, as amended.
g. To disclose to the Department of Treasury information
necessary to issue benefit checks or savings bonds.
h. To disclose information to any person who is responsible for
the care of the individual to whom a record pertains, and who is
found by a court or OPM Medical Officers to be incompetent or under
other legal disability, information necessary to assure payment of
benefits to which the individual is entitled.
i. To disclose to the Parent Locator Service of the Department of
Health and Human Services, upon its request, the present address of
an annuitant, or former employee, for enforcing child support
obligations against such individual.
j. In connection with an examination ordered by the agency under
(1) Medical examination procedures; or
(2) Agency-filed disability retirement procedures.
To disclose to the agency-appointed representative of an employee
all notices, decisions, other written communications, or any
pertinent medical evidence other than medical evidence that a prudent
physician would hesitate to inform the individual of; such medical
evidence will be disclosed only to a licensed physician, designated
in writing for that purpose by the individual or his or her
representative.
k. To disclose information to any source from which additional
information is requested relevant to OPM determination on an
individual's eligibility for or entitlement to coverage under the
retirement, life insurance, and health benefits program, to the
extent necessary to identify the individual and the type of
information requested.
l. To disclose information to the Office of Management and Budget
at any stage of the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB
circular No. A-19.
m. To provide an official of another Federal agency information
needed in the performance of official duties related to reconciling
or reconstructing data files, compiling descriptive statistics, and
making analytical studies to support the function for which the
records were collected and maintained.
n. To disclose to a Federal agency, in response to its request,
the address of any annuitant or applicant for refund of retirement
deductions, if the agency requires that information to provide
consideration in connection with the collection of a debt due the
United States.
o. To disclose to an allottee, as defined in 5 CFR 831.1501, the
name, address, and the amount withheld from an annuitant's benefits,
pursuant to 5 CFR 831.1501 et seq. as an allotment to that allottee
to implement the program of voluntary allotments authorized by 5
U.S.C. 8345(h) or 8465.
p. To disclose to a Federal agency, in response to its request,
information in connection with the hiring, retention, separation, or
retirement of an employee; the issuance of a security clearance; the
reporting of an investigation of an employee; the letting of a
contract; the classification of a job; or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
OPM determines that the information is relevant and necessary to the
requesting party's decision on the matter.
q. To disclose to a State agency responsible for the collection
of State income taxes the information required by an Agreement to
Implement State Income Tax Withholdings from Civil Service Annuities
entered pursuant to section 1705 of Pub. L. 97-35 or 5 U.S.C. 8469 to
implement the program of voluntary State income tax withholding
required by 5 U.S.C. 8345(k) or 8469.
r. To disclose to the Social Security Administration the Social
Security Numbers of civil service annuitants to determine (1) their
vital status as shown in the Social Security Master Records; (2)
whether recipients of the minimum annuity are receiving at least the
Special Primary Insurance Amount benefit from the Social Security
Administration; and (3) whether civil service retirees with post-1956
military service credit are receiving benefits from the Social
Security Administration.
s. To disclose information contained in the Retirement Annuity
Master File; including the name, Social Security Number, date of
birth, sex, OPM's claim number, health benefit enrollment code,
retirement date, retirement code (type of retirement), annuity rate,
pay status of case, correspondence address, and ZIP code, of all
Federal retirees and their survivors to Federal agencies and
requesting States to help eliminate fraud and abuse in the benefit
programs administered by the Federal agencies and States (and those
States to local governments) and to collect debts and overpayments
owed to the Federal Government, and to State governments and their
components.
t. To disclose to a Federal agency, a person or an organization
contracting with a Federal agency for rendering collection services
within the purview of section 13 of the Debt Collection Act of 1982,
in response to a written request from the head of the agency or his
other designee, or from the debt collection contractor, the following
data concerning an individual owing a debt to the Federal Government:
(1) The debtor's name, address, Social Security Number, and other
information necessary to establish the identity of the individual;
(2) the amount, status, and history of the claim; and (3) the agency
or program under which the claim arose.
u. To disclose information contained in the Retirement Annuity
Master File, upon written request, to state tax administration
agencies, for the express purpose of ensuring compliance with state
tax obligations by persons receiving benefits under the Civil Service
Retirement System or the Federal Employees Retirement System, and to
prevent fraud and abuse, but only the following data elements: name,
correspondence address, date of birth, sex, Social Security Account
Number, annuity rate, commencing date of benefits, and retirement
code (type of retirement).
v. To disclose information to a State court or administrative
agency in connection with a garnishment, attachment, or similar
proceeding to enforce an alimony or child support obligation.
w. To disclose to a former spouse when necessary to explain how
that former spouse's benefit under 5 U.S.C. 8341(h), 8345(j), 8445,
or 8467 was computed.
x. To disclose to a Federal or State agency (or its agent) when
necessary to locate individuals who are owed money or property either
by a Federal agency, state or local agency, or by a financial
institution or similar institution.
y. To disclose to a health plan participating in the Federal
Employees Health Benefits Program (FEHBP) and to an FEHBP enrollee or
covered family member or an enrollee or covered family member's
authorized representative, in connection with the review of a
disputed claim for health benefits, from information maintained
within this system of records, the decision of OPM regarding the
disputed claim review.
z. To disclose to a State or local government, or private
individual or association engaged in volunteer work, identifying and
address information and other pertinent facts, for the purpose of
developing an application as representative payee for an annuitant or
survivor annuitant who is mentally incompetent or under other legal
disability.
aa. To disclose on request to a spouse or dependent child (or
court-appointed guardian thereof) of a CSR or FER system annuitant or
an annuitant of any other Federal retirement system enrolled in the
Federal Employees Health Benefits Program whether the annuitant has
changed from a self-and-family to a self-only health benefits
enrollment.
bb. To the Defense Manpower Data Center, Department of Defense,
and the U.S. Postal Service to conduct computer matching programs for
the purpose of identifying and locating individuals who are receiving
Federal salaries or benefit payments and are past due in their
repayment of debts owed to the U.S. Government under certain programs
administered by the Office of Personnel Management in order to
collect the debts under the provisions of the Debt Collection Act of
1982 (Pub. L. 97-365) by voluntary repayment, or by administrative or
salary offset procedures.
cc. To any other Federal agency for the purpose of effecting
administrative or salary offset procedures against a person employed
by that agency or receiving or eligible to receive some benefit
payments from the agency when the Office of Personnel Management as a
creditor has a claim against that person.
dd. To disclose information concerning past due receivables to
the U.S. Department of the Treasury, Financial Management Service,
and to any other debt collection center designated by the Secretary
of the Treasury, or any debt collection contractor for the purpose of
collecting the receivable by cross servicing in accordance with 31
U.S.C. 3711(M).
ee. To disclose information concerning past due receivables to
the Department of the Justice for the purpose of litigating to
enforce collection of a past due account or to obtain the Department
of Justice's concurrence in a decision to compromise, suspend, or
terminate collection action on an overpayment with the principal
amount in excess of $100,000 or such higher amount as the Attorney
General may, from time to time, prescribe in accordance with 31
U.S.C. 3711(a).
ff. To disclose information concerning past due receivables to
the U.S. Department of the Treasury, Financial Management Service, or
to any other debt collection center designated by the Secretary of
the Treasury, or any other Federal agency for the purpose of
collecting the receivable through offset under 31 U.S.C. 3716
(administrative offset), 31 U.S.C. 3720A (Tax refund offset), 5
U.S.C. 5514 (Salary offset), or offset under any other statutory or
common law authority.
gg. To disclose information concerning overpayees in arrears to
other Federal agencies for the purpose of implementing 31 U.S.C.
3720B, which prohibits persons who are past due on Federal debts from
obtaining Federal financial assistance in the form of loans or loan
insurance or guaranties.
hh. To disclose information concerning past due receivables to
any employer of the debtor for the purpose of conducting
administrative wage garnishment pursuant to 31 U.S.C. 3720D.
ii. To disclose information or publicly disseminate information
concerning overpayees in arrears and the debt to the public for the
purpose of publicly disseminating information regarding the identity
of the debtor pursuant to 31 U.S.C. 3720B.
jj. To disclose information concerning past due receivables to
State and local governments in an effort to collect monies owed the
Federal government.
kk. To disclose information concerning past due receivables to
the Internal Revenue Service for the purpose of: Effecting an
administrative offset against the individual's income tax refund to
recover monies owed the Federal government by the individual, or
obtaining the mailing address of a taxpayer in order to locate the
individual to collect or compromise a Federal receivable against the
taxpayer in accordance with 31 U.S.C. 3711, 3717, 3728, and 3718 and
26 U.S.C. 6103(m)(2) and 6402.
ll. To disclose information concerning past due receivables to
any person or for any debt collection purpose authorized by statue
not specifically enumerated here.
Disclosures to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12):Disclosures may be
made from this system to consumer reporting agencies as defined in
the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained on magnetic tapes, disks,
microfiche, and in folders.
Retrievability:
These records are retrieved by the name, Social Security Number,
date of birth and/or claim number of the individual to whom they
pertain.
Safeguards:
Records are kept in lockable metal file cabinets or in a secured
facility with access limited to those whose official duties require
access. Personnel screening is employed to prevent unauthorized
disclosure.
Retention and disposal:
All records on a claim for retirement, life insurance, health
benefits, and tax withholdings are maintained permanently. Medical
suitability records are maintained for 18 months. Requests for review
of health benefits claims are maintained up to 3 years. Disposal of
manual records is by shredding or burning; magnetic tapes and discs
are erased.
System manager(s) and address:
Associate Director, Retirement and Insurance Service, Office of
Personnel Management, 1900 E Street NW., Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to inquire if this system contains
information about them should contact the system manager. Individuals
must furnish the following information for their records to be
located and identified:
a. Name, including all former names.
b. Date of birth.
c. Social Security Number.
d. Name and address of office in which currently and/or formerly
employed in the Federal service.
Record access procedures:
Individuals wishing to request access to their records in this
system should contact the system manager. Individuals must furnish
the following information for their records to be located and
identified:
a. Name, including all former names.
b. Date of birth.
c. Social Security Number.
d. Name and address of office in which currently and/or formerly
employed in the Federal service.
e. Annuity, service credit, or voluntary contributions account
number, if assigned.
Individuals requesting access must also follow OPM's Privacy Act
regulations on verification of identity and access to records (5 CFR
part 297).
Contesting record procedure:
Individuals wishing to request amendment of their records in this
system should contact the system manager. Individuals must furnish
the following information for their records to be located and
identified:
a. Name, including all former names.
b. Date of birth.
c. Social Security Number.
d. Name and address of office in which currently and/or formerly
employed in the Federal service.
e. Annuity, service credit, or voluntary contributions account
number, if assigned.
Individuals requesting amendment of their records must also
follow OPM's Privacy Act regulations regarding verification of
identity and amendment of records (5 CFR part 297).
Record source categories:
The information in this system is obtained from:
a. The individual to whom the information pertains.
b. Agency pay, leave, and allowance records.
c. National Personnel Records Center.
d. Federal civilian retirement systems other than the CSR/FER
systems.
e. Military retired pay system records.
f. Office of Workers' Compensation Benefits Program.
g. Veteran's Administration Pension Benefits Program.
h. Social Security Old Age, Survivor, and Disability Insurance
and Medicare Programs.
i. Health insurance carriers and plans participating in the
Federal Employee Health Benefits Programs.
j. The Office of Federal Employees Group Life Insurance.
k. Official Personnel Folders.
l. The individual's co-workers and supervisors.
m. Physicians who have examined or treated the individual.
n. Former spouse of the individual.
o. State courts or support enforcement agencies.
p. Credit bureaus.
OPM/CENTRAL-2
System name: Complaints and Inquiries Records.
System location:
Office of Merit Systems Oversight and Effectiveness, Office of
Personnel Management, 1900 E Street NW, Washington, DC 20415, and OPM
regional offices.
Categories of individuals covered by the system:
a. Current and former Federal employees who have filed complaints
or submitted an inquiry about conditions in the agency or agency
personnel actions affecting the individual, e.g., allegations or
improper promotion actions, reduction-in-force procedures, or Fair
Labor Standards Act (FLSA) procedures.
b. Persons who are not current or former Federal employees who
have complained or inquired about an agency decision or action
related to the general area of personnel management.
Categories of records in the system:
This system of records contains information or documents relating
to the processing and adjudication of a complaint made to OPM under
its regulations. The records may include information and documents
regarding the actual personnel action of the agency in question and
the decision or determination rendered by an agency regarding the
issue raised.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 U.S.C. 1302 and 3502; Executive Orders 9830, 10577, and 11491;
and Pub. L. 93-259.
Purpose(s):
The principal purpose for which these records are established is
to retain a record of correspondence with an individual, over a
complaint or inquiry, as a reference should that individual again
contact OPM.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1, 3 through 5, and 7 of the Prefatory Statement at
the beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. 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.
b. To disclose information to any source from which additional
information is requested in the course of adjudicating an appeal or
complaint, 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.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained in an automated system and in file
folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
The records are located in lockable metal filing cabinets or in a
secured room, with access limited to those persons whose official
duties require such access.
Retention and disposal:
a. Records related to most complaints or inquiries about
conditions at an agency, or an agency's personnel actions affecting
an individual, are maintained until the second calendar year
following closing action on the complaint.
b. Records related to Fair Labor Standard Act complaints are
maintained indefinitely.
c. All records are destroyed by shredding or burning.
System manager(s) and address:
Associate Director, Office of Merit Systems Oversight and
Effectiveness, Office of Personnel Management, 1900 E Street NW,
Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager,
with the following exception:
Individuals who have filed or answered complaints or inquiries
with an OPM field service office should contact the field service
office. Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
b. If appropriate, the agency in which employed when the
complaint or inquiry was filed and the approximate date.
c. Kind of response received.
Record access procedure:
Individuals who have filed a complaint or inquiry about an agency
personnel action or about conditions existing in an agency will
receive a response and, if necessary, be provided access to any other
pertinent record. After a response to a complaint or inquiry has been
received, an individual may request access to the official copy of
the correspondence record by writing the system manager or OPM field
service office indicated in the Notification Procedure section.
Individuals must furnish the following information for their records
to be located and identified:
a. Full name.
b. If appropriate, the agency in which employed when complaint or
inquiry was filed and the approximate date.
c. Kind of response received.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
Review of requests from individuals seeking amendment of their
correspondence file records will be limited in scope. Review of
amendment requests of these records will be restricted to determining
if the record accurately documents the nature of the complaint or
inquiry, the identity of the individual, and the response furnished.
Individuals must furnish the following information for their records
to be located and identified:
a. Full name.
b. If appropriate, the agency in which employed when the
complaint or inquiry was filed and the approximate date.
c. Kind of response received.
Individuals requesting amendment of their records must also
follow OPM's Privacy Act regulations regarding verification of
identity and amendment of records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. Individuals to whom the record pertains.
b. Agency and/or OPM offices.
c. Official documents relating to the complaint or inquiry.
d. Related correspondence from organizations or individuals.
OPM/CENTRAL-3
[Reserved]
OPM/CENTRAL-4
System name: Inspector General Investigations Case Files.
System location:
Office of the Inspector General, Office of Personnel Management,
1900 E Street NW, Washington, DC 20415.
Categories of individuals covered by the system:
Current and former OPM employees, certain current and former
employees of other Federal agencies, annuitants, and contractors with
OPM.
Categories of records in the system:
Case files contain individual identifiers such as name, date of
birth, Social Security Number, employee number, civil service
retirement case file number, and related personal information. Case
files are created pertaining to matters including the following: (1)
Fraud against the Government; (2) Theft of Government property; (3)
Misuse of Government property; (4) Improper personal conduct; (5)
Irregularities in awarding contracts; (6) Improper personnel
practices; and (7) Initiatives arising from the President's Council
on Integrity and Efficiency.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 U.S.C. 301 and Pub. L. 100-504.
Purpose(s):
Information in case files serves to document the outcome of
investigations, reporting the results of investigations to other OPM
components or agencies for their use in evaluating their programs and
imposition of any civil or administrative sanctions, and, if
appropriate, reporting the results of the investigations to other
agencies for any action deemed appropriate, and for retaining
sufficient information to fulfill the reporting requirements of Pub.
L. 95-452, section 5.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1, 3 through 5, and 7 through 10, of the Prefatory
Statement at the beginning of OPM's system notices apply to the
records maintained within this system. The routine uses listed below
are specific to this system of records only:
a. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government having an interest in the
individual for employment purposes, including a security clearance or
access determination, and the need to evaluate qualifications,
suitability, and loyalty to the United States Government.
b. To designated officers and employees of agencies, offices, and
judicial branches of the Federal Government when such agency, office,
or establishment conducts an investigation of the individual for
granting a security clearance, or for making a determination of
qualifications, suitability, or loyalty to the United States
Government, or access to classified information or restricted areas.
c. To any source from which information is requested in the
course of an investigation, to the extent necessary to identify the
individual, inform the source of the nature and purpose of the
investigation, and to identify the type of information requested.
d. 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.
Policies and practices for storing, retrieving, retaining, and
disposing of records in the system:
Storage:
Records are maintained in file folders, on index cards, on
microfilm, or disks.
Retrievability:
Records are retrieved by the name, date of birth, Social Security
Number, employee number, case file number, or other unique
identifying number, or by a combination of such identifiers.
Safeguards:
Records are maintained in file cabinets secured by combination
locks, secured microfilm storage cabinets, and in computers with
access limited to only certain employees through the use of
individual identifiers and passwords.
Retention and disposal:
Case files are retained while the person is under investigation
and for 10 years after final disposition of the case or any
litigation of the matter is completed.
System manager(s) and address:
Inspector General, Office of Personnel Management, 1900 E Street
NW, Washington, DC 20415.
Notification procedure:
Individuals wishing to learn whether this system contains
information about them should contact the system manager. So that the
record can be located and identified, the requester must furnish the
following information:
a. Full name.
b. Date of birth and Social Security Number.
c. Signature.
d. Any additional information (e.g., type of investigation
conducted, employee number or annuitant CSR number) that the
requester believes might be helpful.
Record access procedure:
Specific records in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(c)(3) and (d) regarding access to
records. The section of this notice titled Systems Exempted from
Certain Provisions of the Act indicates the kinds of records
exempted. Individuals wishing to request access to any records
pertaining to them should contact the system manager. Requesters must
furnish the following information for their records to be located and
identified:
a. Full name.
b. Date of birth and Social Security Number.
c. Signature.
d. Any additional information (e.g., type of investigation
conducted, employee number or annuitant CSR number) that the
requester believes may be helpful.
Individuals requesting access must also comply with OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Specific records in this system have been exempted from the
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 records
exempted. Individuals seeking to amend their records should contact
the system manager. Requesters must furnish the following information
for their records to be located and identified:
a. Full name.
b. Date of birth and Social Security Number.
c. Signature.
d. Any additional information (e.g., type of investigation
conducted, or employee number or annuitant CSR number) that the
requester believes may be helpful.
Individuals requesting amendment must also comply with OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Information in this system is obtained from:
a. The individual who is the subject of the case file.
b. The individual's supervisor and co-workers.
c. Other Federal and non-Federal sources who have information
relevant to the case.
d. Official records of OPM or another Federal agency.
e. Non-Government record sources.
Systems exempted from certain provisions of the act:
OPM has claimed exemptions from the access (including access to
an accounting of disclosure) and amendment provisions of the Privacy
Act (5 U.S.C. 552a(c)(3) and (d)) for several of its other systems of
records under 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6), and (7).
During the course of developing a case file covered under this
system, copies of the exempt records from these other systems may
become part of the file. To the extent that this occurs, OPM has
claimed the same exemptions for these copies as they have for the
original documents. Additionally, information within the scope of
these exemptions may be developed by the Inspector General's staff
during an investigation. These same exemptions are claimed for this
developed information when the information is--
a. Properly classified information, obtained from another Federal
agency during the course of an investigation which pertains to
national defense and foreign policy. 5 U.S.C. 552a(k)(1) permits an
agency to exempt such material from certain provisions of the Act.
b. Investigatory material compiled for law enforcement purposes
in connection with the administration of the merit system.
5 U.S.C. 552a(k)(2) permits an agency to exempt such material
from certain provisions of the Act.
c. Investigatory material maintained in connection with providing
protective services to the President of the United States or other
individuals pursuant to section 3056 of title 18. 5 U.S.C. 552a(k)(3)
permits an agency to exempt such material from certain provisions of
the Act.
d. Investigatory material that is required by statute to be
maintained and used solely as a statistical record. 5 U.S.C.
552a(k)(4) permits an agency to exempt such material from certain
provisions of the Act.
e. Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civil service employment. 5 U.S.C. 552a(k)(5) permits an agency to
exempt such material from certain provisions of the Act. Materials
may be exempted to the extent that release of the material to the
individual whom the information is about would reveal the identity of
a source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or, 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.
f. Testing and examination materials, compiled during the course
of a personnel investigation, that are used solely to determine
individual qualifications for appointment or promotion in the Federal
service. 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.
g. Evaluation materials, compiled during the course of a
personnel investigation, that are used solely to determine potential
for promotion in the armed services. 5 U.S.C. 552a(k)(7) permits an
agency to exempt such evaluation material to the extent that the
disclosure of the data would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
OPM/CENTRAL-5
System name:
Intergovernmental Personnel Act Assignment Records.
System location:
Office of Merit Systems Oversight and Effectiveness, Office of
Personnel Management, 1900 E Street NW., Washington DC 20415-0001.
Categories of individuals covered by the system:
a. Current and former Federal employees who have completed or are
presently on an assignment in a State or local government agency, an
educational institution, or in Indian tribal government, or other
organizations under the provisions of the Intergovernmental Personnel
Act (IPA).
b. Current or former State or local government or educational
institution employees, employees of Indian tribal governments, or
other organizations who have completed or are presently on an
assignment in a Federal agency under the provisions of the
Intergovernmental Personnel Act (IPA).
Categories of records in the system:
These records consist of the name of the IPA assignee and the
name of his/her permanent organization and IPA assignment
organization, type of IPA assignment, salary, percentage of salary
funded by the Federal Government, title of the IPA position, and
beginning and ending dates of the IPA assignment.
Authority for maintenance of the system:
Includes the following with any revisions and amendments:
The Intergovernmental Personnel Act of 1970 (84 Stat. 1909), 5
U.S.C. 3371-3376, and E.O. 11589.
Purpose(s):
These records are maintained to document and track mobility
assignments (including extensions, modifications, and terminations
thereof) made under the Intergovernmental Personnel Act. Internally,
OPM may use these records to locate individuals for personnel
research.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 6 of the Prefatory Statement at the
beginning of OPM's system notices (60 FR 63075, effective January 17,
1996) apply to the records maintained within this system. The routine
use listed below is specific to this system of records only:
a. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
to identify the type of information requested), where necessary to
obtain information relevant to an OPM decision regarding possible
termination of an assignment.
Policies and practices for storing, retrieving, safeguarding,
retaining, and disposing of records in the system:
Storage:
Records are maintained in an electronic database on a personal
computer, floppy disks, and in file folders.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained or any of the data elements in the database.
Safeguards:
Records are maintained in a secured area with access limited to
authorized personnel whose duties require access. Confidential
passwords are required for access to automated records.
Retention and disposal:
Records are retained for 5 years from the signing of the
agreement. Manual records are destroyed by shredding or burning,
electronic records are destroyed by erasure.
System manager(s) and address:
Assistant Director, Office of Merit Systems Effectiveness, Office
of Merit Systems Oversight and Effectiveness, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to inquire whether this system contains
information 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. Federal agency involved in the assignment.
c. Non-Federal organization involved in the assignment.
d. Date of each assignment.
Record access procedures:
Individuals wishing to request 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. Federal agency involved in the assignment.
c. Non-Federal organization involved in the assignment.
d. Date of each assignment.
An individual requesting access must also follow OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Individuals seeking to amend their records should contact the
system manager. Requesters must furnish the following information for
their records to be located and identified:
a. Full name.
b. Federal agency involved in the assignment.
c. Non-Federal organization involved in the assignment.
d. Date of each assignment.
Individuals requesting amendment of their records must also
follow OPM's Privacy Act regulations regarding verification of
identity and amendment of records (5 CFR part 297).
Record source categories:
Information in these records is obtained from:
a. The individual subject of the records.
b. Officials in the agencies, educational institutions, Indian
tribal governments or other organizations where the individual is
employed and where the individual is serving on the IPA assignment.
c. Agency personnel files and records.
OPM/CENTRAL-6
System name: Administrative Law Judge Application Records.
System location:
Administrative Law Judges Office, Employment Service, Office of
Personnel Management, 1900 E Street NW, Washington, DC 20415.
Categories of individuals covered by the system:
Persons who have applied for Administrative Law Judge positions
in the Federal service or who are employees or former employees in
Administrative Law Judge positions in the Federal service.
Categories of records in the system:
These records contain information on the education and training,
employment history and earnings, appraisals of past performance,
convictions for offenses against the law, results of written tests,
appraisals of potential, rating and ranking determinations and
appeals of such determinations, honors, awards, or fellowships, and
other background and biographical data on persons who are or were
applicants for Administrative Law Judge positions in the Federal
service.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 U.S.C. 1305, 3105, and 3344.
Purpose(s):
These records serve as a basis for rating and ranking applicants
for Administrative Law Judge positions in the Federal service,
documenting the rating and ranking assigned, processing an appeal of
a rating or ranking determination, and referring the ranked
candidates to Federal agencies for employment consideration. OPM may
use these records to locate individuals for personnel research.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 10 of the Prefatory Sttement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. To refer applicants to Federal agencies for employment
consideration for Administrative Law Judge positions.
b. To refer current and former Administrative Law Judges to
Federal agencies for consideration for detail, transfer,
reassignment, reinstatement, or reemployment, as applicable.
c. To disclose information to any source (e.g., references,
employers, educational institutions or applicant/appellant review
panel members) 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 informtion
requested), when necessary to obtain information relevant to an
agency decision concerning the hiring or decision concerning the
hiring or retention of an employee, the issuance of a security
clearance, the conducting of security or suitability investigation of
an individual, the classifying of jobs, the letting of a contract, or
the issuance of a license grant, or other benefit.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
Records are maintained on computer disks, cards, lists, forms,
and in file folders.
Retrievability:
Records are retrieved by the name and Social Security Number of
the individual to whom they pertain.
Safeguards:
Records are maintained in a secured area and are available only
to authorized personnel whose duties require access.
Retention and disposal:
Records are maintained for 7 years. Expired records are shredded
or burned.
System manager(s) and address:
Director, Administrative Law Judges Office, Employment Serviceo
Office of Personnel Management, 1900 E Street NW, Washington, DC
20415.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the system manager indicated.
Individuals must furnish the following information for their records
to be located and identified.
a. Full name and date of birth.
b. Social security number.
Record access procedure:
Specific materials in this system have been exempted from Privacy
Act requirements at 5 U.S.C. 552a(c)(3) and (d), regarding access to
records. The section of this notice titled Systems Exempted from
Certain Provisions of the Act indicates the kinds of materials
exempted and the reasons for exempting them from access. Individuals
wishing to request access to non-exempt records about them should
contact the system manager indicated. Individuals must furnish the
following information for their records to be located and identified.
a. Full name and date of birth.
b. Social Security Number.
c. Date of application for examination.
An individual requesting access must also follow 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 requirements regarding amendment of records at 5 U.S.C. 552a(d).
The section of this notice titled Systems Exempted from Certain
Provisions of the Act indicates the kinds of materials exempted and
the reasons for exempting them from amendment. Individuals wishing to
request amendment of non-exempt records should contact the system
manager indicated. Individuals must furnish the following information
for their records to be located and identified.
a. Full name and date of birth.
b. Social Security Number.
c. Date of application for examination.
An individual requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records comes from the individual
to whom it applies or is derived from information he or she supplied,
except for information on vouchers or otherwise provided that is:
a. Supplied by references, employers, or educational institutions
listed by the applicant; or
b. Supplied by references, employers, or educational institutions
listed by the appellant.
Systems exempted from certain provisions of the act:
All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(5) is exempt from the requirement of 5 U.S.C.
552a(c)(3) and (d) concerning accounting of disclosures, and access
to or amendment of records. The exemptions are claimed because this
system contains investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for Federal civilian employment. To the extent that the release of
such material would reveal the identity of a source who furnished
information to the government under an express promise that the
identity of the source would be held in confidence, or, 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.
All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(6) is exempt from the requirement of 5 U.S.C.
552a(d) concerning access to or amendment of records. This exemption
is claimed because portions of this system relate to testing and
examining materials used solely to determine individual
qualifications for appointment or promotion in the Federal service.
Access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining
process.
OPM/CENTRAL-7
System name: Litigation and Claims Records.
Security classification:
No security classification is assigned to the system as a whole;
however, items of record within the system may bear a national
defense/foreign policy classification of Confidential or Secret.
System location:
Office of the General Counsel, Office of Personnel Management,
1900 E Street NW, Washington, DC 20415.
Categories of individuals covered by the system:
a. Individuals who make claims under the Military Personnel and
Civilian Employees Claims Act of 1964, as amended.
b. Individuals who file civil actions, administrative claims or
appeals, or other actions against or concerning OPM, its officials,
and employees.
c. Individuals who are parties to actions in which the Government
is involved, but in which OPM's role is advisory to another agency.
d. Individuals who filed claims with OPM under the Federal Tort
Claims Act, as amended.
Categories of records in the system:
This system includes the following kinds of records: Garnishment
documents, administrative appeals; investigative reports; retirement
records; official personnel records; documentation of litigation
including complaints, answers, motions, briefs, orders, and
decisions; claims and supporting documentation submitted under the
Federal Tort Claims Act and the Military Personnel and Civilian
Employees Claims Act, together with correspondence and records of
settlement; and final administrative and judicial determinations.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
5 U.S.C. 301; 5 U.S.C. 1103; 5 U.S.C. 1301-1308; 28 U.S.C. 522;
28 U.S.C. 2672; 31 U.S.C. 3721; and Executive Order 10577.
Purpose(s):
These records are maintained to defend OPM against lawsuits and
to settle administrative claims brought against OPM or OPM
employees..
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 10 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. To any source where necessary to obtain information relevant
to an OPM decision or action involved in one of the purposes for
maintenance of the system.
h. To the insurance carrier of an employee, or a claimant against
OPM under the Federal Tort Claims Act or the Military Personnel and
Civilian Employees Claims Act in order to determine the proper
assignment of any liability.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained, by case name, by civil action number, or other case
number.
Safeguards:
Records are maintained in a locked file cabinet with limited
access only to authorized personnel whose duties require access.
Retention and disposal:
These records are maintained for 7 years after the final
disposition or resolution of the litigation or claim. The records are
destroyed by shredding or burning after the seven-year retention
period.
System manager(s) and address:
Office of the General Counsel, Office of Personnel Management,
1900 E Street NW, Washington, DC 20415.
Notification procedure:
Individuals wishing to inquire whether this system contains a
record 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.
c. Description of type of record.
d. Court action number if applicable.
Record access procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(c)(3) and (d), regarding access to
records. The section of this notice titled Systems Exempted from
Certain Provisions of the Act, indicates the kinds of materials
exempted and the reasons for exempting them from access.
Individuals who wish to obtain access to their records must
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.
c. Description of type of record.
d. Court action number if applicable.
Individuals requesting access must also comply with OPM's Privacy
Act regulations regarding 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, indicate the kinds of materials exempted and
the reasons for exempting them from amendment.
Review of requests from individuals seeking amendment of their
records which have previously been the subject of a judicial or
quasi-judicial action will be limited in scope. Review of amendment
requests of these records will be restricted to determining if the
record accurately documents the action of the agency or
administrative body ruling on the case, and will not include a review
of the merits of the action, determination, or finding.
Individuals wishing to request amendment of their records to
correct factual errors 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.
c. Description of type of record.
d. Court action number if applicable.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual on whom the record is maintained.
b. Agency officials and records.
c. Records of administrative and court proceedings including
statements of witnesses and documents.
d. Law enforcement agencies.
e. Witnesses.
Systems exempted from certain provisions of the act:
When litigation or claim cases occur, information from other
systems of records may be incorporated into the case file. In certain
instances, the incorporated information may be material for which
exemptions have been claimed by OPM under the Privacy Act. To the
extent that such exempt material is incorporated into a litigation or
claim file, the appropriate exemption 5 U.S.C. 552a(k) (1), (2), (3),
(4), (5), (6) or (7) shall also apply to the material as it appears
in this system. The exemptions will be only from those provisions of
the Act that were claimed for the systems from which the records
originated.
The Office of the General Counsel, pursuant to 5 U.S.C.
552a(d)(5), reserves the right to refuse access to information
compiled in reasonable anticipation of civil action or proceeding.
This system may contain the following types of information:
a. Properly classified information, obtained from another Federal
agency during the course of an investigation which pertains to
national defense and foreign policy. 5 U.S.C. 552a(k)(1) permits an
agency to exempt such material from certain provisions of the Act.
b. Investigatory material compiled for law enforcement purposes
in connection with the administration of the merit system. 5 U.S.C.
552a(k)(2) permits an agency to exempt such material from certain
provisions of the Act.
c. Investigatory material maintained in connection with providing
protective services to the President of the United States or other
individuals pursuant to section 3056 of title 18. 5 U.S.C. 552a(k)(3)
permits an agency to exempt such material from certain provisions of
the Act.
d. Investigatory material that is required by statute to be
maintained and used solely as a statistical record. 5 U.S.C.
552a(k)(4) permits an agency to exempt such material from certain
provisions of the Act.
e. Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civil service employment. 5 U.S.C. 552a(k)(5) permits an agency to
exempt such material from certain provisions of the Act. Materials
may be exempted to the extent that release of the material to the
individual whom the information is about would reveal the identity of
a source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or, prior to 9/27/75, furnished information to the Government under
an implied promise that the identity of the source would be held in
confidence.
f. Testing and examination materials, compiled during the course
of a personnel investigation, that are used solely to determine
individual qualifications for appointment or promotion in the Federal
service. 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.
g. Evaluation materials, compiled during the course of a
personnel investigation, that are used solely to determine potential
for promotion in the armed services. 5 U.S.C. 552a(k)(7) permits an
agency to exempt such evaluation material to the extent that the
disclosure of the data would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
OPM/CENTRAL-8
System name:
Privacy Act/Freedom of Information Act (PA/FOIA) Case Records
System location:
Offices of the Office of Personnel Management, 1900 E Street NW.,
Washington, DC 20415-0001 and OPM field service centers.
Categories of individuals covered by the system:
This system contains records and related correspondence on
individuals who have filed with OPM:
a. Requests for information under the provisions of the Freedom
of Information Act (5 U.S.C. 552), including requests for review of
initial denials of such requests.
b. Requests under the provisions of the Privacy Act (5 U.S.C.
552a) for records about themselves, including:
(1) Requests for notification of the existence of records about
them.
(2) Requests for access to these records.
(3) Requests for amendment of these records.
(4) Requests for review of initial denials of such requests for
notification, access, and amendment.
(5) Requests for an accounting of disclosure of records about
them.
Note: Since these PA/FOIA case records contain inquiries and
requests regarding any of OPM's other systems of records subject to
the Privacy Act, information about individuals from any of these
other systems may become part of this PA/FOIA Case Records system.
Categories of records in the system:
This system contains correspondence and other documents related
to requests made by individuals to OPM for:
a. Information under the provisions of the Freedom of Information
Act (5 U.S.C. 552), including requests for review of initial denials
of such requests.
b. Information under provisions of the Privacy Act (5 U.S.C.
552a) and requests for review of initial denials of such requests
made under OPM's Privacy Act regulations including requests for:
(1) Notification of the existence of records about them.
(2) Access to records about them.
(3) Amendment of records about them.
(4) Review of initial denials of such requests for notification,
access, or amendment.
(5) Requests for an accounting of disclosure of records about
them.
Authority for maintenance of the system:
Includes the Following with any Revisions and Amendments:
The Privacy Act of 1974 (5 U.S.C. 552a), the Freedom of
Information Act, as amended (5 U.S.C. 552), and 5 U.S.C. 301.
Purpose(s):
These records are maintained to process an individual's request
made under the provisions of the Freedom of Information and Privacy
Acts. The records are also used by OPM to prepare its reports to the
Office of Management and Budget and the Department of Justice
required by the Privacy and Freedom of Information Acts.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 and 3 through 10 of the Prefatory Statement of
OPM's system notices (60 FR 63075, effective January 17, 1996) apply
to the records maintained within this system. The following routine
uses are specific to this system of records only:
a. 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.
b. To disclose information to an agency, subject to law, rule, or
regulation enforced by OPM having been found in violation of such
law, rule, or regulation, in order to achieve compliance with OPM
instructions.
c. To disclose information to Federal agencies (e.g., Department
of Justice) in order to obtain advice and recommendations concerning
matters on which the agency has specialized experience or particular
competence, for use by OPM in making required determinations under
the Freedom of Information Act or the Privacy Act of 1974.
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 purpose of the request, and to
identify the type of information requested), where necessary to
obtain information relevant to an OPM decision concerning a Privacy
or Freedom of Information Act request.
e. To disclose to the Federal agency involved, an OPM decision on
an appeal from an initial denial of a request involving OPM-
controlled records.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
These records are maintained on one of the following: paper
copies in file folders, electronic copies on Local Area Network (LAN)
servers or diskettes, or microfilm.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained and year of the request.
Safeguards:
The records maintained on paper and microfilm are located in
lockable metal filing cabinets or in a secured room, with access
limited to personnel whose duties require access. Only authorized
personnel have access to the records on the LAN and diskettes.
Retention and disposal:
These records are maintained for varying periods of time, in
accordance with NARA General Records Schedule 14. Paper records are
destroyed by shredding or burning; microfilm and electronic records
are erased or deleted.
System manager(s) and address:
The system manager for PA/FOIA requests is: FOIA/PA Officer,
Office of the Chief Information Officer, Office of Personnel
Management, 1900 E Street NW., Washington DC 20415-7900.
The system manager for PA/FOIA appeals is: Office of the General
Counsel, Office of Personnel Management, 1900 E Street NW.,
Washington, DC 20415-1300.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager or
the program office where their original Privacy Act or Freedom of
Information Act requests were sent, or from where they received
responses to such requests. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Date of birth.
c. Approximate dates of Privacy Act or Freedom of Information Act
correspondence between OPM and the individual.
Record access procedures:
Material from other OPM systems of records which are exempt from
certain Privacy Act requirements may be included in this system as
part of a PA/FOIA case record. Such material retains its exemption if
it is included in this system of records. The section of this notice
titled Systems Exempted from Certain Provisions of the Act explains
the exemptions for this system.
Individuals wishing to request access to their records should
contact the system manager or the program office where their original
Privacy Act or Freedom of Information Act request was sent or from
which they received responses to such requests. Individuals must
furnish the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Approximate dates of Privacy Act or Freedom of Information Act
correspondence between OPM and the individual.
Individuals requesting access must also comply with OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedures:
Material from other OPM systems of records which are exempt from
certain Privacy Act requirements may be included in this system as
part of a PA/FOIA case record. Such material retains its exemption if
it is included in this system of records. The section of this notice
titled Systems Exempted from Certain Provisions of the Act explains
the exemptions for this system. Individuals wishing to request
amendment to their records should contact the system manager or the
program office where their original Privacy Act or Freedom of
Information Act requests were sent or from which they received
responses to such requests.
Individuals must furnish the following information for their
records to be located and identified:
a. Name.
b. Date of birth.
c. Appropriate dates of Privacy Act or Freedom of Information Act
correspondence between OPM and the individual.
Individuals requesting amendment must also comply with OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Note: The amendment provisions of this system are not intended to
permit an individual a second opportunity to request amendment of a
record which was the subject of the initial Privacy Act amendment
request which created the record in this system. That is, after an
individual has requested amendment of a specific record in an OPM
system under provisions of the Privacy Act, that specific record may
itself become part of this system of PA/FOIA Case Records. An
individual may not subsequently request amendment of that specific
record again, simply because a copy of the record has become part of
this second system of PA/FOIA Case Records.
Record source categories:
Information in this system of records is obtained from--
a. The individual to whom the information applies.
b. Officials of OPM.
c. Official documents of OPM.
Systems exempted from certain provisions of the act:
OPM has claimed exemptions for several of its other systems of
records under 5 U.S.C. 552a (k)(1), (2), (3), (4), (5), (6), and (7).
During the course of a PA/FOIA action, exempt materials from those
other systems may become part of the case records in this system. To
the extent that copies of exempt records from those other systems are
entered into these PA/FOIA case records, the office has claimed the
same exemptions for the records as they have in the original primary
systems of records which they are a part.
OPM/CENTRAL-9
System name: Personnel Investigations Records.
Security classification:
None for the system. However, items or records within the system
may have national security/foreign policy classifications up through
Secret.
System location:
a. Privacy system: Investigations Service, Office of Personnel
Management, Washington, DC 20415; Federal Investigations Processing
Center, PO Box 618, Boyers, PA 16018-0618; and the Federal Records
Center, Suitland, Maryland.
b. Decentralized segments: Copies of these records may exist
temporarily in agencies on current employees, former employees, or on
contractor employees. These copies may be located in the personnel
security office or other designated offices responsible for
suitability, security clearance, access, or hiring determination on
an individual. (``Agency'' as used throughout this system is deemed
to include Legislative and Judicial branch establishments as well as
those in the Executive Branch).
Categories of individuals covered by the system:
a. Current and former employees or applicants for employment in
the Federal service, including agency offices or establishments in
the executive, legislative, and judicial branches, and in the
Government of the District of Columbia or annuitant survivors.
b. American citizens who are current or former employees or
applicants for employment with International Organizations.
c. Individuals considered for access to classified information or
restricted areas and/or security determinations as contractors,
contractor employees, experts, instructors, and consultants to
Federal programs.
d. Individuals considered for assignments as representatives of
the Federal Government in volunteer programs.
e. Individuals who are neither applicants nor employees of the
Federal Government, but who are or were involved in Federal programs
under a co-operative assignment or under a similar agreement.
f. Individuals who are neither applicants nor employees of the
Federal Government, but who are or were involved in matters related
to the administration of the merit system.
Categories of records in the system:
These records contain investigative information regarding an
individual's character, conduct, and behavior in the community where
he or she lives or lived; arrests and convictions for violations
against the law; reports of interviews with the subject of the
investigation and with the present and former supervisors, co-
workers, associates, educators, etc.; reports about the
qualifications of an individual for a specific position and
correspondence relating to adjudication matters; reports of inquiries
with law enforcement agencies, employers, educational institutions
attended; reports of action after OPM or FBI Section 8(d) Full Field
Investigation; and other information developed from the above.
Note--This system does not include those agency records of a
personnel investigative nature that do not come to OPM.
Authority for maintenance of the system:
The authorities for maintenance of the system include the
following with any revisions or amendments:
a. Section 2, Civil Service Act of 1883--original authority.
b. Title 5, U.S.C., sections 1303, 1304, 3301, and 7701;
c. Title 22, U.S.C., sections 2519, and 2585;
d. Title 32, U.S.C., section 686; 42 U.S.C. sections 1874(c),
2165, and 2455.
e. Public Laws 82-298 and 92-261.
f. Executive Orders 9397, 10422, as amended; 10450, sections 7,
8(b), 8(c), and 14; and 10577.
g. OMB Circular No. A-130.
h. In addition to the authorities cited, there are various acts
of Congress that contain implied authority for OPM to investigate,
such as laws prohibiting the purchase and sale of office, holding of
two offices, conspiracy and other prohibitory statutes.
Purpose(s):
a. To provide investigatory information for determinations
concerning compliance with Federal personnel regulations and for
individual personnel determinations including suitability and fitness
for Federal employment, access and security clearances, evaluations
of qualifications, loyalty to the United States, and evaluations of
qualifications for performance of contractual services for the U.S.
Government.
b. To document such determinations.
c. To provide information necessary for the scheduling and
conduct of the required investigations.
d. To otherwise comply with mandates and Executive Orders.
e. 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 purposes of such uses:
Routine uses 4 through 10 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, having a need to evaluate
qualifications, suitability, and loyalty to the United States
Government and/or a security clearance or access determination.
b. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, when such agency, office, or
establishment conducts an investigation of the individual for
purposes of granting a security clearance, or for the purpose of
making a determination of qualifications, suitability, or loyalty to
the United States Government, or access to classified information or
restricted areas.
c. To designated officers and employees of agencies, offices, and
other establishments in the executive, judicial, or legislative
branches of the Federal Government, having the responsibility to
grant clearances to make a determination regarding access to
classified information or restricted areas, or to evaluate
qualifications, suitability, or loyalty to the United States
Government, in connection with performance of a service to the
Federal Government under a contract or other agreement.
d. To the intelligence agencies of the Department of Defense, the
National Security Agency, the Central Intelligence Agency, and the
Federal Bureau of Investigation for use in intelligence activities.
e. To any source from which information is requested in the
course of an investigation, to the extent necessary to identify the
individual, inform the source of the nature and purpose of the
investigation, and to identify the type of information requested.
f. To the appropriate Federal, State, local, tribal, foriegn, or
other public authority responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order
where OPM becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
g. To an agency, office, or other establishment in the executive,
legislative, or judicial branches of the Federal Government, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, the conducting
of a security or suitability investigation of an individual, the
classifying of jobs, the letting of a contract, or the issuance of 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 on the matter.
h. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual. However,
the investigative file, or perts thereof, will only be released to a
congressional office if OPM receives a notarized authorization or
signed statement under 28 U.S.C. 1746 from the subject of the
investigation.
i. 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.
j. To disclose information to contractors, grantees, experts,
consultants, or volunteers performing or working on a contract,
service, or job for the Federal Government.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
Records are maintained in file folders, in a computerized
electronic database, and on microfilm.
Retrievability:
Records are retrieved by the name, date of birth, and Social
Security Number of the individual on whom they are maintained.
Safeguards:
Folders and microfilm are maintained and secured with
manipulation proof combination locks and intrusion alarm systems; or
in metal file cabinets secured by three position combination lock.
The index to the system and those records which are maintained on the
computer database are in a limited access room with a keyless cipher
lock. All employees are required to have an appropriate security
clearance before they are allowed access to the records.
Retention and disposal:
a. Investigative files (if any) and the computerized data base
which shows the scheduling or completion of an investigation are
retained for 15 years, plus the current year from the date of the
most recent investigative activity, except for investigations
involving potentially actionable issue(s) which will be maintained
for 25 years plus the current year from the date of the most recent
investigative activity.
b. Hard copy records are destroyed by shredding and recycling,
and computerized records are destroyed by electronic erasure.
System manager(s) and address:
Associate Director Investigations Service, Office of Personnel
Management, PO Box 886, Washington DC 20044-0886.
Notification procedure:
Individuals wishing to learn whether this system contains
information about them should contact the FOI/P, OPM--Federal
Investigations Processing Center, PO Box 618, Boyers, PA 16018-0618,
in writing.
Individuals must furnish the following for their records to be
located and identified:
a. Full name.
b. Date and place of birth.
c. Social Security Number.
d. Signature.
e. Any available information regarding the type of record
involved.
f. The category of covered individuals under which the requester
believes he or she fits.
g. The address to which the record information should be sent.
Record access procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(c)(3) and (d), regarding accounting
of disclosures, and access to and 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 access.
Individuals wishing to request access to their records should
contact the Federal Investigations Processing Center in writing.
Requests should be directed only to the Federal Investigations
Processing Center whether the record sought is in the primary system
or in an agency's decentralized segment. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Date and place of birth.
c. Social Security Number.
d. Signature.
e. Any available information regarding the type of record
involved.
f. The category of covered individuals under which the requester
believes he or she fits.
g. The address to which the record 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 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 access to and 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.
Individuals wishing to request amendment to their non-exempt
records should contact the Federal Investigations Processing Center
in writing. Requests should be directed only to the Federal
Investigations Processing Center, whether the record sought is in the
primary system or in agency's decentralized segment. Individuals must
furnish the following information for their records to be located and
identified:
a. Full name.
b. Date and place of birth.
c. Social Security Number.
d. Signature.
e. Any information regarding the type of record involved.
f. The category of covered individuals under which the requester
believes he or she fits.
Individuals requesting amendment must also comply with OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Note--Where an agency retains the decentralized copy of the
investigative report provided by OPM, requests for access to or
amendment of such reports will be forwarded to the Federal
Investigations Processing Center for processing.
Record source categories:
Information contained in this system of records is obtained from:
a. Applications and other personnel and security forms and
personal interview furnished by the individual.
b. Investigative and other record material furnished by Federal
agencies.
c. Notices of personnel actions furnished by Federal agencies.
d. By personal investigation, written inquiry, or computer
linkage from sources such as employers, educational institutions,
references, neighbors, associates, police departments, courts, credit
bureau, medical records, probation officials, prison officials,
newspapers, magazines, periodicals, and other publications.
Systems exempted from certain provisions of the act:
OPM has claimed that all information in these records that meets
the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6),
or (7) is exempt from the requirements of the Privacy Act that relate
to providing an accounting of disclosures to the data subject, and
access to and amendment of records (5 U.S.C. 552a(c)(3) and (d)).
This system may contain the following types of information:
a. Properly classified information, obtained from another Federal
agency during the course of a personnel investigation, which pertains
to national defense and foreign policy. 5 U.S.C. 552a(k)(1) permits
an agency to exempt such materials from certain provisions of the
Act.
b. Investigatory material compiled for law enforcement purposes
other than material within the scope of this subsection. 5 U.S.C.
552a(k)(2) permits an agency to exempt such material from certain
provisions of the Act.
c. Investigatory material maintained in connection with providing
protective services to the President of the United States or other
individuals pursuant to section 3056 of title 18 of the U. S. Code. 5
U.S.C. 552a(k)(3) permits an agency to exempt such material from
certain provisions of the Act.
d. Investigatory material that is required by statute to be
maintained and used solely as a statistical record. 5 U.S.C.
552a(k)(4) permits an agency to exempt such material from certain
provisions of the Act.
e. Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment and Federal contact or access to classified
information. 5 U.S.C. 552a(k)(5) permits an agency to exempt such
material from certain provisions of the Act. Materials may be
exempted to the extent that release of the material to the individual
whom the information is about would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or,
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.
f. Testing and examination materials, compiled during the course
of a personnel investigation, that are used solely to determine
individual qualifications for appointment or promotion in the Federal
service. 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.
g. Evaluation materials, compiled during the course of a
personnel investigation, that are used solely to determine potential
for promotion in the armed services. 5 U.S.C. 552a(k)(7) permits an
agency to exempt such evaluation material to the extent that the
disclosure of the data would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
OPM/CENTRAL 10
System name:
Federal Executive Institute Program Participant Records.
System location:
Federal Executive Institute, Office of Executive and Management
Development, Office of Personnel Management, 1301 Emmet Street,
Charlottesville, VA 22903-4899.
Categories of individuals covered by the system:
All Federal, State, and local government employees (both current
and former), international executives, former faculty and staff, and
Fellowship students who have attended programs at the Federal
Executive Institute (FEI).
Categories of records in the system:
This system contains information supplied by the sponsoring
agency and the program participant, including application and consent
forms, supporting correspondence, class rosters and directories. The
records contain the name, position title, office address and
telephone number, Social Security Number, FEI program attended, and,
with the approval of the individual, home address and telephone
number of program participants. Demographic information is obtained
on a completely anonymous basis and is stored as such. It cannot be
retrieved as related to any individual. Race and National Origin
(RNO) information that is submitted and entered into the system is
immediately blocked from individual identification. The RNO
information system can generate general reports but the System
Administrator(s) is the only individual(s) that can access the
original information.
Authority for maintenance of the system:
Includes the following with any revisions and amendments:
5 U.S.C. 301 and 4117.
Purpose(s):
The records are used by FEI staff to administer the program, to
promote program participant interaction, and by FEI program
participants to maintain contact with other participants. These
records may be used to locate individuals for personnel research but
no records are released without prior permission. No RNO information
will be accessed except as a group with no individual recognition.
Routine uses of records maintained in the system, including THE
categories of users and the purposes of such uses:
Routine uses 1 through 10 of the Prefatory Statement at the
beginning of OPM's system notices (60 FR 63075, effective January 17,
1996) apply to the records maintained within this system.
The routine uses listed below are specific to this system of
records only:
a. To disclose information to Federal agencies to assist them in
planning for executive development programs.
b. To provide information to the FEI Alumni Association for the
purpose of mailing association materials to an alumni's home or
business address.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
Records are maintained in hard copy (for 2 years) and automated
form.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained. A secondary identifier will be the Social Security
Number of an individual (the secondary identifier will not be
released in any records). Records may also be retrieved by agency,
location and FEI programs.
Safeguards:
Records kept by FEI officials are maintained in a secured area
with access limited to those authorized personnel at FEI whose duties
require access. Distribution of information is limited to FEI program
participants and specified recipients. In addition:
a. At the request of the individual, his or her home address and
telephone number will not be released;
b. Social Security Numbers will not be included in any
information released.
c. At the request of the employing agency, information relating
to the individual's status (i.e., position title) will not be
released.
Retention and disposal:
Hard copies of applicant files are destroyed after a maximum of 3
years. The automated data base is an ongoing file system.
System manager(s) and address:
Director, Federal Executive Institute, Office of Executive and
Management Development, Office of Personnel Management, 1301 Emmet
Street, Charlottesville, VA 22903-4899; Computer Specialist, Federal
Executive Institute, Office of Executive and Management Development,
Office of Personnel Management, 1301 Emmet Street, Charlottesville,
VA 22903-4899.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the system manager(s).
Individuals must furnish the following information for their records
to be located and identified:
a. Name (possibly Social Security Number).
b. Agency.
c. FEI program attended and dates.
Record access procedures:
Individuals wishing to request access to their records should
contact the system manager(s). Individuals must furnish the following
information for their records to be located and identified:
a. Name (possibly Social Security Number).
b. Agency.
c. FEI program attended and dates.
Individuals requesting access must also follow OPM's Privacy Act
regulations regarding verification of identity and access to records
(5 CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment of records about them
should contact the system manager(s). Individuals must furnish the
following information for their records to be located and identified:
a. Name (possibly Social Security Number).
b. Agency.
c. FEI program attended and dates.
OPM/CENTRAL-11
System name: Presidential Management Intern Program Records.
System location:
Workforce Training Service, Office of Personnel Management, 1900
E Street NW, Washington, DC 20415.
Categories of individuals covered by the system:
Current and former PMI's and students pursuing graduate degrees
who have been nominated by their universities for consideration under
the PMI program.
Categories of records in the system:
These records contain information about the covered individuals
relating to name, Social Security Number, date of birth, race/
national origin, academic background, home address and telephone
number, employment history, veteran preference, and other personal
history information needed during the evaluation and selection
process. This system will also contain evaluation statements from the
nominating universities and confidential information developed during
the regional screening process and final panel evaluations.
Authority for maintenance of the system: Includes the following
with any revisions or amendments:
Executive Order 12364.
Purpose(s):
There records are used by program personnel for the following
reasons:
a. To determine basic program eligibility and to evaluate the
nominees in a regional screening process conducted by OPM regional
officials with the participation of agency managers, and State and
local government representatives.
b. To group the nominees into various categories (finalists,
alternatives, and non-selectees) and make a final determination as to
those candidates who will be referred to the agencies for employment
consideration.
c. For program evaluation functions to determine the
effectiveness of the program and to improve program operations.
d. To facilitate interaction and communication between PMIP
participants and alumni.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1, 3, 4, and 7 through 10 of the Prefatory Statement
at the beginning of OPM's system notices apply to the records
maintained within this system. The routine uses listed below are
specific to this system of records only:
a. To refer candidates to Federal agencies for employment
consideration.
b. To refer candidates to State and local governments,
congressional offices, international organizations, and other public
offices with permission of the candidates, for the purpose of
employment consideration.
c. To refer interns for consideration for reassignment and
promotion within the employing agencies.
d. As a data source for management information of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel research functions or manpower studies, or to
locate individuals for personnel research.
e. To request information from a Federal, State, or local agency
maintaining civil, criminal, or other information relevant to an
agency decision concerning the hiring or retention of a candidate.
f. To provide an educational institution with information on an
appointment of a recent graduate to a Federal position at a certain
grade level.
Policies and practices for storing, retrieving, retaining and
disposing of records in the system:
Storage:
The records are maintained on forms, lists, punched cards,
magnetic tape, and floppy disks.
Retrievability:
Records are indexed by name of nominee, schools, state of legal
residence, Social Security Number, and any combination of these.
Safeguards:
Records are maintained in lockable metal file cabinets and in a
computerized system accessible to only those program managers whose
official duties necessitate such access. Confidential passwords are
required for access to these automated records.
Retention and disposal:
Automated records are retained for up to five years. Manual
records are retained for up to three years. Tapes are erased and
manual records are burned or shredded.
System manager(s) and address:
Associate Director, Workforce Training Service, Office of
Personnel Management, 1900 E Street NW, Washington, DC 20415.
Notification procedure:
Individuals wishing to inquire whether this system contains
information 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. Address
c. Nominating university.
Record access procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d), regarding access to and amendment
of records. The section of the notice titled Systems Exempted From
Certain Provisions of the Act indicates the kinds of materials
exempted and the reasons for exempting them from access.
Current or former Presidential Management Interns or nominees who
wish to gain access to their non-exempt records should direct such a
request in writing to the system manager. Individuals must furnish
the following information for their records to be located and
identified:
a. Full name.
b. Address.
c. Academic year of nomination.
d. Nominating university.
Individuals must also comply with OPM's Privacy Act regulations
regarding verification of identity and access to records (5 CFR part
297).
Contesting record procedure ;
Specific material in this system has been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d), regarding access to and amendment
of records. The section of the notice titled Systems Exempted From
Certain Provisions of the Act indicates the kinds of materials
exempted and the reasons for exempting them from amendment.
Current or former Presidential Management Interns or nominees
wishing to request amendment of their non-exempt records should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Address.
c. Academic year of nomination.
d. Nominating university.
Individuals must also comply with OPM's Privacy Act regulations
regarding verification of identity and amendment of records (5 CFR
part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual to whom it applies.
b. Nominating university deans, Federal, State, and local
officials involved in the screening and selection process.
c. Employing agencies.
Systems exempted from certain provisions of the act:
This system contains testing and examination materials that are
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, for any such testing or
examination materials in the system.
OPM/CENTRAL-12
[Reserved].
OPM/CENTRAL-13
System name:
Executive Personnel Records.
System location:
Office of Executive Resources Management, Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415-0001.
Categories of individuals covered by the system:
Current and former appointees in the Senior Executive Service;
current and former incumbents of Executive Schedule, Scientific and
Professional research and development, Senior Level, Board of
Contract Appeals, and similar positions; former incumbents of General
Schedule 16-18 positions; and participants in and graduates of OPM-
approved agency Senior Executive candidate development programs.
Categories of records in the system:
These records include:
a. Demographic, appointment, and assignment information (e.g.,
name, office address, date of birth, Social Security Number, sex,
race and ethnic designation, titles of positions, pay rates, and
types of appointments).
b. Background data on work experience, educational experience,
publications or awards (includes performance ratings and any
performance, rank, or incentive awards received), and career
interests.
c. Determinations on nominees for Meritorious and Distinguished
Presidential Rank awards.
d. Determinations concerning executive (managerial)
qualifications (i.e., Qualification Review Board records).
e. Information on performance of executives (e.g., performance
ratings, performance awards, and incentive awards).
f. Information relating to participants (current and former) in
the sabbatical leave program (e.g., dates of participation and
reasons for the leave).
g. Applications from individuals who, within the 90-day period
provided for under 5 U.S.C. 3593(b), seek reemployment in the Senior
Executive Service.
h. Information concerning the reason(s) why an individual leaves
an executive position (e.g., retired, resigned, to enter private
industry, to work for a State government, or removed during probation
or after because of performance).
i. Information about the recruitment of individuals for executive
positions (e.g., recruited from another Federal agency or from
outside the Federal service).
Note: Automated and manual duplicates of records in this system,
maintained by agencies for purposes of actual administration of the
SES, along with other records agencies have on Federal executives,
are not considered part of this system. Such records are considered
general personnel records and are covered by the OPM/GOVT-1, General
Personnel Records system.
Authority for maintenance of the system:
Includes the following with any revisions and amendments:
5 U.S.C. 2101 through 2103; 3104; 3131 through 3134; 3136; 3324;
3325; 3391 through 3397; 3591 through 3596; 4311 through 4315; 4507;
5108; 5381 through 5385; 5752 through 5754; and 7541 through 7543.
Purpose(s):
The records are used to:
a. Assist OPM in carrying out its responsibilities under title 5,
U.S. Code, and OPM rules and regulations promulgated thereunder,
including the allocation and establishment of SES, Senior Level, and
Scientific and Professional research and development positions,
development of qualification standards for SES positions,
establishment and operation of one or more qualifications review
boards, establishment of programs to develop candidates for and
incumbents of executive positions, and development of performance
appraisal systems.
b. Pursuant to section 415 of the Civil Service Reform Act,
assist OPM in meeting its mandate to evaluate the effectiveness of
the SES and the manner in which the Service is administered.
c. Provide data used in policy formulation, program planning and
administration, research studies, and required reports regarding the
Government-wide executive program.
d. Locate specified groups of individuals for personnel research
(while protecting their individual privacy). Race and ethnic data and
performance ratings are collected for statistical use only.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 5, and 7 through 11, of the Prefatory
Statement at the beginning of OPM's system notices (60 FR 63075,
effective January 17, 1996) apply to the records maintained within
this system. The routine uses listed below are specific to this
system of records only:
a. To identify and refer qualified current or former Federal
employees to Federal agencies for executive vacancies.
b. To refer qualified current or former Federal employees or
retirees to State and local governments and international
organizations for employment considerations.
c. To provide an employing agency with extracts from the records
of that agency's employees in the system.
d. By OPM to locate individuals for personnel research or survey
response and in the production of summary descriptive statistics and
analytical studies in support of the functions for which the records
are collected and maintained, or for related work force studies.
While published 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.
e. To disclose information to any member of an agency's
Performance Review Board or other board or panel (e.g., one convened
to select or review nominees for awards of merit pay increases), when
the member is not an official of the employing agency; information
would then be used for the purposes of approving or recommending
selection of candidates for executive development programs, issuing a
performance appraisal rating, issuing performance awards, nominating
for Meritorious and Distinguished Executive ranks, and removal,
reduction-in-grade, and other personnel actions based on performance.
f. To provide information to the White House on executives with
noncareer appointments in the Senior Executive Service, in positions
formerly in the General Schedule filled by noncareer executive
assignments, in excepted positions paid at Executive Schedule pay
rates, and in positions in the Senior Level pay system or other pay
systems equivalent to those described which are filled by
Presidential appointment or excepted from the competitive service
because they are of a confidential or policy-determining character.
Policies and practices for storing, retrieving, safeguarding,
retaining and disposing of records in the system:
Storage:
Records are maintained in hardcopy, magnetic media, and
microfiche.
Retrievability:
Records are retrieved by the name and Social Security Number of
the individual to whom they pertain.
Safeguards:
Manual records are maintained in lockable metal filing cabinets
or in secured rooms with access limited to those whose official
duties require access. Access to computerized records is limited to
those whose official duties require access. Access to race and ethnic
data is restricted to specially designated OPM personnel.
Retention and disposal:
Records are retained for varying lengths of time, in accordance
with disposition schedules approved by NARA. Disposal of manual
records is by shredding or burning, electronic databases are erased.
System manager(s) and address:
Director, Office of Executive Resources Management, Office of
Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to inquire whether this system or records
contains information 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. Social Security Number.
c. Address where employed.
Record access procedures:
Individuals wishing to request access to records about themselves
should contact the system manager. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Social Security Number.
c. Address where employed.
An individual requesting access must also follow OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment of their records should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Social Security Number.
c. Address where employed.
Individuals requesting amendment must also follow OPM's Privacy
Act regulations regarding verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual named in the record.
b. His or her employing agency.
c. Official documents of OPM.
OPM/CENTRAL-14
System name:
Debarment or Suspension Records for Federal Employees Health
Benefits Program (FEHPB).
System location:
Administrative Sanctions Branch, Office of the Inspector General,
Office of Personnel Management, 1900 E Street, NW, Room CHP 1314,
Washington, DC 20415-0001.
Categories of individuals covered by the system:
Health care providers (physicians, hospitals and other
individuals or entities which furnish health care services or
supplies) and other participants who have been or are in the process
of being debarred, suspended, determined to be ineligible, or
otherwise excluded from participating in the Federal Employee Health
Benefits Program (FEHBP), and other federally authorized financial
and nonfinancial assistance and benefits under programs and
activities (nonprocurement) administered by OPM.
Categories of records in the system:
This system contains a listing of health care providers and other
participants, debarred, suspended, determined to be ineligible, or
otherwise excluded from participation in the FEHBP and other
federally authorized financial and nonfinancial assistance and
benefits under programs and activities (non-procurement) administered
by OPM. It includes records such as general correspondence,
statements of cause, case files, and other related documents.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
5 U.S.C. Appendix 3, Executive Orders 12549 and 12689, and 5 CFR
part 970.
Purpose(s):
Executive Orders 12549 and 12689 provide that Executive
departments and agencies participate in a governmentwide system for
nonprocurement debarment and suspension. This system of records
documents OPM's participation in the program to reduce fraud and
abuse in Federal nonprocurement programs and decisions regarding
actions taken to exclude participants in Federally authorized
nonprocurement programs administered by OPM.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses 1 through 11 of the Prefatory Statement at the
beginning of OPM's system notices apply to the records maintained
within this system. The routine uses listed below are specific to
this system of records only:
a. To disclose records to appropriate Federal, State and local
agencies if necessary and relevant to administering Federal financial
or nonfinancial assistance programs or benefits.
b. To disclose records for performance of a Federal duty to a
State or local agency, or financial institution.
c. To disclose information on excluded health care providers to
other persons involved in or affected by the action.
d. To disclose information to agencies or organizations that
license, certify, regulate, investigate, or prosecute persons or
organizations that provide health-related services or items to
determine possible disqualifying actions, practices, or conditions.
Policies and practices for storing, retrieving, safeguarding,
retaining and disposing of records in the system:
Storage:
These records are maintained in paper copy and automated form.
Retrievability:
These records are retrieved by name, address, occupation, Social
Security Number, and case number.
Safeguards:
Paper records are stored in lockable filing cabinets or secured
rooms. Automated records are protected by ID/password security
system. Records are available only to those persons whose official
duties require access.
Retention and disposal:
Records are placed in inactive files (cut at the end of each
fiscal year) when the case is closed. Inactive records are destroyed
after 10 years.
System manager(s) and address:
Chief, Administrative Sanctions Branch, Office of the Inspector
General Office of Personnel Management, 1900 E Street, NW, Room CHP
1314, Washington, DC 20415-0001.
Notification procedure:
Individuals wishing to determine whether this system of records
contains information on them should contact the system manager
indicated above. Individuals must furnish the following for their
records to be located and identified:
a. Full name.
b. Case number, if applicable.
c. Address.
d. Date of Birth.
e. Social Security Number and Tax Identification Number.
f. Health Insurance related Identification Number.
Record access procedure:
Individuals wishing to request access to records should contact
the system manager indicated above. Individuals must provide the
following information for their records to be located and identified:
a. Full name.
b. Case number, if applicable.
c. Address.
d. Date of Birth.
e. Social Security Number and Tax Identification Number.
f. Health Insurance related Identification Number.
Individuals requesting access must also follow the OPM's Privacy
Act regulations regarding verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment of records should
contact the system manager indicated above. Individuals must furnish
the following information for their records to be located and
identified:
a. Full name.
b. Case number, if applicable.
c. Address.
d. Date of Birth.
e. Social Security Number and Tax Identification Number.
f. Health Insurance related Identification Number.
Individuals requesting amendment must also follow the OPM's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Information in this system of records is obtained from:
a. The individual(s) to whom the record pertain(s).
b. Federal agencies.
c. State and local law enforcement officials.
d. Private agencies and organizations.
OPM/GOVT-1
System name:
General Personnel Records.
System location:
Records on current Federal employees are located at the Office
and with Personnel Officers or other designated offices of the local
installation of the department or agency that currently employs the
individual. When agencies determine that duplicates of these records
need to be located in a second office, e.g., an administrative office
closer to where the employee actually works, such copies are covered
by this system. Former Federal employees' Official Personnel Folders
(OPFs) are located at the National Personnel Records Center, National
Archives and Records Administration, 111 Winnebago Street, St. Louis,
Missouri 63118. Records not considered long-term records, but which
may be retained in the OPF or elsewhere during employment, and which
are also included in this system, may be retained by agencies for a
period of time after the employee leaves service.
The use of the phrase ``long-term'' to describe those records
filed on the right-hand-side of OPFs is used throughout this notice
because these records are not actually permanently retained. The term
``temporary'' is used when referencing short-term records filed on
the left-hand-side of OPFs and all other records not filed in the
OPF, but covered by this notice.
Note 1 --The records in this system are ``owned'' by the Office
of Personnel Management (Office) and should be provided to those
Office employees who have an official need or use for those records.
Therefore, if an employing agency is asked by an Office employee to
access the records within this system, such a request should be
honored.
Categories of individuals covered by the system:
Current and former Federal employees as defined in 5 U.S.C. 2105.
(Volunteers, grantees, and contract employees on whom the agency
maintains records may also be covered by this system).
Categories of records in the system:
All categories of records may include identifying information,
such as name(s), date of birth, home address, mailing address, social
security number, and home telephone. This system includes, but is not
limited to, contents of the OPF as specified in OPM's Operating
Manual, ``The Guide to Personnel Recordkeeping.'' Records in this
system are:
a. Records reflecting work experience, educational level
achieved, and specialized education or training obtained outside of
Federal service.
b. Records reflecting Federal service and documenting work
experience and specialized education received while employed. Such
records contain information about past and present positions held;
grades; salaries; duty station locations; and notices of all
personnel actions, such as appointments, transfers, reassignments,
details, promotions, demotions, reductions-in-force, resignations,
separations, suspensions, Office approval of disability retirement
applications, retirement, and removals.
c. Records on participation in the Federal Employees' Group Life
Insurance Program and Federal Employees Health Benefits Program.
d. Records relating to an Intergovernmental Personnel Act
assignment or Federal-private sector exchange program.
Note 2 --Some of these records may also become part of the OPM/
CENTRAL-5, Intergovernmental Personnel Act Assignment Record system.
e. Records relating to participation in an agency Federal
Executive or SES Candidate Development Program.
Note 3 --Some of these records may also become part of the OPM/
CENTRAL-3, Federal Executive Development Records; or OPM/CENTRAL-13,
Senior Executive Service Records systems.
f. Records relating to Government-sponsored training or
participation in an agency's Upward Mobility Program or other
personnel program designed to broaden an employee's work experiences
and for purposes of advancement (e.g., an administrative intern
program).
g. Records contained in the Central Personnel Data File (CPDF)
maintained by OPM and exact substantive representations in agency
manual or automated personnel information systems. These data
elements include many of the above records along with handicap and
race and national origin codes. A definitive list of CPDF data
elements is contained in OPM's Operating Manual, The Guide to the
Central Personnel Data File.
h. Records on the Senior Executive Service (SES) maintained by
agencies for use in making decisions affecting incumbents of these
positions, e.g., relating to sabbatical leave programs,
reassignments, and details, that are perhaps unique to the SES and
that may be filed in the employee's OPF. These records may also serve
as the basis for reports submitted to OPM for implementing OPM's
oversight responsibilities concerning the SES.
i. Records on an employee's activities on behalf of the
recognized labor organization representing agency employees,
including accounting of official time spent and documentation in
support of per diem and travel expenses.
Note 4 --Alternatively, such records may be retained by an agency
payroll office and thus be subject to the agency's internal Privacy
Act system for payroll records. The OPM/GOVT-1 system does not cover
general agency payroll records.
j. To the extent that the records listed here are also maintained
in an agency electronic personnel or microform records system, those
versions of these records are considered to be covered by this system
notice. Any additional copies of these records (excluding performance
ratings of record and conduct-related documents maintained by first
line supervisors and managers covered by the OPM/GOVT-2 system)
maintained by agencies at field/administrative offices remote from
where the original records exist are considered part of this system.
Note 5 --It is not the intent of OPM to limit this system of
records only to those records physically within the OPF. Records may
be filed in other folders located in offices other than where the OPF
is located. Further, as indicated in the records location section,
some of these records may be duplicated for maintenance at a site
closer to where the employee works (e.g., in an administrative office
or supervisors work folder) and still be covered by this system. In
addition, a working file that a supervisor or other agency official
is using that is derived from OPM/GOVT-1 is covered by this system
notice. This system also includes working files derived from this
notice that management is using in its personnel management capacity.
k. Records relating to designations for lump sum death benefits.
l. Records relating to classified information nondisclosure
agreements.
m. Records relating to the Thrift Savings Plan (TSP) concerning
the starting, changing, or stopping of contributions to the TSP as
well as the how the individual wants the investments to be made in
the various TSP Funds.
Authority for maintenance of the system:
5 U.S.C. 1302, 2951, 3301, 3372, 4118, 8347, and Executive Orders
9397, 9830, and 12107.
Purpose(s):
The OPF and other general personnel records files are the
official repository of the records, reports of personnel actions, and
the documents and papers required in connection with these actions
effected during an employee's Federal service. The personnel action
reports and other documents, some of which are filed as long-term
records in the OPF, give legal force and effect to personnel
transactions and establish employee rights and benefits under
pertinent laws and regulations governing Federal employment.
These files and records are maintained by OPM and the agencies
for the Office in accordance with Office regulations and
instructions. They provide the basic source of factual data about a
person's Federal employment while in the service and after his or her
separation. Records in this system have various uses by agency
personnel offices, including screening qualifications of employees;
determining status, eligibility, and employee's rights and benefits
under pertinent laws and regulations governing Federal employment;
computing length of service; and other information needed to provide
personnel services. These records and their automated or microform
equivalents may also be used to locate individuals for personnel
research.
Routine uses of records maintained in the systems, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to Government training facilities
(Federal, State, and local) and to non-Government training facilities
(private vendors of training courses or programs, private schools,
etc.) for training purposes.
b. To disclose information to education institutions on
appointment of a recent graduate to a position in the Federal
service, and to provide college and university officials with
information about their students working in the Student Career
Experiment Program, Volunteer Service, or other similar programs
necessary to a student's obtaining credit for the experience gained.
c. To disclose information to officials of foreign governments
for clearance before a Federal employee is assigned to that country.
d. To disclose information to the Department of Labor, Department
of Veterans Affairs, Social Security Administration, Department of
Defense, or any other Federal agencies that have special civilian
employee retirement programs; or to a national, State, county,
municipal, or other publicly recognized charitable or income
security, administration agency (e.g., State unemployment
compensation agencies), when necessary to adjudicate a claim under
the retirement, insurance, unemployment, or health benefits programs
of the Office or an agency cited above, or to an agency to conduct an
analytical study or audit of benefits being paid under such programs.
e. To disclose to the Office of Federal Employees Group Life
Insurance, information necessary to verify election, declination, or
waiver of regular and/or optional life insurance coverage,
eligibility for payment of a claim for life insurance, or to TSP
election change and designation of beneficiary.
f. To disclose, to health insurance carriers contracting with the
Office to provide a health benefits plan under the Federal Employees
Health Benefits Program, information necessary to identify enrollment
in a plan, to verify eligibility for payment of a claim for health
benefits, or to carry out the coordination or audit of benefit
provisions of such contracts.
g. To disclose information to a Federal, State, or local agency
for determination of an individual's entitlement to benefits in
connection with Federal Housing Administration programs.
h. To consider and select employees for incentive awards and
other honors and to publicize those granted. This may include
disclosure to other public and private organizations, including news
media, which grant or publicize employee recognition.
i. To consider employees for recognition through quality-step
increases, and to publicize those granted. This may include
disclosure to other public and private organizations, including news
media, which grant or publicize employee recognition.
j. To disclose information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting working conditions.
k. 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.
l. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
to identify the type of information requested), when necessary to
obtain information relevant to an agency decision to hire or retain
an employee, issue a security clearance, conduct a security or
suitability investigation of an individual, classify jobs, let a
contract, or issue a license, grant, or other benefits.
m. To disclose to a Federal agency in the executive, legislative,
or judicial branch of government, in response to its request, or at
the initiation of the agency maintaining the records, information in
connection with the hiring of an employee, the issuance of a security
clearance, the conducting of a security or suitability investigation
of an individual, the classifying of jobs, the letting of a contract,
the issuance of a license, grant, or other benefits by the requesting
agency, or the lawful statutory, administrative, or investigative
purpose of the agency to the extent that the information is relevant
and necessary to the requesting agency's decision.
n. 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.
o. 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 the individual.
p. 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 the judicial or administrative proceeding.
q. 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.
r. By the National Archives and Records Administration in records
management inspections and its role as Archivist.
s. By the agency maintaining the records or by the Office to
locate individuals for personnel research or survey response, and in
the production of 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.
t. To provide an official of another Federal agency information
needed in the performance of official duties related to reconciling
or reconstructing data files, in support of the functions for which
the records were collected and maintained.
u. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's record may be disclosed to any person who is responsible
for the care of the individual, to the extent necessary to assure
payment of benefits to which the individual is entitled.
v. To disclose to the agency-appointed representative of an
employee all notices, determinations, decisions, or other written
communications issued to the employee, in connection with an
examination ordered by the agency under fitness-for-duty examination
procedures.
w. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
x. To disclose to a requesting agency, organization, or
individual the home address and other relevant information on those
individuals who it reasonably believed might have contracted an
illness or might have been exposed to or suffered from a health
hazard while employed in the Federal workforce.
y. To disclose specific civil service employment information
required under law by the Department of Defense on individuals
identified as members of the Ready Reserve to assure continuous
mobilization readiness of Ready Reserve units and members, and to
identify demographic characteristics of civil service retirees for
national emergency mobilization purposes.
z. To disclose information to the Department of Defense, National
Oceanic and Atmospheric Administration, U.S. Public Health Service,
Department of Veterans Affairs, and the U.S. Coast Guard needed to
effect any adjustments in retired or retained pay required by the
dual compensation provisions of section 5532 of title 5, United
States Code.
aa. 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 regulations, investigation of alleged or possible
prohibited personnel practices, and such other functions promulgated
in 5 U.S.C. chapter 12, or as may be authorized by law.
bb. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations of
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, compliance by
Federal agencies with the Uniform Guidelines on Employee Selection
Procedures, or other functions vested in the Commission.
cc. To disclose information to the Federal Labor Relations
Authority (including its General Counsel) when requested in
connection with investigation and resolution of allegations of unfair
labor practices, in connection with the resolution of exceptions to
arbitrator's awards when a question of material fact is raised, to
investigate representation petitions and to conduct or supervise
representation elections, and in connection with matters before the
Federal Service Impasses Panel.
dd. To disclose to prospective non-Federal employers, the
following information about a specifically identified current or
former Federal employee:
(1) Tenure of employment;
(2) Civil service status;
(3) Length of service in the agency and the Government; and
(4) When separated, the date and nature of action as shown on the
Notification of Personnel Action--Standard Form 50 (or authorized
exception).
ee. To disclose information on employees of Federal health care
facilities to private sector (i.e., other than Federal, State, or
local government) agencies, boards, or commissions (e.g., the Joint
Commission on Accreditation of Hospitals). Such disclosures will be
made only when the disclosing agency determines that it is in the
Government's best interest (e.g., to comply with law, rule, or
regulation, to assist in the recruiting of staff in the community
where the facility operates or to avoid any adverse publicity that
may result from public criticism of the facility's failure to obtain
such approval, or to obtain accreditation or other approval rating).
Disclosure is to be made only to the extent that the information
disclosed is relevant and necessary for that purpose.
ff. To disclose information to any member of an agency's
Performance Review Board or other panel when the member is not an
official of the employing agency; information would then be used for
approving or recommending selection of candidates for executive
development or SES candidate programs, issuing a performance rating
of record, issuing performance awards, nominating for meritorious and
distinguished executive ranks, and removal, reduction-in-grade, and
other personnel actions based on performance.
gg. To disclose, either to the Federal Acquisition Institute
(FAI) or its agent, information about Federal employees in
procurement occupations and other occupations whose incumbents spend
the predominant amount of their work hours on procurement tasks;
provided that the information shall only be used for such purposes
and under such conditions as prescribed by the notice of the Federal
Acquisition Personnel Information System as published in the Federal
Register of February 7, 1980 (45 FR 8399).
hh. To disclose relevant information with personal identifiers of
Federal civilian employees whose records are contained in the Central
Personnel Data File to authorized Federal agencies and non-Federal
entities for use in computer matching. The matches will be performed
to help eliminate waste, fraud, and abuse in Governmental programs;
to help identify individuals who are potentially in violation of
civil or criminal law or regulation; and to collect debts and
overpayments owed to Federal, State, or local governments and their
components. The information disclosed may include, but is not limited
to, the name, social security number, date of birth, sex, annualized
salary rate, service computation date of basic active service,
veteran's preference, retirement status, occupational series, health
plan code, position occupied, work schedule (full time, part time, or
intermittent), agency identifier, geographic location (duty station
location), standard metropolitan service area, special program
identifier, and submitting office number of Federal employees.
ii. 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 individuals' employment histories
or 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 boards or the
appropriate non-government entities about the health care practices
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.
jj. To disclose information to contractors, grantees, or
volunteers performing or working on a contract, service, grant,
cooperative agreement, or job for the Federal Government.
kk. To disclose information to a Federal, State, or local
governmental entity or agency (or its agent) when necessary to locate
individuals who are owed money or property either by a Federal,
State, or local agency, or by a financial or similar institution.
ll. To disclose to a spouse or dependent child (or court-
appointed guardian thereof) of a Federal employee enrolled in the
Federal Employees Health Benefits Program, upon request, whether the
employee has changed from a self-and-family to a self-only health
benefits enrollment.
mm. To disclose information to the Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services, Federal Parent Locator System and Federal
Offset System for use in locating individuals, verifying social
security numbers, and identifying their incomes sources to establish
paternity, establish and modify orders of support and for enforcement
action.
nn. To disclose records on former Panama Canal Commission
employees to the Republic of Panama for use in employment matters.
Policies and practices for storing, retrieving, assessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders, on lists and forms,
microfilm or microfiche, and in computer processable storage media.
Retrievability:
These records are retrieved by various combinations of name,
birth date, social security number, or identification number of the
individual on whom they are maintained.
Safeguards:
Paper or microfiche/microfilmed records are located in locked
metal file cabinets or in secured rooms with access limited to those
personnel whose official duties require access. Access to
computerized records is limited, through use of access codes and
entry logs, to those whose official duties require access.
Retention and disposal:
The OPF is maintained for the period of the employee's service in
the agency and is then transferred to the National Personnel Records
Center for storage or, as appropriate, to the next employing Federal
agency. Other records are either retained at the agency for various
lengths of time in accordance with the National Archives and Records
Administration records schedules or destroyed when they have served
their purpose or when the employee leaves the agency.
a. Long-term records. The OPF is maintained by the employing
agency as long as the individual is employed with that agency.
Within 90 days after the individual separates from the Federal
service, the OPF is sent to the National Personnel Records Center for
long-term storage. In the case of administrative need, a retired
employee, or an employee who dies in service, the OPF is sent to the
Records Center within 120 days.
Destruction of the OPF is in accordance with General Records
Schedule-1 (GRS-1).
b. Other records. Other records are retained for varying periods
of time. Generally they are maintained for a minimum of 1 year or
until the employee transfers or separates.
c. Records contained on computer processable media within the
CPDF (and in agency's automated personnel records) may be retained
indefinitely as a basis for longitudinal work history statistical
studies. After the disposition date in GRS-1, such records should not
be used in making decisions concerning employees.
System manager(s) and address:
a. Assistant Director for Workforce Information, Office of Merit
Systems Oversight and Effectiveness, Office of Personnel Management,
1900 E Street, NW, Washington, DC 20415.
b. For current Federal employees, OPM has delegated to the
employing agency the Privacy Act responsibilities concerning access,
amendment, and disclosure of the records within this system notice.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate Office
or employing agency office, as follows:
a. Current Federal employees should contact the Personnel Officer
or other responsible official (as designated by the employing
agency), of the local agency installation at which employed regarding
records in this system.
b. Former Federal employees who want access to their Official
Personnel Folders should contact the National Personnel Records
Center (Civilian), 111 Winnebago Street, St. Louis, Missouri 63118,
regarding the records in this system. For other records covered by
the system notice, individuals should contact their former employing
agency.
Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
b. Date of birth.
c. Social security number.
d. Last employing agency (including duty station) and approximate
date(s) of the employment (for former Federal employees).
e. Signature.
Record access procedures:
Individuals wishing to request access to their records should
contact the appropriate OPM or agency office, as specified in the
Notification Procedure section. Individuals must furnish the
following information for their records to be located and identified:
a. Full name(s).
b. Date of birth.
c. Social security number.
d. Last employing agency (including duty station) and approximate
date(s) of employment (for former Federal employees).
e. Signature.
Individuals requesting access must also comply with the Office's
Privacy Act regulations on verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Current employees wishing to request amendment of their records
should contact their current agency. Former employees should contact
the system manager. Individuals must furnish the following
information for their records to be located and identified.
a. Full name(s).
b. Date of birth.
c. Social security number.
d. Last employing agency (including duty station) and approximate
date(s) of employment (for former Federal employees).
e. Signature.
Individuals requesting amendment must also comply with the
Office's Privacy Act regulations on verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Information in this system of records is provided by:
a. The individual on whom the record is maintained.
b. Educational institutions.
c. Agency officials and other individuals or entities.
d. Other sources of information for long-term records maintained
in an employee's OPF, in accordance with Code of Federal Regulations
5 CFR part 293, and OPM's Operating Manual, ``The Guide to Personnel
Recordkeeping.''
OPM/GOVT-2
System name::
Employee Performance File System Records:
System location:
Records maintained in this system may be located as follows:
a. In an Employee Performance File (EPF) maintained in the agency
office responsible for maintenance of the employee's Official
Personnel Folder (OPF) or other agency-designated office. This
includes those instances where the agency uses an envelope within the
OPF in lieu of a separate EPF folder.
b. In the EPF of Senior Executive Service (SES) appointees where
the agency elects to have the file maintained by the Performance
Review Boards required by 5 U.S.C. 4314(c)(1), or the administrative
office supporting the Board.
c. In any supervisor/manager's work folder maintained in the
office by the employee's immediate supervisor/manager or, where
agencies have determined that records management is better served, in
such folders maintained for supervisors/managers in a central
administrative office.
d. In an agency's electronic personnel records system.
e. In an agency microformed EPF.
Note 1 --Originals or copies of records covered by this system
may be located in more than one location, but if they become part of
an agency internal system (e.g., administrative or negotiated
grievance file), those copies then would be subject to the agency's
internal Privacy Act implementation guidance regarding their use
within the agency's system.
Note 2 --The records in this system are ``owned'' by the Office
of Personnel Management (Office) and should be provided to those
Office employees who have an official need or use for those records.
Therefore, if an employing agency is asked by an Office employee for
access to the records within this system, such a request should be
honored.
Categories of individuals covered by the system:
Current and former Federal employees (including SES appointees).
Categories of records in the system:
Records in this system, wherever they are maintained, may include
any or all of the following:
a. Annual summary performance ratings of record issued under
employee appraisal systems and any document that indicates that the
rating is being challenged under administrative procedures (e.g.,
when the employee files a grievance on the rating received).
b. A document (either the summary rating form itself or a form
affixed to it) that identifies the job elements and the standards for
those elements upon which the rating is based.
c. Supporting documentation for employee ratings of records, as
required by agency rating systems or implementing instructions, and
which may be filed physically with the rating of record (e.g.,
productivity and quality control records, records of employee
counseling, individual development plans, or other such records as
specified in agency issuances) and maintained, for example in a work
folder by supervisors/managers at the work site.
d. Records on SES appraisals generated by Performance Review
Boards, including statements of witnesses and transcripts of
hearings.
e. Written recommendations for awards, removals, demotions,
denials of within-grade increases, reassignments, training, pay
increases, cash bonuses, or other performance-based actions (e.g.,
nominations of SES employees for Meritorious or Distinguished
Executive), including supporting documentation.
f. Statements made (letter on or appended to the performance
rating document) by the employee (e.g., a statement of disagreement
with the rating or recommendation), in accordance with agency
performance plans and implementing instructions, regarding a rating
given and any recommendations made based on them.
Note 3 --When a recommendation by a supervisor/manager or a
statement made by the employee regarding the rating issued (or a
copy) becomes part of another Governmentwide system or internal
agency file (e.g., an SF 52 when the action is effected or when
documents or statements of disagreement are placed in a grievance
file), that document then becomes subject to that system's notice and
appropriate Office or employing agency Privacy Act requirements,
respectively, for the system of records covering that file.
g. Records created by Executive Resource Boards regarding
performance of an individual in an executive development program.
h. Records concerning performance during the supervisory or
managerial probationary period, the SES appointment probationary
period, or the employee's initial period of probation after
appointment.
i. Notices of commendations, recommendations for training, such
as an Individual Development Plan, and advice and counseling records
that are based on work performance.
j. Copies of supervisory ratings used in considering employees
for promotion or other position changes originated in conjunction
with agency merit promotion programs when specifically authorized for
retention in the EPF or work folder.
k. Performance-related material that may be maintained in the
work folder to assist the supervisor/manager in accurately assessing
employee performance. Such material may include transcripts of
employment and training history, documentation of special licenses,
certificates, or authorizations necessary in the performance of the
employee duties, and other such records that agencies determine to be
appropriate for retention in the work folder.
l. Standard Form 7B cards. (While the use of the SF 7B Card
system was cancelled effective December 31, 1992, this system notice
will cover any of those cards still in existence.)
Note 4 --To the extent that performance records covered by this
system are maintained in either an EPF, supervisor/manager work
folder, or an agency's electronic or microform record system, they
are considered covered under this system of records. Further, when
copies of records filed in the employee's OPF are maintained as
general records related to performance (item k above), those records
are to be considered as being covered by this system and not the OPM/
GOVT-1 system.
This notice does not cover these records (or copies) when they
become part of a grievance file or a 5 CFR parts 432, 752, or 754
file (documents maintained in these files are covered by the OPM/
GOVT-3 system of records, while grievance records are covered under
an agency-specific system), or when they become part of an appeal or
discrimination complaint file as such documents are considered to be
part of either the system of appeal records under the control of the
Merit Systems Protection Board (MSPB) or discrimination complaints
files under the control of the Equal Employment Opportunity
Commission (EEOC).
When an agency retains copies of records from this system in
another system of records, not covered by this or another OPM, MSPB,
or EEOC Government-wide system notice, the agency is solely
responsible for responding to any Privacy Act issues raised
concerning these documents.
The Office has adopted a position that when supervisors/managers
retain personal ``supervisory'' notes, i.e., information on employees
that the agency exercises no control and does not require or
specifically describe in its performance system, which remain solely
for the personal use of the author and are not provided to any other
person, and which are retained or discarded at the author's sole
discretion, such notes are not subject to the Privacy Act and are,
therefore, not considered part of this system. Should an agency
choose to adopt a position that such notes are subject to the Act,
that agency is solely responsible for dealing with Privacy Act
matters, including the requisite system notice, concerning them.
Authority for maintenance of the system:
Secs. 1104, 3321, 4305, and 5405 of title 5, U.S. Code, and
Executive Order 12107.
Purpose(s):
These records are maintained to ensure that all appropriate
records on an employee's performance are retained and are available
(1) To agency officials having a need for the information; (2) to
employees; (3) to support actions based on the records; (4) for use
by the Office in connection with its personnel management evaluation
role in the executive branch; and (5) to identify individuals for
personnel research.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
a. To disclose information to the Merit Systems Protection Board
or the Office of Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, review of
Office rules and regulations, investigations of alleged or possible
prohibited personnel practices, and other functions as promulgated in
5 U.S.C. chapter 12, or for such other functions as may be authorized
by law.
b. To disclose information to the EEOC when requested in
connection with investigations into alleged or possible
discrimination practices in the Federal sector, examination of
Federal Affirmative Action programs, compliance by Federal agencies
with the Uniform Guidelines on Employee Selection Procedures, or
other functions vested in the Commission.
c. To disclose information to the Federal Labor Relations
Authority (including its General Counsel) when requested in
connection with the investigation and resolution of allegations of
unfair labor practices, in connection with the resolution of
exceptions to arbitrator's awards where a question of material fact
is raised, and matters before the Federal Service Impasses Panel.
d. To consider and select employees for incentive awards,
quality-step increases, merit increases and performance awards, or
other pay bonuses, and other honors and to publicize those granted.
This may include disclosure to public and private organizations,
including news media, which grant or publicize employee awards or
honors.
e. To disclose information to an arbitrator to resolve disputes
under a negotiated grievance procedure or to officials of labor
organizations recognized under 5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive representation.
f. To disclose to an agency in the executive, legislative, or
judicial branch, or to the District of Columbia's government in
response to its request, or at the initiation of the agency
maintaining the records, information in connection with hiring or
retaining of an employee; issuing a security clearance; conducting a
security or suitability investigation of an individual; classifying
jobs; letting a contract; issuing a license, grant, or other benefits
by the requesting agency; or the lawful statutory, administrative, or
investigative purposes of the agency to the extent that the
information is relevant and necessary to the decision on the matter.
g. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
h. To disclose information to a congressional office from the
record or an individual in response to an inquiry from that
congressional office made at the request of the individual.
i. 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 the judicial or administrative proceeding.
j. 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.
k. By the National Archives and Records Administration in records
management inspections and its role as Archivist.
l. By the Office or employing agency to locate individuals for
personnel research or survey response and in producing summary
descriptive statistics and analytical studies to support 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.
m. To disclose pertinent information to the appropriate Federal,
State, or local government agency responsible for investigating,
prosecuting, enforcing, or implementing a statute, rule, regulation,
or order, where the agency maintaining the record becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation.
n. To disclose information to any member of an agency's
Performance Review Board or other board or panel when the member is
not an official of the employing agency. The information would then
be used for approving or recommending performance awards, nominating
for meritorious and distinguished executive ranks, and removal,
reduction-in-grade, and other personnel actions based on performance.
o. To disclose to Federal, State, local, and professional
licensing boards or Boards of Medical Examiners, when such records
reflect on the qualifications of individuals seeking to be licensed.
p. To disclose to contractors, grantees, or volunteers performing
or working on a contract, service, grant, cooperative agreement, or
job for the Federal Government.
q. To disclose records on former Panama Canal Commission
employees to the Republic of Panama for use in employment matters.
Policies and practices for storing, retrieving, assessing,
retaining and disposing of records in the system:
Storage:
Records are maintained in file folders, envelopes, and on
magnetic tapes, disks, microfilm, or microfiche.
Retrievability:
Records are retrieved by the name and social security number of
the individual on whom they are maintained.
Safeguards:
Records are maintained in file folders or envelopes, on
electronic media, magnetic tape, disks, or microforms and are stored
in locked desks, metal filing cabinets, or in a secured room with
access limited to those whose official duties require access.
Additional safeguarding procedures include the use of sign-out sheets
and restrictions on the number of employees able to access electronic
records through use of access codes and logs.
Retention and disposal:
Records on former non-SES employees will generally be retained no
longer than 1 year after the employee leaves his or her employing
agency. Records on former SES employees may be retained up to 5 years
under 5 U.S.C. 4314.
a. Summary performance appraisals (and related records as the
agency prescribes) on SES appointees are retained for 5 years and
ratings of record on other employees for 4 years, except as shown in
paragraph b. below, and are disposed of by shredding, burning,
erasing of disks, or in accordance with agency procedures regarding
destruction of personnel records, including giving them to the
individual. When a non-SES employee transfers to another agency or
leaves Federal employment, ratings of record and subsequent ratings
(4 years old or less) are to be filed on the temporary side of the
OPF and forwarded with the OPF.
b. Ratings of unacceptable performance and related documents,
pursuant to 5 U.S.C. 4303(d), are destroyed after the employee
completes 1 year of acceptable performance from the date of the
proposed removal or reduction-in-grade notice. (Destruction to be no
later than 30 days after the year is up.)
c. When a career appointee in the SES accepts a Presidential
appointment pursuant to 5 U.S.C. 3392(c), the employee's performance
folder remains active so long as the employee remains employed under
the Presidential appointment and elects to have certain provisions of
5 U.S.C. relating to the Service apply.
d. When an incumbent of the SES transfers to another position in
the Service, ratings and plans 5 years old or less shall be forwarded
to the gaining agency with the individual's OPF.
e. Some performance-related records (e.g., documents maintained
to assist rating officials in appraising performance or recommending
remedial actions or to show that the employee is currently licensed
or certified) may be destroyed after 1 year.
f. Where any of these documents are needed in connection with
administrative or negotiated grievance procedures, or quasi-judicial
or judicial proceedings, they may be retained as needed beyond the
retention schedules identified above.
g. Generally, agencies retain records on former employees for no
longer than 1 year after the employee leaves.
Note 5 --When an agency retains an electronic or microform
version of any of the above documents, retention of such records
longer than shown is permitted (except for those records subject to 5
U.S.C. 4303(d)) for agency use or for historical or statistical
analysis, but only so long as the record is not used in a
determination directly affecting the individual about whom the record
pertains (after the manual record has been or should have been
destroyed).
System manager(s) and address:
a. Assistant Director for Workforce Information, Office of Merit
System Oversight and Effectiveness, Office of Personnel Management,
1900 E Street, NW., Washington, DC 20415.
b. For current Federal employees, OPM has delegated to the
employing agency the Privacy Act responsibilities concerning access,
amendment, and disclosure of the record within this system notice.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact their servicing personnel
office, supervisor/manager, Performance Review Board office, or other
agency designated office maintaining their performance-related
records where they are or were employed. Individuals must furnish the
following information for their records to be located and identified:
a. Full name(s).
b. Social Security number.
c. Position occupied and unit where employed.
Record access procedure:
Individuals wishing access to their records should contact the
appropriate office indicated in the Notification Procedure section
where they are or were employed. Individuals must furnish the
following information for their records to be located and identified:
a. Full name(s).
b. Social security number.
c. Position occupied and unit where employed.
Individuals requesting access to records must also comply with
the Office's Privacy Act regulations on verification of identity and
access to records (5 CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment to their records should
contact the appropriate office indicated in the Notification
Procedure section where they are or were employed. Individuals must
furnish the following information for their records to be located and
identified:
a. Full name(s).
b. Social security number.
c. Position occupied and unit where employed.
Individuals requesting amendment must also comply with the
Office's Privacy Act regulations on verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Records in this system are obtained from:
a. Supervisors/managers.
b. Performance Review Boards.
c. Executive Resource Boards.
d. Other individuals or agency officials.
e. Other agency records.
f. The individual to whom the records pertain.
OPM/GOVT-3
System name:
Records of Adverse Actions, Performance Based Reduction in Grade
and Removal Actions, and Termination of Probationers.
System location:
These records are located in personnel or designated offices in
Federal agencies in which the actions were processed.
Categories of individuals covered by the system:
Current or former Federal employees (including Senior Executive
Service (SES) employees) against whom such an action has been
proposed or taken in accordance with 5 CFR parts 315 (subparts H and
I), 432, 752, or 754 of the Office's regulations.
Categories of records in the system:
This system contains records and documents on: (1) The processing
of adverse actions, performance based reduction in grade and removal
actions, and (2) the termination of employees serving initial
appointment probation and return to their former grade of employees
serving supervisory or managerial probation. The records include, as
appropriate, copies of the notice of proposed action, materials
relied on by the agency to support the reasons in the notice, replies
by the employee, statements of witness, hearing notices, reports, and
agency decisions.
Note: This system does not include records, including the action
file itself, compiled when such actions are appealed to the Merit
Systems Protection Board (MSPB) or become part of a discrimination
complaint record at the Equal Employment Opportunity Commission
(EEOC). Such appeal and discrimination complaint file records are
covered by the appropriate MSPB or EEOC system of records.
Authority for maintenance of the system:
5 U.S.C. 3321, 4303, 7504, 7514, and 7543.
Purpose(s):
These records result from the proposal, processing, and
documentation of these actions taken either by the Office or by
agencies against employees in accordance with 5 CFR parts 315
(subparts H and I), 432, 752, or 754 of the Office's regulations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
b. 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.
c. To disclose information to any source from which additional
information is requested for processing any of the covered actions or
in regard to any appeal or administrative review procedure, to the
extent necessary to identify the individual, inform the source of the
purpose(s) of the request, and identify the type of information
requested.
d. 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, or classifying jobs, to the extent
that the information is relevant and necessary to the requesting
agency's decision on the matter.
e. 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.
f. 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 the judicial or administrative proceeding.
g. 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.
h. By the National Archives and Records Administration in records
management inspections and its role as Archivist.
i. By the agency maintaining the records or the Office to locate
individuals for personnel research or survey response and 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.
j. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
k. 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 regulations, investigations of alleged or
possible prohibited personnel practices, and such other functions, as
promulgated in 5 U.S.C. 1205 and 1206, and as specified in 5 U.S.C.
7503(c) and 5 U.S.C. 7513(e), or as may be authorized by law.
l. To disclose information to the EEOC 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 on Employee Selection
Procedures, or other functions vested in the Commission.
m. 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 matters
before the Federal Service Impasses Panel.
n. To provide an official of another Federal agency information
he or she needs to know in the performance of his or her official
duties or reconciling or reconstructing data files, in support of the
functions for which the records were collected and maintained.
o. To disclose information to the Department of Labor, Department
of Veterans Administration, Social Security Administration,
Department of Defense, or any other Federal agencies that have
special civilian employee retirement programs; or to a national,
State, county, municipal, or other publicly recognized charitable or
income security, administration agency (e.g., State unemployment
compensation agencies), when necessary to adjudicate a claim under
the retirement, insurance, unemployment, or health benefits programs
of the Office or an agency to conduct an analytical study or audit of
benefits being paid under such programs.
p. To disclose 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, asssessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders, in automated media,
or on microfiche or microfilm.
Retrievability:
These records are retrieved by the names and social security
number of the individuals on whom they are maintained.
Safeguards:
These records are maintained in locked metal filing cabinets or
in automated media to which only authorized personnel have access.
Retention and disposal:
Records documenting an adverse action, performance-based removal
or demotion action, or covered actions against probationers are
disposed of not sooner than four years nor later than seven years
after the closing of the case in accordance with each agency's
records disposition manual. Disposal is by shredding, or erasure of
tapes (disks).
System manager(s) and address:
Chief, Office of Employee Relations and Health Services, Office
of Workforce Relations, Office of Personnel Management, 1900 E
Street, NW., Washington, DC 20415 for actions taken under parts 432,
752 (subparts A through D only), and 754. Assistant Director for
Executive Policy and Services, Office of Personnel Management, 1900 E
Street, NW., Washington, DC 20415 for actions taken against SES
appointees under subparts E and F, of part 752. Associate Director
for Employment Service for actions taken under part 315.
Notification procedure:
Individuals receiving notice of a proposed adverse, removal, or
demotion action must be provided access to all documents supporting
the notice. At any time thereafter, individuals subject to the action
will be provided access to the complete record. Individuals should
contact the agency personnel or designated office where the action
was processed regarding the existence of such records on them. They
must furnish the following information for their records to be
located and identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Record access procedure:
Individuals against whom such actions are taken must be provided
access to the record. However, after the action has been closed, an
individual may request access to the official file by contacting the
agency personnel or designated office where the action was processed.
Individuals must furnish the following information for their records
to be located and identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Individuals requesting access must also follow the Office's
Privacy Act regulations on verification of identity and access to
records (5 CFR part 297).
Contesting record procedure:
Review of requests from individuals seeking amendment of their
records that have or could have been the subject of a judicial,
quasi-judicial, or administrative action will be limited in scope.
Review of amendment requests of these records will be restricted to
determining if the record accurately documents the action of the
agency ruling on the case, and will not include a review of the
merits of the action, determination, or finding.
Individuals wishing to request amendment of their records to
correct factual errors should contact the agency personnel or
designated office where the actions were processed. Individuals must
furnish the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Approximate date of closing of the case and kind of action
taken.
d. Organizational component involved.
Individuals requesting amendment must also follow the Office's
Privacy Act regulations on verification of identity and amendment of
records (5 CFR part 297).
Record source categories:
Information in this system of records is provided:
a. By supervisors/managers.
b. By the individual on whom the record is maintained.
c. By testimony of witnesses.
d. By other agency officials.
e. By other agency records.
f. From related correspondence from organizations or persons.
OPM/GOVT-4 [Reserved]
OPM/GOVT-5
System name:
Recruiting, Examining, and Placement Records.
System location:
Associate Director for Employment Service, 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 --The Office 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 the Office's position that 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 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, assessing,
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:
Associate Director for Employment Service, Office of Personnel
Management, 1900 E Street, NW., Washington, DC 20415.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the agency or the
Office 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 Office 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 Office'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 Office
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
Office'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 Office'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 Office 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 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. The Office 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.
OPM/GOVT-6
System name:
Personnel Research and Test Validation Records.
System location:
Director, Office of Personnel Resources and Development,
Employment Service, Room 6500, Office of Personnel Management, 1900 E
Street, NW., Washington, DC 20415-9200; OPM's Service Centers, and
agency personnel offices (or other designated offices) conducting
personnel research.
Categories of individuals covered by the system:
Current and former Federal employees, applicants for Federal
employment, current and former State and local government employees,
and applicants for State and local government employment, selected
private sector employees, and applicants for sample comparison
groups.
Categories of records in the system:
These records include information on education and employment
history, test scores, responses to test items and questionnaires,
interview data, and ratings of supervisors regarding the individuals
to whom the records pertain. Additional information (race, national
origin, disability status, and background) is collected from
applicants for certain examinations.
Authority for maintenance of the system:
5 U.S.C. 1303, 3301, and 4702.
Purpose(s):
These records are collected, maintained, and used by the Office
or other Federal agencies for the construction, analysis, and
validation of written tests and other assessment instruments used in
personnel selection and appraisal, other assessment instruments used
in personnel selection and appraisal, and for research on and
evaluation of personnel/organizational management and staffing
methods, including workforce effectiveness studies. Agencies and the
Office may provide each other with data collected in support of these
functions. Such research includes studies extending over a period of
time (longitudinal studies). Private sector data are used in research
only, to evaluate Federal study results against non-Federal
comparison groups. Race and national origin data are used by the
Office or other agencies to evaluate the role and effects of
selection procedures in the total employee staffing process. Use of
these race and national origin data is limited to such evaluation,
oversight and research projects conducted by the employing agencies
or the Office. The records may also be used by the Office or other
Federal agencies to locate individuals for personnel research. Data
are collected on a project-by-project basis under conditions assuring
the confidentiality of the information. No personnel action or
selection is made using these research records.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Under normal circumstances, no individually identifiable records
will be provided. However, under those unusual circumstances when an
individually identifiable record is required, proper safeguards will
be maintained to protect the information collected from unwarranted
invasion of personal privacy. Such protection must be specified in
writing by the requester and, to the satisfaction of the agency
official responsible for maintaining the data, indicate that the
proposed use of the data is in compliance with the letter and spirit
of the Privacy Act. Under these circumstances, the routine uses are
as follows:
a. By the OPM or employing agency maintaining the records to
locate individuals for personnel research or survey responses and in
the production of 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.
b. To furnish personnel records and information to the Equal
Employment Opportunity Commission for use in determining the
existence of adverse impact in the total selection program, reviewing
allegations of discrimination, or assessing the status of compliance
with Federal law.
c. To furnish information to the Merit Systems Protection Board
or the Office of the Special Counsel in connection with actions by
offices relating to allegations of discriminatory practices on the
part of an agency or one of its employees.
d. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
e. 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 the judicial or administrative proceeding.
f. 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, where 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.
g. To provide information to a congressional office from the
record of an individual in response to a request from that
congressional office made at the request of that individual.
h. To provide aggregate data to non-Federal organizations
participating in workforce studies. These data will be limited to
individuals associated with the organization requesting the data or
to data aggregated for all organizations in a study.
i. To disclose information to contractors, grantees, or
volunteers performing or working on a contract, service, grant,
cooperative agreement, or job for the Federal Government.
j. To disclose research records to a court or other body in
camera when tests and other assessment instruments are involved.
Policies and practices for storing, retaining, assessing, and
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders, disks, magnetic
tape, CD Rom, and optical disks.
Retrievability:
Records are generally maintained by project. Personal information
can be retrieved by name or personal identifier only for certain
research projects such as those involving longitudinal studies.
Safeguards:
Records are kept in locked files in a locked room with access
limited to authorized staff. Access to tape, disk, and other files
used in data processing will be only by authorized staff.
Retention and disposal:
Records are retained for 2 years after completion of the project
unless needed in the course of litigation or other administrative
actions involving a research or test validation survey. Records
collected for longitudinal studies will be maintained indefinitely.
Manual records are destroyed by shredding or burning and magnetic
tapes and disks are erased.
System manager(s) and address:
Director, Office of Personnel Resources and Development,
Employment Service, Room 6500, Office of Personnel Management, 1900 E
Street, NW., Washington, DC 20415-9200.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager,
the OPM regional office servicing the State where they are employed,
or their employing agency's personnel office. Individuals must
furnish the following information for their records to be located and
identified:
a. Full name.
b. Date of birth.
c. If known, the title, time, and/or place of the research study
in which the individual participated.
d. Social security number.
e. Signature.
Record access procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d), regarding access to 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 access. Individuals wishing to
request access to non-exempt records should contact the appropriate
office listed in the Notification Procedure section. Individuals must
furnish the following information for their records to be located and
identified:
a. Full name.
b. Date of birth.
c. If known, the title, time, and/or place of the research study
in which the individual participated.
d. Social security number.
e. Signature.
Individuals requesting access must also comply with the Office'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 materials exempted and
the reasons for exempting them from amendment. Individuals wishing to
request amendment of any non-exempt records should contact the
appropriate office listed in the Notification Procedure section.
Individuals must furnish the following information for their records
to be located and identified:
a. Full name.
b. Date of birth.
c. If known, the title, time, and/or place of the research study
in which the individual participated.
d. Social security number.
e. Signature.
Individuals requesting amendment must also comply with the
Office's Privacy Act regulations on verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
Individual applicants and employees; supervisors; assessment
center assessors; and agency or Office personnel files and records
(e.g., race, sex, national origin, and disability status data from
OPM/GOVT-1 and OPM/GOVT-7 systems of records).
Systems exempted from certain provisions of the act:
This system contains testing and examination materials that are
used solely to determine individual qualifications for appointment,
career development, 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 and examination material and information from certain
provisions of the Act, when the disclosure of the material would
compromise the objectivity or fairness of the testing or examination
process. The Office has claimed exemptions from the requirements of 5
U.S.C. 552a(d), which relates to access to and amendment of records.
This system contains records required to be maintained and used
solely for statistical purposes. The Privacy Act, at 5 U.S.C.
552a(k)(4), permits an agency to exempt all such statistical records
from certain provisions of the Act, when the disclosure of the
material would compromise the objectivity and fairness of these
records. The Office has claimed exemptions from the requirements of 5
U.S.C. 552a(d), which relates to access to and amendment of records.
The specific materials exempted include, but are not limited to,
the following:
a. Answer keys.
b. Assessment center and interview exercises.
c. Assessment center and interview exercise reports.
d. Assessor guidance material.
e. Assessment center observation reports.
f. Assessment center and interview summary reports.
g. Other applicant appraisal methods, such as performance tests,
work samples and simulations, miniature training and evaluation
exercises, interviews, 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. Ratings 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.
o. Those portions of research and development files that could
specifically reveal the contents of the above exempt documents.
p. Performance appraisals for research purposes.
OPM/GOVT-7
System name:
Applicant Race, Sex, National Origin, and Disability Status
Records.
System location:
Records in this system may be located in the following offices:
a. Director Office of Personnel Resources and Development,
Employment Service, Office of Personnel Management, 1900 E Street,
NW., Washington, DC 20415.
b. Office of Diversity, Employment Service, Office of Personnel
Management, 1900 E Street, NW., Washington, DC 20415.
c. OPM's Service Centers, and any register-holding offices under
the jurisdiction of the Service Center.
Categories of individuals covered by the system:
Current and former Federal employees and individuals who have
applied for Federal employment, including:
a. Applicants for examinations administered either by the Office
or by employing agencies.
b. Applicants on registers or in inventories by the Office and
subject to its regulations.
c. Applicants for positions in agencies having direct hiring
authority and using their own examining procedures in compliance with
the Office regulations.
d. Applicants whose records are retained in an agency's Equal
Opportunity Recruitment file (including any file an agency maintains
on current employees from under-represented groups).
e. Applicants (including current and former Federal employees)
who apply for vacancies announced under an agency's merit promotion
plan.
Categories of records in the system:
The records include the individual's name; social security
number; date of birth; statement of major field of study; type of
current or former Federal employment status (e.g., career or
temporary); applications showing work and education experience; and
race, sex, national origin, and disability status data.
Note --The race and national origin information in this system is
obtained by three alternative methods: (1) Use of an agency's OMB
approved form on which individuals identify themselves as to race and
national origin; (2) by visual observation (race) or knowledge of an
individual's background (national origin); or (3) at the agency's
option, from the OPM/GOVT-1 system in the case of applicants who are
current Federal employees. Disability status is obtained by use of
Standard Form 256, ``Self Identification of Medical Disability,''
which allows for a description by self-identification of the
handicap.
Authority for maintenance of the system:
5 U.S.C. 7201, sections 4A, 4B, 15A(1) and (2), 15B(11), and
15D(11); Uniform Guidelines on Employee Selection Procedures (1978);
43 FR 38297 et seq. (August 25, 1978); 29 CFR 720.301; and 29 CFR
1613.301.
Purpose(s):
These records are used by OPM and agencies to:
a. Evaluate personnel/organizational measurement and selection
methods.
b. Implement and evaluate agency affirmative employment programs.
c. Implement and evaluate agency Federal Equal Opportunity
Recruitment Programs (including establishment of minority recruitment
files).
d. Enable the Office to meet its responsibility to assess an
agency's implementation of the Federal Equal Opportunity Recruitment
Program.
e. Determine adverse impact in the selection process as required
by the Uniform Guidelines cited in the Authority section above. (See
also ``Questions and Answers,'' on those Guidelines published at 44
FR 11996, March 2, 1979.)
f. Enable reports to be prepared regarding breakdowns by race,
sex, and national origin of applicants (by exams taken, and on the
selection of such applicants for employment).
g. To locate individuals for personnel research.
Note 1 --These data are maintained under conditions that ensure
that the individual's identification as to race, sex, national
origin, or disability status does not accompany that individual's
application nor is otherwise made known when the individual is under
consideration by a selecting official.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. To disclose information to the Equal Employment Opportunity
Commission (EEOC), in response to its request for use in the conduct
of an examination of an agency's compliance with affirmative action
plan instructions and the Uniform Guidelines on Employee Selection
Procedures (1978), or other requirements imposed on agencies under
EEOC authorities in connection with agency Equal Employment
Opportunity programs.
b. To disclose information to the Merit Systems Protection Board
or the Office of the Special Counsel in connection with the
processing of appeals, special studies relating to the civil service
and other merit systems in the executive branch, investigations into
allegations of 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.
c. By the Office or employing agency maintaining the records to
locate individuals for personnel research or survey response and in
the production of 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.
d. To disclose information to a Federal agency in response to its
request for use in its Federal Equal Opportunity Recruitment Program
to the extent that the information is relevant and necessary to the
agency's efforts in identifying possible sources for minority
recruitment.
e. To provide information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
f. 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 party to a judicial or administrative proceeding.
g. 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, where 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.
h. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
i. 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, assessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders and on magnetic tape
and disks.
Retrievability:
Records are retrieved by the name and social security number of
the individuals on whom they are maintained.
Safeguards:
Records are retained in locked metal filing cabinets in a secured
room or in a computerized system accessible by confidential passwords
issued only to specific personnel.
Retention and disposal:
Records are generally retained for 2 years, except when needed to
process applications or to prepare adverse impact and related
reports, or for as long as an application is still under
consideration for selection purposes. When records are needed in the
course of an administrative procedure or litigation, they may be
maintained until the administrative procedure or litigation is
completed. Manual records are shredded or burned and magnetic tapes
and disks are erased.
Note 2 --When an agency retains an automated version of any of
the records in this system, maintenance of that record beyond the
above retention schedules is permitted for historical or statistical
analysis, but only so long as the record is not used in a
determination directly affecting the individual about whom the record
pertains after the prescribed destruction date.
System manager(s) and address:
Director, Office of Personnel Resources and Development,
Employment Service, Office of Personnel Management, 1900 E Street,
NW., Washington, DC 20415.
Notification procedure:
Those individuals wishing to inquire if this system contains
information about them should contact the system manager; OPM's
Service Centers covering the locations where the application for
Federal employment was filed; or the personnel, Equal Employment
Opportunity, or Equal Employment Opportunity Recruitment office or
other designated office where they took an exam, filed an
application, or where they are employed. Individuals must furnish the
following information for their records to be located and identified:
a. Name.
b. Social security number.
c. Title of examination, position, or vacancy announcement for
which they filed.
d. The OPM or employing agency office where they are employed or
submitted the information.
e. Signature.
Record access procedure:
Individuals wishing to request access to records about themselves
should contact the appropriate office shown in the Notification
Procedure section. Individuals must furnish the following information
for their records to be located and identified:
a. Name.
b. Social security number.
c. Title of examination, position, or vacancy announcement for
which they filed.
d. The OPM or employing agency office where they are employed or
submitted the information.
e. Signature.
An individual requesting access must also follow OPM's Privacy
Act regulations on verification of identity and access to records (5
CFR part 297).
Contesting record procedure:
Individuals wishing to request amendment of their records should
contact the appropriate office shown in the Notification Procedure
section. Individuals must furnish the following information for their
records to be located and identified.
a. Name.
b. Social security number.
c. Title of examination, position, or vacancy announcement for
which they filed.
d. The OPM or employing agency office where they are employed or
submitted the information.
e. Signature.
An individual requesting amendment must also follow OPM's Privacy
Act regulations on verification of identity and amendment of records
(5 CFR part 297).
Record source categories:
Information is provided by the individual to whom the record
pertains, on forms approved by the Office of Management and Budget or
is obtained directly from other agency or OPM records (e.g., race,
sex, national origin, and disability status data may be obtained from
the OPM/GOVT-1, General Personnel Records system).
OPM/GOVT-8--[Reserved]
OPM/GOVT-9
System name:
File on Position Classification Appeals, Job Grading Appeals,
Retained Grade or Pay Appeals, and Fair Labor Standard Act (FLSA)
Claims and Complaints.
System location:
These records are located at the Office of Personnel Management,
1900 E Street NW., Washington, DC 20415, OPM Oversight Division
Offices, agency personnel offices (or other designated offices), and
Federal records centers.
Categories of individuals covered by the system:
a. Current and former Federal employees who have filed a position
classification appeal or a job grading appeal with a U.S. Office of
Personnel Management Oversight Division Office, or with their agency.
b. Current and former Federal employees who have filed a retained
grade or pay appeal with a U.S. Office of Personnel Management
Oversight Division Office.
c. Current and former Federal employees who have filed a claim or
complaints under the Fair Labor Standards Act (FLSA) with a U.S.
Office of Personnel Management Oversight office or with their agency.
Categories of records in the system:
This system of records contains information or documents relating
to the processing and adjudication of a position classification
appeal, job grading appeal, retained grade or pay appeal, or FLSA
claim or complaint. The records may include information and documents
regarding a personnel action of the agency involved and the decision
or determination rendered by an agency regarding the classifying or
grading of a position, whether an employee is to remain in a retained
grade or pay category, the FLSA exemption status of an employee, or
other FLSA claims or complaints. This system may also include
transcripts of agency hearings and statements from agency employees.
Note 1 --This system notice also covers agency files created
when: (a) An employee appeals a position classification or job
grading decision to OPM or within the agency regardless of whether
that agency appeal decision is further appealed to OPM; and (b) an
employee files a retained grade or pay appeal with OPM, and (c) FLSA
claims or complaints submitted to OPM or to the agency regardless of
whether the agency decision is the subject of an FLSA claim or
complaints submitted to OPM.
Authority for maintenance of the system:
5 U.S.C. 5112, 5115, 5346, and 5366, for position classification
appeals, job grading appeals, and retained grade or pay appeals. 29
U.S.C. 204(f) for FLSA claims and complaints.
Purpose(s):
These records are primarily used to document the processing and
adjudication of a position classification appeal, job grading appeal,
retained grade or pay appeal, or FLSA claim or complaint. Internally,
OPM may use these records to locate individuals for personnel
research.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to the appropriate Federal,
State, or local government 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.
b. 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.
c. 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.
d. To disclose information to any source from which additional
information is requested in the course of adjudicating a position
classification appeal, job grading appeal, retained grade or pay
appeal, or FLSA claim or complaint to the extent necessary to
identify the individual, inform the source of the purpose(s) of the
request, and identify the type of information requested.
e. To disclose information to a Federal agency, in response to
its request, in connection with the hiring, retaining or assigning of
an employee, issuing a security clearance, conducting a security or
suitability investigation of an individual, classifying positions,
and making FLSA exemption status determinations, or adjudicating FLSA
claims and complaints to the extent that the information is relevant
and necessary to the requesting agency's decision on the matter.
f. 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 the judicial or administrative proceeding.
g. 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, where 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.
h. By the Office or an agency in the production of 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.
i. By the National Archives and Records Administration in records
management inspections and its role as Archivist.
j. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
k. 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 regulations, investigations of alleged or
possible prohibited personnel practices, and such other functions;
e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may be
authorized by law.
l. 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 on Employee Selection
Procedures, or other functions vested in the Commission, and to
otherwise ensure compliance with the provisions of 5 U.S.C. 7201.
m. 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 matters
before the Federal Service Impasses Panel.
n. 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, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders and binders and on
index cards, magnetic tape, disks, and microfiche.
Retention and disposal:
These records are retrieved by the subject's name, and the name
of the employing agency of the individual on whom the record is
maintained.
Safeguards:
These records are located in lockable metal filing cabinets or
automated media in a secured room, with access limited to those
persons whose official duties require and such access.
Retention and disposal:
Records related to position classification appeal, job grading
appeal, retained grade or pay appeal files, and FLSA claims or
complaints are maintained for 7 years after closing action on the
case. Records are destroyed by shredding, burning, or erasing as
appropriate.
System manager(s) and address:
Assistant Director for Merit Systems Oversight, U. S. Office of
Personnel Management, 1900 E Street NW., Washington, DC 20415.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should:
a. For records pertaining to retained grade or pay appeals,
contact the system manager or the appropriate OPM Oversight Division
Office.
b. For records pertaining to a position classification appeal,
job grading appeal, or FLSA claim or complaint where the appeal was
made only to OPM, contact the system manager or the OPM Oversight
Division Office, as appropriate.
c. For records pertaining to a position classification appeal, a
job grading appeal, or FLSA claim or complaint filed with both the
agency and OPM, contact the agency personnel officer, other
designated officer, or the system manager, or the OPM Oversight
Division Office, as appropriate.
Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
b. Date of birth.
c. Agency in which employed when the appeal, or FLSA claim or
complaint was filed and the approximate date of the closing of the
case.
d. Kind of action (e.g., position classification appeal, job
grading appeal, retained grade or pay appeal, or FLSA claim or
complaint).
Record access procedure:
Individuals who have filed a position classification appeal, job
grading appeal, a retained grade or pay appeal, or FLSA claim or
complaint, must be provided access to the record. However, after the
appeal or FLSA claim or complaint has been closed, an individual may
request access to the official copy of the records by writing the
official indicated in the Notification Procedure section. Individuals
must furnish the following information for their records to be
located and identified:
a. Full name.
b. Date of birth.
c. Agency in which employed when appeal or FLSA claim or
complaint was filed and the approximate date of the closing of the
case.
d. Kind of action (e.g., position classification appeal, job
grading appeal, retained grade or pay appeal, or FLSA claim or
complaint).
Individuals requesting access must also follow OPM's Privacy Act
regulations on verification of identity and access to records (5 CFR
part 297).
Contesting record procedure:
Review of requests from individuals seeking amendment of their
records that have previously been or could have been the subject of a
judicial or quasi-judicial action will be limited in scope. Review of
amendment requests of these records will be restricted to determining
if the record accurately documents the action of the agency or
administrative body ruling on the case, and will not include a review
of the merits of the action, determination, or finding. Individuals
wishing to request an amendment to their records to correct factual
errors should contact the appropriate official indicated in the
Notification Procedure section. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Agency in which employed when the appeal or FLSA claim or
complaint was filed and the approximate date of the closing of the
case.
d. Kind of action (e.g., position classification appeal, job
grading appeal, retained grade or pay appeal, or FLSA claim or
complaint).
Individuals requesting amendment of their records must also
follow OPM's Privacy Act regulations on verification of identity and
amendment of records (5 CFR part 297).
Record source categories:
a. Individual to whom the record pertains.
b. Agency and/or OPM records relating to the action.
c. Statements from employees or testimony of witnesses.
d. Transcript of hearings.
OPM/GOVT-10
System name:
Employee Medical File System Records.
System location:
a. For current employees, records are located in agency medical,
personnel, dispensary, health, safety, or other designated offices
within the agency, or contractors performing a medical function for
the agency.
b. For former employees, most records will be located in an
Employee Medical Folder (EMF) stored at the National Personnel
Records Center operated by the National Archives and Records
Administration (NARA). In some cases, agencies may retain for a
limited time (e.g., up to 3 years) some records on former employees.
Note 1 --The records in this system of records are ``owned'' by
the Office of Personnel Management (Office) and should be provided to
those Office employees who have an official need or use for those
records. Therefore, if an employing agency is asked by an Office
employee to access the records within this system, such a request
should be honored.
Categories of individuals covered by the system:
Current and former Federal civilian employees as defined in 5
U.S.C. 2105.
Categories of records in the system:
Records maintained in this system include:
a. Medical records, forms, and reports completed or obtained when
an individual applies for a Federal job and is subsequently employed;
b. Medical records, forms, and reports completed during
employment as a condition of employment, either by the employing
agency or by another agency, State or local government entity, or a
private sector entity under contract to the employing agency;
c. Records and pertaining and resulting from the testing of the
employee for use of illegal drugs under Executive Order 12564. Such
records may be retained by the agency (e.g., by the agency Medical
Review Official) or by a contractor laboratory. This includes records
of negative results, confirmed or unconfirmed positive test results,
and documents related to the reasons for testing or other aspects of
test results.
d. Reports of on-the-job injuries and medical records, forms, and
reports generated as a result of the filing of a claim for Workers'
Compensation, whether the claim is accepted or not. (The official
compensation claim file is not covered by this system; rather, it is
part of the Department of Labor's Office of Workers' Compensation
Program (OWCP) system of records.)
e. All other medical records, forms, and reports created on an
employee during his/her period of employment, including any retained
on a temporary basis (e.g., those designated to be retained only
during the period of service with a given agency) and those
designated for long-term retention (i.e., those retained for the
entire duration of Federal service and for some period of time
after).
Note 2 --Records maintained by an agency dispensary are included
in this system only when they are the result of a condition of
employment or related to an on-the-job occurrence.
Note 3 --Records pertaining to employee drug or alcohol abuse
counseling or treatment, and those pertaining to other employee
counseling programs conducted under Health Service Program
established pursuant to 5 U.S.C. chapter 79, are not part of this
system of records.
Note 4 --Only Routine Use ``u'' 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.
Authority for maintenance of the system:
Executive Orders 12107, 12196, and 12564 and 5 U.S.C. chapters
11, 31, 33, 43, 61, 63, and 83.
Purpose(s):
Records in this system of records are maintained for a variety of
purposes, which include the following:
a. To ensure that records required to be retained on a long-term
basis to meet the mandates of law, Executive order, or regulations
(e.g., the Department of Labor's Occupational Safety and Health
Administration (OSHA) and OWCP regulations), are so maintained.
b. To provide data necessary for proper medical evaluations and
diagnoses, to ensure that proper treatment is administered, and to
maintain continuity of medical care.
c. To provide an accurate medical history of the total health
care and medical treatment received by the individual as well as job
and/or hazard exposure documentation and health monitoring in
relation to health status and claims of the individual.
d. To enable the planning for further care of the patient.
e. To provide a record of communications among members of the
health care team who contribute to the patient's care.
f. To provide a legal document describing the health care
administered and any exposure incident.
g. To provide a method for evaluating quality of health care
rendered and job-health-protection including engineering protection
provided, protective equipment worn, workplace monitoring, and
medical exam monitoring required by OSHA or by good practice.
h. To ensure that all relevant, necessary, accurate, and timely
data are available to support any medically-related employment
decisions affecting the subject of the records (e.g., in connection
with fitness-for-duty and disability retirement decisions).
i. To document claims filed with and the decisions reached by the
OWCP and the individual's possible reemployment rights under statutes
governing that program.
j. To document employee's reporting of on-the-job injuries or
unhealthy or unsafe working conditions, including the reporting of
such conditions to the OSHA and actions taken by that agency or by
the employing agency.
k. To ensure proper and accurate operation of the agency's
employee drug testing program under Executive Order 12564.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
Note 5 --With the exception of Routine Use ``u,'' 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 the agency, generally only to the
agency Medical Review Official (MRO), the administrator of the agency
Employee Assistance Program, and the management official empowered to
recommend or take adverse action affecting the individual.
These records and information in these records may be used:
a. To disclose information to the Department of Labor, Department
of Veterans Affairs, Social Security Administration, Federal
Retirement Thrift Investment Board, or a national, State, or local
social security type agency, when necessary to adjudicate a claim
(filed by or on behalf of the individual) under a retirement,
insurance, or health benefit program.
b. To disclose information to a Federal, State, or local agency
to the extent necessary to comply with laws governing reporting of
communicable disease.
c. 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 the judicial or administrative proceeding.
d. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, 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, where 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.
e. To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
f. 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.
g. 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.
h. To disclose information to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
i. To disclose information to the Merit System Protection Board
or the Office of the Special Counsel, the Federal Labor Relations
Authority and its General Counsel, the Equal Employment Opportunity
Commission, arbitrators, and hearing examiners to the extent
necessary to carry out their authorized duties.
j. To disclose information to survey team members from the Joint
Commission on Accreditation of Hospitals (JCAH) when requested in
connection with an accreditation review, but only to the extent that
the information is relevant and necessary to meet the JCAH standards.
k. To disclose information to the National Archives and Records
Administration in records management inspections and its role as
Archivist.
l. To disclose information to health insurance carriers
contracting with the Office to provide a health benefits plan under
the Federal Employees Health Benefits Program information necessary
to verify eligibility for payment of a claim for health benefits.
m. By the agency maintaining or responsible for generating the
records to locate individuals for health research or survey response
and in the production of summary descriptive statistics and
analytical studies (e.g., epidemiological studies) in support of the
function for which the records are collected and maintained. While
published statistics and studies do not contain individual
identifiers, in some instances the selection of elements of data
included in the study might be structured in such a way as to make
the data individually identifiable by inference.
n. To disclose information to the Office of Federal Employees
Group Life Insurance or Federal Retirement Thrift Investment Board
that is relevant and necessary to adjudicate claims.
o. To disclose information, when an individual to whom a record
pertains is mentally incompetent or under other legal disability, to
any person who is responsible for the care of the individual, to the
extent necessary.
p. To disclose to the agency-appointed representative of an
employee, all notices, determinations, decisions, or other written
communications issued to the employee, in connection with an
examination ordered by the agency under medical evaluation (formerly
Fitness for Duty) examinations procedures.
q. To disclose to a requesting agency, organization, or
individual the home address and other information concerning those
individuals who it is reasonably believed might have contracted an
illness or been exposed to or suffered from a health hazard while
employed in the Federal workforce.
r. To disclose information to a Federal agency, in response to
its request or at the initiation of the agency maintaining the
records, in connection with the retention of an employee, the
issuance of a security clearance, the conducting of a suitability or
security investigation of an individual, the classifying of jobs, the
letting of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, or the lawful, statutory,
administrative, or investigative purpose of the agency, to the extent
that the information is relevant and necessary to the requesting
agency's decision on the matter.
s. To disclose to any Federal, State, or local government agency,
in response to its request or at the initiation of the agency
maintaining the records, information relevant and necessary to the
lawful, statutory, administrative, or investigatory purpose of that
agency as it relates to the conduct of job related epidemiological
research or the insurance of compliance with Federal, State, or local
government laws on health and safety in the work environment.
t. To disclose to officials of labor organizations recognized
under 5 U.S.C. chapter 71, analyses using exposure or medical records
and employee exposure records, in accordance with the records access
rules of the Department of Labor's OSHA, and subject to the
limitations at 29 CFR 1910.20(e)(2)(iii)(B).
u. 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.
v. To disclose information to contractors, grantees, or
volunteers performing or working on a contract, service, grant,
cooperative agreement or job for the Federal Government.
w. To disclose records on former Panama Canal Commission
employees to the Republic of Panama for use in employment matters.
x. To disclose to a requesting agency, organization, or
individual the home address and other relevant information on those
individuals who it reasonably believed might have contracted an
illness or might have been exposed to or suffered from a health
hazard while employed in the Federal workforce.
Policies and practices for storing, retrieving, accessing,
retaining, disposing of records in the system:
Storage:
Records are stored in file folders, on microfiche, in electronic
record systems, and on file cards, x-rays, or other medical reports
and forms.
Retrievability:
Records are retrieved by the employee's name, date of birth,
social security number, or any combination of those identifiers.
Safeguards:
Records are stored in locked file cabinets or locked rooms.
Electronic records are protected by restricted access procedures and
audit trails. Access to records is strictly limited to agency or
contractor officials with a bona fide need for the records.
Retention and disposal:
The EMF is maintained for the period of the employee's service in
the agency and is then transferred to the National Personnel Records
Center for storage, or as appropriate, to the next employing Federal
agency. Other medical records are either retained at the agency for
various lengths of time in accordance with the National Archives and
Records Administration's records schedules or destroyed when they
have served their purpose or when the employee leaves the agency.
Within 90 days after the individual separates from the Federal
service, the EMF is sent to the National Personnel Records Center for
storage. Destruction of the EMF is in accordance with General Records
Schedule-1(21). Records arising in connection with employee drug
testing under Executive Order 12564 are generally retained for up to
3 years. Records are destroyed by shredding, burning, or by erasing
the disk.
System manager(s) and address:
a. Assistant Director for Workforce Information, Office of Merit
Systems Oversight and Effectiveness, U. S. Office of Personnel
Management, 1900 E Street, NW., Washington, DC 20415.
b. For current Federal employees, OPM has delegated to the
employing agency the Privacy Act responsibilities concerning access,
amendment, and disclosure of the records within this system notice.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains records on them should follow the appropriate procedure
listed below.
a. Current Employees. Current employees should contact their
employing agency's personnel, dispensary, health, safety, medical, or
other designated office responsible for maintaining the records, as
identified in the agency's internal issuance covering this system.
Individuals must furnish such identifying information as required by
the agency for their records to be located and identified.
b. Former employees. Former employees should contact their former
agency's personnel, dispensary, health, safety, medical, or other
designated office responsible for maintaining the records, as
identified in the agency's internal issuance covering this system.
Additionally, for access to their EMF, they should submit a request
to the National Personnel Records Center (Civilian), 111 Winnebago
Street, St. Louis, Missouri 63118.
Record access procedure:
a. Current employees should contact the appropriate agency office
as indicated in the Notification Procedure section and furnish such
identifying information as required by the agency to locate and
identify the records sought.
b. Former employees should contact the appropriate agency office
as indicated in the Notification Procedure section and furnish such
identifying information as required by the agency to locate and
identify the records sought. Former employees may also submit a
request to the National Personnel Records Center (Civilian), 111
Winnebago Street, St. Louis, Missouri, for access to their EMF. When
submitting a request to the National Personnel Records Center, the
individual must furnish the following information to locate and
identify the record sought:
1. Full name.
2. Date of birth.
3. Social security number.
4. Agency name, date, and location of last Federal service.
5. Signature.
c. Individuals requesting access must also comply with the
Office's Privacy Act regulations on verification of identity and
access to records (5 CFR part 297).
Contesting record procedure:
Because medical practitioners often provide differing, but
equally valid medical judgments and opinions when making medical
evaluations of an individual's health status, review of requests from
individuals seeking amendment of their medical records, beyond
correction and updating of the records, will be limited to
consideration of including the differing opinion in the record rather
than attempting to determine whether the original opinion is
accurate.
Individuals wishing to amend their records should:
a. For a current employee, contact the appropriate agency office
identified in the Notification Procedure section and furnish such
identifying information as required by the agency to locate and
identify the records to be amended.
b. For a former employee, contact the appropriate agency office
identified in the Notification Procedure section and furnish such
identifying information as required by the agency to locate and
identify the record to be amended. Former employees may also submit a
request to amend records in their EMF to the system manager. When
submitting a request to the system manager, the individual must
furnish the following information to locate and identify the records
to be amended:
1. Full name.
2. Date of birth.
3. Social security number.
4. Agency name, date, and location of last Federal service.
5. Signature.
c. Individuals seeking amendment of their records must also
follow the Office's Privacy Act regulations on verification of
identity and amendment of records (5 CFR part 297).
Record source categories:
Records in this system are obtained from:
a. The individual to whom the records pertain.
b. Agency employee health unit staff.
c. Federal and private sector medical practitioners and treatment
facilities.
d. Supervisors/managers and other agency officials.
e. Other agency records.
PERSONNEL MANAGEMENT OFFICE
Title 5-Administrative Personnel
Chapter I-Office of Personnel Management
PART 293--PERSONNEL RECORDS
Subpart A--Basic Policies on Maintenance of Personnel Records
Sec.
293.101 Purpose and scope.
293.102 Definitions.
293.103 Recordkeeping standards.
293.104 Collection of information.
293.105 Restrictions on collection and use of information.
293.106 Safeguarding information about individuals.
293.107 Special safeguards for automated records.
293.108 Rules of conduct.
Subpart B--Personnel Records Subject to the Privacy Act
293.201 Purpose.
293.202 Records subject to Office or agency Privacy Act regulations.
293.203 Review of Office or agency practices.
Subpart C--Official Personnel Folder
293.301 Applicability of regulations.
293.302 Establishment of Official Personnel Folder.
293.303 Ownership of folder.
293.304 Maintenance and content of folder.
293.305 Type of folder to be used.
293.306 Use of existing folders upon transfer or reemployment.
293.307 Disposition of folders of former Federal employees.
293.308 Removal of temporary records from folders.
Authority: 5 U.S.C. 552a; Executive Order 12107, (December 28, 1978),
5 U.S.C. 1302. 3 CFR 1954-1958 Compilation; 5 CFR 7.2; Executive Order
9830, 3 CFR 1943-1948 Compilation.
Source: 44 FR 65033, Nov. 9, 1979, unless otherwise noted.
Subpart A--Basic Policies on Maintenance of Personnel Records
Sec. 293.101 Purpose and scope.
(a) This subpart sets forth basic policies governing the creation,
development, maintenance, processing, use, dissemination, and
safeguarding of personnel records which the Office of Personnel
Management requires agencies to maintain in the personnel management or
personnel policy setting process.
(b) Agencies in the Executive Branch of the Federal Government are
subject to specific Office of Personnel Management recordkeeping
requirements to varying degrees, pursuant to statute, Office regulation,
or formal agreements between the Office and agencies. This subpart
applies to any department or independent establishment in the Executive
Branch of the Federal Government, including a government corporation or
Government controlled corporation, except those specifically excluded
from Office recordkeeping requirements by statute, Office regulation, or
formal agreement between the Office and that agency.
Sec. 293.102 Definitions.
In this part:
Agency means any executive department, military department, Government
corporation, Government controlled corporation, or other establishment
in the Executive Branch of the Government (including the Executive
Office of the President), or any independent regulatory agency;
Data subject means the individual about whom the Office or agency is
maintaining information in a system of records;
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence;
Information means papers, records, photographs, magnetic storage
media, micro storage media, and other documentary materials regardless
of physical form or characteristics, containing data about an individual
and required by the Office in pursuance of law or in connection with the
discharge of official business, as defined by statute, regulation, or
administrative procedure;
Maintain includes collect, use, or disseminate;
Office means the Office of Personnel Management;
Personnel record means any record concerning an individual which is
maintained an used in the personnel management or personnel
policysetting process. (For purposes of this part, this term is not
limited just to those personnel records in a system of records and
subject to the Privacy Act);
Record means any item, collection, or grouping of information about an
individual that is maintained by an agency, including, but not limited
to, his or her education, financial transactions, medical history,
criminal history, or employment history;
System of records means a group of records under the control of any
agency from which information is retrieved by the name of the individual
or by some identifying number, symbol, or other identifying particular
assigned to the individual.
Sec. 293.103 Recordkeeping standards.
(a) The head of each agency shall ensure that persons having access to
or involved in the creation, development, processing, use, or
maintenance of personnel records are informed of pertinent recordkeeping
regulations and requirements of the Office of Personnel Management and
the agency. Authority to maintain personnel records does not constitute
authority to maintain information in the record merely because it may be
useful; both Government-wide and internal agency personnel records shall
contain only information concerning an individual that is relevant and
necessary to accomplish the Federal personnel management purposes
required by statute, Executive order, or Office regulation.
(b) The Office is responsible for establishing minimum standards of
accuracy, relevancy, necessity, timeliness, and completeness for
personnel records it requires agencies to maintain. These standards are
discussed in appropriate chapters of the Federal Personnel Manual.
Before approval of any agency requests for changes in recordkeeping
practices governed by the Federal Personnel Manual, the Office will
examine the proposal or request in the context of such standards set
forth by the agency in support of the proposal and in light of the
personnel program area that requires these records.
Sec. 293.104 Collection of information.
(a) Any information in personnel records whether or not those records
are in a system of records, used in whole or in part in making a
determination about an individual's rights, benefits, or privileges
under Federal personnel programs should, to the greatest extent
practicable, be collected directly from the individual concerned.
Factors to be considered in determining whether to collect the data from
the individual concerned or a third party are when:
(1) The nature of the information is such that it can only be obtained
from another party;
(2) The cost of collecting the information directly from the
individual is unreasonable when compared with the cost of collecting it
from another party;
(3) There is virtually no risk that information collected from other
parties, if inaccurate, could result in a determination adverse to the
individual concerned;
(4) The information supplied by an individual must be verified by
another party; or
(5) There are provisions made, to the greatest extent practicable, to
vertify information collected from another party with the individual
concerned.
Sec. 293.105 Restrictions on collection and use of information.
(a) First Amendment. Personnel records describing how individuals
exercise rights guaranteed by the First Amendment are prohibited unless
expressly authorized by statute, or by the individual concerned, or
unless pertinent to and within the scope of an authorized law
enforcement activity. These rights include, but are not limited to, free
exercise of religious and political beliefs, freedom of speech and the
press, and freedom to assemble and to petition the government.
(b) Social Security Number.(1) Agencies may not require individuals to
disclose their Social Security Number unless disclosure would be
required;
(i) Under Federal statute; or
(ii) Under any statute, Executive order, or regulation that authorizes
any Federal, State, or local agency maintaining a system of records that
was in existence and operating prior to January 1, 1975, to request the
Social Security Number as a necessary means of verifying the identity of
an individual.
(2) Individuals asked to voluntarily (circumstances not covered by
paragraph (b)(1) of this section) provide their Social Security Number
shall suffer no penalty or denial of benefits for refusing to provide
it.
Sec. 293.106 Safeguarding information about individuals.
(a) To ensure the security and confidentiality of personnel records,
in whatever form, each agency shall establish administrative, technical,
and physical controls to protect information in personnel records from
unauthorized access, use, modification, destruction, or disclosure. As a
minimum, these controls shall require that all persons whose official
duties require access to and use of personnel records be responsible and
accountable for safeguarding those records and for ensuring that the
records are secured whenever they are not in use or under the direct
control of authorized persons. Generally, personnel records should be
held, processed, or stored only where facilities and conditions are
adequate to prevent unauthorized access.
(b) Personnel records must be stored in metal filing cabinets which
are locked when the records are not in use, or in a secured room.
Alternative storage facilities may be employed provided they furnish an
equivalent or greater degree of security than these methods. Except for
access by the data subject, only employees whose official duties require
access shall be allowed to handle and use personnel records, in whatever
form or media the records might appear. To the extent feasible, entry
into personnel record storage areas shall be similarly limited.
Documentation of the removal of records from storage areas must be kept
so that adequate control procedures can be established to assure that
removed records are returned on a timely basis.
(c) Disposal and destruction of personnel records shall be in
accordance with the General Record Schedule issued by the General
Services Administration for the records or, alternatively, with Office
or agency records control schedules approved by the National Archives
and Records Administration.
Sec. 293.107 Special safeguards for automated records.
(a) In addition to following the security requirements of Sec. 293.106
of this part, managers of automated personnel records shall establish
administrative, technical, physical, and security safeguards for data
about individuals in automated records, including input and output
documents, reports, punched cards, magnetic tapes, disks, and on-line
computer storage. The safeguards must be in writing to comply with the
standards on automated data processing physical security issued by the
National Bureau of Standards, U.S. Department of Commerce, and, as a
minimum, must be sufficient to:
(1) Prevent careless, accidental, or unintentional disclosure,
modification, or destruction of identifiable personal data;
(2) Minimize the risk that skilled technicians or knowledgeable
persons could improperly obtain access to, modify, or destroy
identifiable personnel data;
(3) Prevent casual entry by unskilled persons who have no official
reason for access to such data;
(4) Minimize the risk of an unauthorized disclosure where use is made
of identifiable personal data in testing of computer programs;
(5) Control the flow of data into, through, and from agency computer
operations;
(6) Adequately protect identifiable data from environmental hazards
and unnecessary exposure; and
(7) Assure adequate internal audit procedures to comply with these
procedures.
(b) The disposal of identifiable personal data in automated files is
to be accomplished in such a manner as to make the data unobtainable to
unauthorized personnel. Unneeded personal data stored on reusable media
such as magnetic tapes and disks must be erased prior to release of the
media for reuse.
Sec. 293.108 Rules of conduct.
(a) Scope. These rules of conduct apply to all Office and agency
employees responsible for creation, development, maintenance,
processing, use, dissemination, and safeguarding of personnel records.
The Office and agencies shall require that such employees are familiar
with these and appropriate supplemental agency internal regulations.
(b) Standards of conduct. Office and agency employees whose official
duties involve personnel records shall be sensitive to individual rights
to personal privacy and shall not disclose information from any
personnel record unless disclosure is part of their official duties or
required by executive order, regulation, or statute (e.g., required by
the Freedom of Information Act, 5 U.S.C. 552).
(c) Improper uses of personnel information. Any Office or agency
employee who makes a disclosure of personnel records knowing that such
disclosure is unauthorized, or otherwise knowingly violates these
regulation, shall be subject to disciplinary action and may also be
subject to criminal penalties where the records are subject to the
Privacy Act (5 U.S.C. 552a). Employees are prohibited from using
personnel information not available to the public, gained through
official duties, for commercial solicitation or sale, or for personal
gain.
Subpart B--Personnel Records Subject to the Privacy Act
Sec. 293.201 Purpose.
The purpose of this subpart is to set forth the criteria to be used to
determine when personnel records on individuals are subject both to the
regulations contained in this part and to Office or agency regulations
implementing the Privacy Act of 1974, 5 U.S.C. 552a. When personnel
records are maintained within a system of records, the records are
deemed to be within the scope of both the regulations in this part and
Office or agency regulations implementing the Privacy Act.
Sec. 293.202 Records subject to Office or agency Privacy Act
regulations.
When the Office of Personnel Management publishes in the Federal
Register a notice of system of records for personnel records which are
maintained by the agencies or by the Office, that system of records will
be subject to the regulations in this part and also to the regulations
in part 297 of this chapter. When agencies publish a notice of system of
records for personnel records required by the Office that are not
included in the Office's notices, those agency systems of records will
be subject both to the regulations contained in this part and to agency
promulgated regulations that implement the Privacy Act.
Sec. 293.203 Review of Office or agency practices.
Reviews of agency personnel management policies and practices will be
conducted to insure compliance with Office regulations. The Office may
direct agencies to take whatever corrective action is necessary. Office
or agency officials who have knowledge of violations of these
regulations shall take whatever corrective action is necessary. Agencies
shall list officials of the Office of Personnel Management as a routine
user for personnel records to assist the Office in its oversight
responsibilities.
Subpart C--Official Personnel Folder
Sec. 293.301 Applicability of regulations.
This subpart applies to, and within this subpart agency means, except
those specifically excluded from Office recordkeeping requirements by
statute, Office regulation or formal agreement between the Office and
the agency, each executive department and independent establishment of
the Federal Government, each corporation wholly owned or controlled by
the United States, and with respect to positions subject to civil
service rules and regulations, the legislative and judicial branches of
the Federal Government and the District of Columbia Government.
Sec. 293.302 Establishment of Official Personnel Folder.
Each agency shall establish an Official Personnel Folder for each
employee occupying a position subject to this part, except as provided
in Sec. 293.306. Except as provided for in Federal Personnel Manual
Supplement 293-31, there will be only one Official Personnel Folder
maintained for each employee.
Sec. 293.303 Ownership of folder.
The Official Personnel Folder of each employee in a position subject
to civil service rules and regulations is under the jurisdiction and
control of, and is part of the records of, the Office of Personnel
Management.
Sec. 293.304 Maintenance and content of folder.
The head of each agency shall maintain in the Official Personnel
Folder the reports of selection and other personnel actions named in
section 2951 of title 5, United States Code. The folder shall also
contain permanent records affecting the employee's status and service as
required by the Office's instructions and as designated in FPM
Supplement 293-31.
Sec. 293.305 Type of folder to be used.
Each agency shall use only Official Personnel Folders from Federal
Supply Service contracts or stock for the folders required by this part.
Sec. 293.306 Use of existing folders upon transfer or reemployment.
When an agency hires a person who has served on or after April 1,
1947, in a position subject to this part, it shall request the transfer
of the Official Personnel Folder pertaining to the person's employment.
The folder so obtained shall be used in lieu of establishing a new
Official Personnel Folder.
(a) When a person for whom an Official Personnel Folder has been
established transfers from one agency to another, the last employing
(losing) agency shall, on request, transfer the folder to the new
employing agency.
(b) Before transferring the Official Personnel Folder, the losing
agency shall:
(1) Remove those records of a temporary nature filed on the left side
of the folder; and
(2) Ensure that all permanent documents of the folder are complete,
correct, and present in the folder in accordance with FPM Supplement
293-31.
Sec. 293.307 Disposition of folders of former Federal employees.
(a) Folders of persons separated from employment must be retained by
the losing agency for thirty days after separation, and may be retained
for an additional sixty days. Thereafter, the folder should be
transferred to the General Services Administration, National Personnel
Records Center (Civilian), 111 Winnebago Street, St. Louis, Missouri
63118.
(b) When a former Federal employee is reappointed in the Federal
service, the National Personnel Records Center (Civilian) shall, upon
request, transfer the folder to the new employing agency.
Sec. 293.308 Removal of temporary records from folders.
The employing agency having possession of an Official Personnel Folder
shall remove temporary records from the folder before it is transferred
to another agency in accordance with General Schedule 1 promulgated by
the General Services Administration.
5 CFR PART 297--PRIVACY PROCEDURES FOR PERSONNEL RECORDS
Subpart A--General Provisions
Sec.
297.101 Purpose and scope.
297.102 Definitions.
297.103 Designations of authority by system manager.
297.104 Types of records.
297.105 Agency and Office responsibilities for systems of records and
applicability of the regulations.
297.106 Contact point for Privacy Act matters.
Subpart B--Request for Access
297.201 General provisions.
297.202 Methods of access.
297.203 Access by the parent of a minor or by the legal guardian of an
individual declared to be incompetent.
297.204 Access by the representative of the data subject.
297.205 Access to medical records.
297.206 Fees charged by the Office.
297.207 Denials of access and appeals with respect to such denials.
297.208 Judicial review.
Subpart C--Amendment of Records
297.301 General provisions.
297.302 Time limits.
297.303 Applicability of amendment provisions.
297.304 Approval of requests to amend records
297.305 Denial of requests to amend records.
297.306 Appeal of a denial of a request to amend a record.
297.307 Statement of disagreement.
297.308 Judicial review.
Subpart D--Disclosure of Records
297.401 Conditions of disclosure.
297.402 Disclosure pursuant to compulsory legal process served on the
Office.
297.403 Accounting of disclosure.
Subpart E--Exempt Records
297.501 Exemptions.
Authority: Sec. 3, Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).
Source: 53 FR 1997, Jan. 26, 1988.
Subpart A--General Provisions
Sec. 297.101 Purpose and scope.
This part sets forth the regulations of the U.S. Office of Personnel
Management (the Office) to govern the maintenance, protection,
disclosure, and amendment of records within the systems of records as
defned by the Privacy Act of 1974 (5 U.S.C. 552a), Pub. L. 93-579.
Sec. 297.102 Definitions.
In this part, the terms ``agency,'' ``individual,'' ``maintain,''
``record,'' ``statistical records,'' and ``systems of records'' have the
same meanings as defined in the Privacy Act, 5 U.S.C. 552a. In addition:
Access means providing a copy of a record to, or allowing review of
the original record by, the data subject or the data subject's
authorized representative, parent, or legal guardian;
Act means the Privacy Act of 1974, Pub. L. 93-579, 5 U.S.C. 552a, as
amended;
Agency means any department or independent establishment in the
Executive Branch of the Federal Government, including a Government
corporation, of Government-controlled corporation, except those
specifically excluded from the Office recordkeeping requirements by
statute, this title, or formal agreement between the Office and the
agency.
Amendment means the correction, addition, deletion, or destruction of
a record or specific portions of a record;
Data subject means the individual to whom the information pertains and
by whose name or other individual identifier the information is
retrieved;
Disclosure means providing personal review of a record, or a copy
thereof, to someone other than the data subject or the data subject's
authorized representative, parent, or legal guardian;
Office means the U.S. Office of Personnel Management;
Personnel record means any record concerning an individual which is
maintained and used in the personnel management or personnel policy-
making process; and
System manager means the Office or agency official, designated by the
head of the agency, who has the authority to decide Privacy Act matters
relative to each system of records maintained by the Office.
Sec. 297.103 Designations of authority by system manager.
The responsible Office system manager having jurisdiction over a
system of records may designate in writing an Office employee to
evaluate and issue the Office's decision on Privacy Act matters relating
to either internal, central, or Governmentwide systems of records.
Sec. 297.104 Types of records.
The Office manages three generic types of personnel records systems:
(a) Internal systems of records are under the Office's physical
control and are established and maintained by the Office solely on its
own employees and, when appropriate, on others in contact with the
Office regarding matters within its authority.
(b) Centralized systems of personnel records are physically
established and maintained by the Office with regard to most current and
former Federal employees and some applicants for Federal employment.
(c) Governmentwide systems of personnel records are maintained by the
Office, and through Office delegations of authority, by Federal agencies
with regard to their own employees or applicants for employment.
Although they are Office records, they are in the physical custody of
those agencies. Though in the physical custody of agencies, the Office
retains authority under its record management authority and under the
Privacy Act to decide appeals of initial agency determinations regarding
access to and amendment of material in these systems.
Sec. 297.105 Agency and Office responsibilities for systems of
records and applicability of the regulations.
(a) These regulations apply to processing requests from both current
and former Office employees for records contained in internal, central,
and Governmentwide systems of records managed by the Office.
(b) Agencies are solely and totally responsible for processing
requests regarding records maintained in their internal systems of
records. Agency regulations, and not these Office regulations, govern
the implementation of the Privacy Act for agency internal systems; there
is no right of appeal to the Office from an agency's determination
regarding its internal agency records.
(c) For records maintained in the Office's central systems of records,
the data subject should contact the appropriate Office system manager
concerning Privacy Act matters. These regulations will apply to
inquiries regarding records located in the central systems of records.
(d) For records maintained within the Office's Governmentwide systems
of records, each agency is responsible, unless specifically excepted by
the Office, for responding to initial Privacy Act access and amendment
requests from its own current employees. For records in Office
Governmentwide systems, including those in Official Personnel Folders,
Employee Performance Folders, and Employee Medical Folders, the Office
is responsible for responding to initial Privacy Act access and
amendment requests from former Federal employees.
(e) The procedures in this part apply to all such requests. The
procedures in this part also apply to appeals from an agency initial
determination regarding access to or amendment of records contained in
the Office's Governmentwide systems of records.
(f) The Office follows the procedures in this part when--
(1) Processing initial requests regarding access to or amendment of
records by its own employees and others that the Office is maintaining
information on in its systems of records, including requests from former
employees of an agency whose records properly reside in an Office
Governmentwide system of records.
(2) Processing Privacy Act appeals regarding access to and amendment
of records generated by another Federal agency, but which are contained
in the Office's Governmentwide systems of records, after an agency has
issued the initial decision.
(3) Processing initial requests and appeals concerning access to and
amendment of records contained in the central systems of records.
(g) For requests concerning records and material of another agency
that are in the custody of the Office, but not under its control or
ownership, the Office reserves the right to either refer the request to
the agency primarily responsible for the material or to notify the
individual of the proper agency that should be contacted.
Sec. 297.106 Contact point for Privacy Act matters.
To determine what records the Office maintains in its system of
records, requesters must write to the Assistant Director for Workforce
Information, Personnel Systems and Oversight Group, Office of Personnel
Management, 1900 E Street, NW, Washington, DC 20415. Using the Office's
response, requesters can contact the particular system manager indicated
in the Office's notices of its systems published in the Federal Register
for further assistance in determining if the Office maintains
information pertaining to them.
Subpart B--Request for Access
Sec. 297.201 General provisions.
(a) Individual's requesting access to records pertaining to them that
are maintained in a system of records should submit a written request to
the appropriate system manager and state that the request is being made
pursuant to the Privacy Act of 1974.
(b) The Office or agency will require proof of identity from a
requester. The Office or agency reserves the right to determine the
adequacy of any such proof. The general identifying items the Office
will require a requester to provide when a request is made to the Office
are--
(1) Full name, signature, and home address;
(2) Social security number (for systems of records that include this
identifier);
(3) Current or last place and dates of Federal employment, when
appropriate and,
(4) Date and place of birth.
(c) An individual may be represented by another when requesting access
to records.
Sec. 297.202 Methods of access.
(a) The methods for allowing access to records, when such access has
been granted by the Office or agency, are:
(1) Inspection in person in the designated office during the hours
specified by the Office or agency; or
(2) Transfer of records at the option of the Office or agency to
another more convenient Federal facility.
(b) Generally, Office of Personnel Management offices will not furnish
certified copies of records. When copies are to be furnished, they may
be provided as determined by the Office and may require payment of any
fee levied in accordance with the Office's established fee schedule.
(c) When the requester seeks to obtain original documentation, the
Office reserves the right to limit the request to copies of the original
records. Original records should be made available for review only in
the presence of the system manager or designee. An agency should consult
with the Office when it receives a request for original documentation.
Section 2701(a) of title 18 of the United States Code makes it a crime
to conceal, mutilate, obliterate, or destroy any record filed in a
public office, or to attempt to do so.
Sec. 297.203 Access by the parent of a minor or by the legal
guardian of an individual declared to be incompetent.
(a) A parent, legal guardian, or custodian of a minor, upon
presentation of suitable personal identification, may access on behalf
of a minor any record pertaining to the minor in a system of records
maintained by the Office.
(b) A legal guardian, upon presentation of documentation establishing
guardianship, may access on behalf of an individual declared to be
incompetent by a court of competent jurisdiction, any record pertaining
to that individual in a system of records maintained by the Office.
(c) Minors are not precluded from exercising personally those rights
provided them by the Privacy Act.
Sec. 297.204 Access by the representative of the data subject.
A record may be disclosed to a representative of the individual to
whom the record pertains after the system manager receives written
authorization from the individual who is the subject of the record.
Sec. 297.205 Access to medical records.
When a request for access involves medical or psychological records
that the system manager believes requires special handling, the
requester should be advised that the material will be provided only to a
physician designated by the data subject. Upon receipt of the
designation and upon verification of the physician's identity, the
records will be made available to the physician, who will have full
authority to disclose those records to the data subject when
appropriate.
Sec. 297.206 Fees charged by the Office.
(a) No fees will be charged for search and review time expended by the
Office to produce a record, or for making a photostatic copy of the
record, or for having it personally reviewed by the data subject, when a
record is retrieved from a system of records pertaining to that data
subject. Additional copies provided may be charged under the Office's
established fee schedule.
(b) When the fees chargeable under this section will amount to more
than $25, the requester will be notified and payment of fees may be
required before the records are provided.
(c) Remittance should be made by either a personal check, bank draft,
or a money order that is made payable to the U.S. Office of Personnel
Management and addressed to the appropriate system manager.
Sec. 297.207 Denials of access and appeals with respect to such
denials.
(a) If an access request is denied, the Office or agency response will
be in writing and will include a statement of the reasons for the denial
and the procedures available to appeal the denial, including the name,
position title, and address of the Office official responsible for the
review.
(b) Nothing in this part should be construed to entitle a data subject
the right to access any information compiled in reasonable anticipation
of a civil action or proceeding.
(c) For denials of access made under this subpart, the following
procedures apply:
(1) For initial denials made by an agency, when the record is
maintained in an Office Governmentwide system of records, a request for
adminstrative review should be made only to the Assistant Director for
Workforce Information, Personnel Systems and Oversight Group, U.S.
Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.
(2) For denials initially made by an Office official, when a record is
maintained in an internal or central system of records, a request for
administrative review should be made to the Information and Privacy
Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
(3) Any administrative review decision that either partially or fully
supports the initial decision and denies access to the material the
individual originally sought should state the requester's right to seek
judicial review of the final administrative decision.
Sec. 297.208 Judicial review.
Upon receipt of notification that the denial of access has been upheld
on administrative review, the requester has the right to judicial review
of the decision for up to 2 years from the date on which the cause of
action arose. Judicial review may be sought in the district court of the
United States in the district in which--
(a) The requester resides;
(b) The requester has his or her principal place of business; or
(c) The agency records are situated; or it may be sought in the
district court of the District of Columbia.
Subpart C--Amendment of Records
Sec. 297.301 General provisions.
(a) Individuals may request, in writing, the amendment of their
records maintained in an Office system of records by contacting the
appropriate system manager. The Office or agency will require proof of
identity from a requester. The Office or agency reserves the right to
determine the adequacy of any such proof. The general identifying items
the Office will require a requester to provide when a request is made to
the Office are--
(1) Full name, signature, and home address;
(2) Social security number (for systems of records that include this
identifier);
(3) Current or last place and dates of Federal employment, when
appropriate; and
(4) Date and place of birth.
(b) An individual may be represented by another party when requesting
amendment of records.
(c) A request for amendment should include the following:
(1) The precise identification of the records to be amended;
(2) The identification of the specific material to be deleted, added,
or changed; and
(3) A statement of the reasons for the request, including all
available material substantiating the request.
(d) Requests for amendment of records should include the words
``PRIVACY ACT AMENDMENT REQUEST'' in capital letters on both the
envelope and at the top of the request letter.
(e) A request for administrative review of an agency denial to amend a
record in the Office's systems of records should be addressed to the
Assistant Director for Workforce Information, Personnel Systems and
Oversight Group, U.S. Office of Personnel Management, 1900 E Street NW,
Washington, DC 20415.
(f) A request for administrative review of a denial to amend a record
by an Office official should be addressed to the Information and Privacy
Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel
Management, 1900 E Street NW, Washington, DC 20415.
(g) The burden of proof demonstrating the appropriateness of the
requested amendment rests with the requester; and, the requester must
provide relevant and convincing evidence in support of the request.
Sec. 297.302 Time limits.
The system manager should acknowledge receipt of an amendment request
within 10 working days and issue a determination as soon as practicable.
This timeframe begins when the request is received by the proper Office
or agency official.
Sec. 297.303 Applicability of amendment provisions.
(a) The amendment procedures are not intended to allow a challenge to
material that records an event that actually occurred nor are they
designed to permit a collateral attack upon that which has been or could
have been the subject of a judicial, quasi-judicial, or administrative
proceeding. The amendment procedures are also not designed to change
opinions in records pertaining to the individual.
(b) The amendment procedures apply to situations when an occurrence
that is documented was challenged through an established judicial,
quasi-judicial, or administrative procedure and found to be inaccurately
described; when the document is not identical to the individual's copy;
or when the document is not created in accordance with the applicable
recordkeeping requirements. (For example, the amendment provisions are
not designed to allow a challenge to the merits of an agency adverse
action that is documented in an individual's Official Personnel Folder.)
Sec. 297.304 Approval of requests to amend records.
(a) If the system manager determines that amendment of a record is
appropriate, the system manager will take the necessary steps to have
the necessary changes made and will see that the individual receives a
copy of the amended record.
(b) When practicable and appropriate, the system manager will advise
all prior recipients of the fact that an amendment of a record has been
made.
Sec. 297.305 Denial of requests to amend records.
(a) If the Office or agency system manager decides not to amend the
record in the manner sought, the requester should be notified in writing
of the reasons for the denial.
(b) The decision letter should also include the requester's right to
appeal the denial and the procedures for appealing the denial to the
appropriate official.
Sec. 297.306 Appeal of a denial of a request to amend a record.
(a) An individual who disagrees with an initial denial to amend a
record may file a written appeal of that denial to the appropriate
official. In submitting an appeal, the individual should provide a copy
of the original request for amendment, a copy of the initial denial
decision, and a statement of the specific reasons why the initial denial
is believed to be in error. Any appeal should be submitted to the
official designated in the initial decision letter. The appeal should
include the words ``PRIVACY ACT APPEAL'' in capital letters on the
envelope and at the top of the letter of appeal.
(b) The reviewing official should complete the review and make a final
determination in writing no later than 30 working days from the date on
which the appeal is received. When circumstances warrant, this timeframe
may be extended.
(c) If the Office grants the appeal, it will take the necessary steps
either to amend the record itself or to require the originating agency
to amend the record. When appropriate and possible, prior recipients of
the record should be notified of the Office's action.
(d) The Office reserves the right to hold in abeyance any Privacy Act
appeal concerning a record when an individual is involved in challenging
an action involving that record in another administrative, judicial, or
quasi-judicial forum. At the conclusion of such a challenge, the
individual can resubmit the appeal.
(e) If the Office denies the appeal, it will include in the decision
letter notification of the appellant's right to judicial review.
Sec. 297.307 Statement of disagreement.
(a) Upon receipt of a final administrative determination denying a
request to amend a record, the requester may file a concise statement of
disagreement. Such a statement should be filed with the appropriate
system manager and should include the reasons why the requester believes
the decision to be incorrect.
(b) The statement of disagreement should be maintained with the record
to be amended and any disclosure of the record must include a copy of
the statement of disagreement.
(c) When practicable and appropriate, the system manager should
provide a copy of the statement of disagreement to any individual or
agency to whom the record was previously disclosed as noted by the
disclosure accounting.
Sec. 297.308 Judicial review.
Upon receipt of notification that the denial to amend a record has
been upheld on administrative review, the requester has the right to
judicial review of the decision for up to 2 years from the date the
cause of action arose. Judicial review may be sought in the district
court of the United States in the district in which--
(a) The requester resides;
(b) The requester has his or her principal place of business; or
(c) The agency records are situated; or it may be sought in the
district court of the District of Columbia.
Subpart D--Disclosure of Records
Sec. 297.401 Conditions of disclosure.
An official or employee of the Office or agency should not disclose a
record retrieved from a Governmentwide system of records to any person,
another agency, or other entity without the express written consent of
the subject individual unless disclosure is--
(a) To officers or employees of the Office who have a need for the
information in the performance of their duties.
(b) Required by the provisions of the Freedom of Information Act.
(c) For a routine use as published in the Federal Register.
(d) To the Bureau of the Census for uses pursuant to Title 13 of the
United States Code.
(e)(1) To a recipient who has provided the agency with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record. The record will be transferred
in a form that is not individually identifiable. The written statement
should include as a minimum:
(i) A statement of the purpose for requesting the records; and
(ii) Certification that the records will be used only for statistical
purposes.
(2) These written statements should be maintained as records. In
addition to deleting personal identifying information from records
released for statistical purposes, the system manager will reasonably
ensure that the identity of the individual cannot be deduced by
combining various statistical records.
(f) To the National Archives of the United States as a record that has
sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Archivist of the United States or his or her designee to determine
whether the record has such value.
(g) To another agency or instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality or his
designated representative has made a written request to the Office or
agency that maintains the record specifying the particular portion
desired and the law enforcement activity for which the record is sought.
(h) To a person showing compelling circumstances affecting the health
and safety of an individual, not necessarily the individual to whom the
record pertains. Upon such disclosure, a notification should be sent to
the last known address of the subject individual.
(i) To the Congress or to a Congressional committee, subcommittee, or
joint committee to the extent that the subject matter falls within its
established jurisdiction.
(j) To the Comptroller General or any authorized representatives of
the Comptroller General in the course of the performance of the duties
of the General Accounting Office.
(k) Pursuant to the order of a court of competent jurisdiction.
(l) To a consumer reporting agency in accordance with section 3711 (f)
of Title 31 of the United States Code.
Sec. 297.402 Disclosure pursuant to a compulsory legal process
served on the Office.
For purposes of this section, the Office considers that a subpoena
signed by a judge is equivalent to a court order.
(a) The Office may disclose, without prior consent of the data
subject, specified information from a system of records whenever such
disclosure is pursuant to an order signed by the appropriate official of
a court of competent jurisdiction or quasi-judicial agency. In this
subpart, a court of competent jurisdiction includes the judicial system
of a state, territory, or possession of the United States.
(b) Notice of the order will be provided to the data subject by the
Office as soon as practicable after service of the order. The notice
should be mailed to the last known address of the individual and state
the name and number of the case or proceeding, and the nature of the
information sought.
(c) Before complying or refusing to comply with the order, an official
with authority to disclose records under this subpart should consult
legal counsel to ensure that the response is appropriate.
(d) Before responding to the order or subpoena signed by a judge, an
official with authority to disclose records under this subpart in
consulting with legal counsel will ensure that--
(1) The requested material is relevant to the subject matter of the
related judicial or administrative proceeding;
(2) Motion is made to quash or modify an order that is unreasonable or
oppressive:
(3) Motion is made for a protective order when necessary to restrict
the use or disclosure of any information furnished for purposes other
than those of the involved proceeding; or
(4) Request is made for an extension of time allowed for response, if
necessary.
(e) If an order or subpoena signed by a judge for production of
documents also requests appearance of an Office employee, the response
should be to furnish certified copies of the appropriate records. In
those situations where the subpoena is not signed by a judge, the Office
will return the document to the sender and indicate that no action will
be taken to provide records until the subpoena is signed by a judge.
(f) If oral testimony is requested by the order or subpoena signed by
a judge, an explanation that sets forth the testimony desired must be
furnished to the Office system manager. The individual who has been
ordered or subpoenaed to testify should consult with counsel to
determine the matters about which the individual may properly testify.
(g) In all situations concerning an order, subpoena signed by a judge,
or other demand for an employee of the Office to produce any material or
testimony concerning the records that are subject to the order, that are
contained in the Office's systems of records, and that are acquired as
part of the employee's official duties, the employee shall not provide
the information without the prior approval of the appropriate Office
official.
(h) If it is determined that the information should not be provided,
the individual ordered or subpoenaed to do so should respectfully
decline to comply with the demand based on the instructions from the
appropriate Office official.
(i) Notice of the issuance of the ex parte order or subpoena signed by
a judge is not required if the system of records has been exempted from
the notice requirement of 5 U.S.C. 552a(e)(8) pursuant to 5 U.S.C.
552a(j) by a Notice of Exemption published in the Federal Register.
[53 FR 1997, Jan. 26, 1988, as amended at 57 FR 56732, Nov. 30, 1992]
Sec. 297.403 Accounting of disclosure.
(a) The Office or agency will maintain a record of disclosures in
cases where records about the individual are disclosed from an Office
system of records except--
(1) When the disclosure is made pursuant to the Freedom of Information
Act, as amended (5 U.S.C. 552); or
(2) When the disclosure is made to those officers and employees of the
Office or agency who have a need for the record in the performance of
their duties.
(b) This accounting of the disclosures will be retained for at least 5
years or for the life of the record, whichever is longer, and will
contain the following information:
(1) A brief description of the record disclosed;
(2) The date, nature, and purpose for the disclosure; and
(3) The name and address of the purpose, agency, or other entity to
whom the disclosure is made.
(c) Except for the accounting of disclosure made to agencies,
individuals, or entities in law enforcement activities or disclosures
made from the Office's exempt systems of records, the accounting of
disclosures will be made available to the data subject upon request in
accordance with the access procedures of this part.
[53 FR 1997, Jan. 26, 1988. Redesignated at 56732, Nov. 30, 1992]
Subpart E--Exempt Records
Sec. 297.501 Exemptions.
(a) Several of the Office's internal, central, and Governmentwide
systems of records contain information for which exemptions appearing at
5 U.S.C. 552a(k) (1), (2), (3), (5), and (6) may be claimed. The systems
of records for which the exemptions are claimed, the specific exemptions
determined to be necessary and proper with respect to these systems of
records, the records exempted, the provisions of the act from which they
are exempted, and the justifications for the exemptions are set forth
below.
(b) Specific exemptions-- (1) Inspector General Investigations Case
File Records (OPM/CENTRAL-4). All information in these records that
meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5),
(6), and (7) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and
(d). These provisions of the Privacy Act relate to making accountings of
disclosures available to the data subject and access to and amendment of
records. The specific applicability of the exemptions to this system and
the reasons for the exemptions are as follows:
(i) Inspector General investigations may contain properly classified
information that pertains to national defense and foreign policy
obtained from other systems or another Federal agency. Application of
exemption (k)(1) may be necessary to preclude the data subject's access
to and amendment of such classified information under 5 U.S.C. 552a(d).
(ii) Inspector General investigations may contain investigatory
material compiled for law enforcement purposes other than material
within the scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the
administration of the merit system. Application of exemption (k)(2) may
be necessary to preclude the data subject's access to or amendment of
such records under 5 U.S.C. 552a(a)(3) and (d).
(iii) Inspector General investigations may contain information
obtained from another system or Federal agency that relates to providing
protective services to the President of the United States or other
individuals pursuant to 18 U.S.C. 3056. Application of exemption (k)(3)
may be necessary to preclude the data subject's access to and amendment
of such records under 5 U.S.C. 552a(d).
(iv) Inspector General case files may contain information that, by
statute, is required to be maintained and used solely as a statistical
record. Application of exemption (k)(4) may be necessary to ensure
compliance with such a statutory mandate.
(v) All information about individuals in these records that meets the
criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements
of 5 U.S.C. 552a(c)(3) and (d). This exemption is claimed because this
system contains investigatory material that if disclosed may reveal the
identity of a source who furnished information to the Government under
an express promise that the source's identity would be held in
confidence or, prior to September 27, 1975, under an implied promise.
The application of exemption (k)(5) will be required to honor promises
of confidentiality should the data subject request access to or
amendment of the records, or access to the accounting of disclosures of
the record.
(vi) All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C.
552a(d) relating to access to and amendment of records by the data
subject. This exemption is claimed because portions of a case file
record may relate to testing and examining material used solely to
determine individual qualifications for appointment or promotion in the
Federal service. Access to or amendment of this information by the data
subject would compromise the objectivity and fairness of the testing or
examining process.
(vii) Inspector General case files may contain evaluation material
used to determine potential for promotion in the armed services.
Application of exemption (k)(7) may be necessary, but only to the extent
that the disclosure of the data would reveal the identity of a source
who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or, prior
to September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
(2) Administrative Law Judge Applicant Records (OPM/CENTRAL-6). (i)
All information about individuals in these records that meets the
criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirement of
5 U.S.C. 552(c)(3) and (d). The exemptions are claimed because this
system contains investigatory material compiled solely for determining
suitability, eligibility, and qualifications for Federal civilian
employment. To the extent that the disclosure of such material would
reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence, the application of exemption (k)(5) will be required to
honor promises of confidentialty should the data subject request access
to the accounting of disclosures of the record, or access to or
amendment of the record.
(ii) All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C.
552a(d), relating to access to and amendment of the records by the data
subject. This exemption is claimed because portions of this system
relate to testing and examining materials used solely to determine
individual qualifications for appointment or promotion in the Federal
service. Access to or amendment of this information by the data subject
would compromise the objectivity and fairness of the testing or examing
process.
(3) Litigation and Claims Records (OPM/CENTRAL-7). (i) When litigation
or claim cases occur, information from other existing systems of records
may be incorporated into the case file. This information may be material
for which exemptions have been claimed by the Office in this section. To
the extent that such exempt material is incorporated into a litigation
or claim case file, the appropriate exemption (5 U.S.C. 552a(k)(1), (2),
(3), (4), (5), (6), or (7)) shall also apply to the material as it
appears in this system. The exemptions will be only from those
provisions of the Act that were claimed for the systems from which the
records originated.
(ii) During the course of litigation or claims cases, it may be
necessary to conduct investigations to develop information and evidence
relevant to the case. These investigative records may include material
meeting the criteria stated in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5),
(6), and (7). Such material is exempt from the requirement of 5 U.S.C.
552a(c)(3) and (d). These provisions of the Act relate to making
accounting of disclosures available to the data subject and access to
and amendment of records. The specific applicability of the exemptions
to this system and the reasons for the exemptions are:
(A) Such investigations may contain properly classified information
that pertains to national defense and foreign policy obtained from
another Federal agency. Application of exemption (k)(1) may be necessary
to preclude the data subject's access to and amendment of suh classified
information under 5 U.S.C 552a(d).
(B) Such investigations may contain investigatory material compiled
for law enforcement purposes othe than material within the scope of 5
U.S.C. 552a(j)(2), e.g., administration of the merit system, obtained
from another Federal agency. All information about individuals in these
records that meets the criteria of 5 U.S.C 552a(k)(2) is exempt from the
requirements of 5 U.S.C. 552a(c)(3) and (d). Application of exemption
(k)(2) may be necessary to preclude the data subject's access to or
amendment of those records.
(C) Such investigations may contain information obtained from another
agency that relates to providing protective services to the President of
the United States or other individuals pursuant to 18 U.S.C. 3056. All
information about individuals in these records that meets the criteria
of 5 U.S.C. 552a(k)(3) is exempt from the requirements of 5 U.S.C.
552a(d), relating to access to or amendment of records by the data
subject. Application of exemption (k)(3) may be necessary to preclude
the data subject's access to and amendment of such records.
(D) Such investigations may contain information that, by statute, is
required to be maintained and used solely as a statistical record.
Application of exemption (k)(4) may be necessary to ensure compliance
with such a statutory mandate.
(E) All information about individuals in these records that meets the
criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements
of 5 U.S.C. 552a(c)(3) and (d). These exemptions are claimed because
this system contains investigatory material compiled solely for
determining suitability, eligibility, and qualifications for Federal
civilian employment. To the extent that the disclosure of such material
would reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence, the application of exemption (k)(5) will be required to
honor such a promise should the data subject request access to the
accounting of disclosure, or access to or amendment of the record, that
would reveal the identity of a confidential source.
(F) All information in these records that meets the criteria stated in
5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d),
relating to access to and amendment of the records by the data subject.
This exemption is claimed because portions of this system relate to
testing or examining materials used solely to determine individual
qualifications for appointment or promotion in the Federal service.
Access to or amendment by the data subject of this information would
compromise the objectivity and fairness of the testing or examining
process.
(G) Such investigations may contain evaluation material used to
determine potential for promotion in the armed services. Application of
exemption (k)(7) may be necessary, but only to the extent that the
disclosure of the data would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
(4) Privacy Act/Freedom of Information Case Records (OPM/CENTRAL-8).
In this subpart, the Office has claimed exemptions for its other systems
of records where it felt such exemptions are appropriate and necessary.
These exemptions are claimed under 5 U.S.C. 552a(k) (1), (2), (3), (4),
(5), (6) and (7). During the processing of a Privacy Act/Freedom of
Information Act request (which may include access requests, amendment
requests, and requests for review for initial denials of such requests)
exempt materials from those other systems may in turn become part of the
case record in this system. To the extent that copies of exempt records
from those other systems are entered into this system, the Office hereby
claims the same exemptions for the records from those other systems that
are entered into this system, as claimed for the original primary system
of which they are a part.
(5) Personnel Investigations Records (OPM/CENTRAL-9). All information
in these records that meets the criteria stated in 5 U.S.C. 552a(k) (1),
(2), (3), (4), (5), (6), and (7) is exempt from the requirements of 5
U.S.C. 552a(c)(3) and (d). These provisions of the Privacy Act relate to
making accountings of disclosures available to the data subject and
access to and amendment of records. The specific applicability of the
exemptions to this system and the reasons for the exemptions are as
follows:
(i) Personnel investigations may contain properly classified
information which pertains to national defense and foreign policy
obtained from another Federal agency. Application of exemption (k)(1)
may be necessary to preclude the data subject's access to and amendment
of such classified information under 5 U.S.C. 552a(d).
(ii) Personnel investigations may contain investigatory material
compiled for law enforcement purposes other than material within the
scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the
administration of the merit system. Application of exemption (k)(2) may
be necessary to preclude the data subject's access to or amended of such
records under 5 U.S.C. 552a(c)(3) and (d).
(iii) Personnel investigations may contain information obtained from
another Federal agency that relates to providing protective services to
the President of the United States or other individuals pursuant to 18
U.S.C. 3056. Application of exemption (k)(3) may be necessary to
preclude the data subject's access to and amendment of such records
under 5 U.S.C. 552a(d).
(iv) Personnel investigations may contain information that, by
statute, is required to be maintained and used solely as a statistical
record. Application of exemption (k)(4) may be necessary to ensure
compliance with such a statutory mandate.
(v) All information about individuals in these records that meets the
criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements
of 5 U.S.C. 552a(c)(3) and (d). These exemptions are claimed because
this system contains investigatory material compiled solely for
determining suitability, eligibility, and qualifications for Federal
civilian employment. To the extent that the disclosure of material would
reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence, the applicability of exemption (k)(5) will be required to
honor promises of confidentiality should the data subject request access
to or amendment of the record, or access to the accounting of
disclosures of the record.
(vi) All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C.
552a(d), relating to access to and amendment of records by the data
subject. This exemption is claimed because portions of this system
relate to testing or examining materials used solely to determine
individual qualifications for appointment or promotion in the Federal
service. Access to or amendment of this information by the data subject
would compromise the objectivity and fairness of the testing or
examining process.
(vii) Personnel Investigations may contain evaluation material used to
determine potential for promotion in the armed services. Application of
exemption (k)(7) may be necessary, but only to the extent that the
disclosure of the data would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
(6) Presidential Management Intern Program Records (OPM/CENTRAL-11).
All information in these records that meets the criteria stated in 5
U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d),
relating to access to and amendment of records by the data subject. This
exemption is claimed because portions of this system relate to testing
or examining materials used solely to determine individual
qualifications for appointment or promotion in the Federal service and
access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining
process.
(7) Recruiting, Examining, and Placement Records (OPM/GOVT-5). (i) All
information about individuals in these records that meets the criteria
stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements of 5
U.S.C. 552a(c)(3) and (d). These provisions of the Privacy Act relate to
making accountings of disclosures available to the data subject and
access to and amendment of records. These exemptions are claimed because
this system contains investigative material compiled solely for
determining the appropriateness of a request for approval of an
objection to an eligible's qualification for employment in the Federal
service. To the extent that the disclosure of such material would reveal
the identity of a source who furnished information to the Government
under an express promise that the identity of the source would be held
in confidence, or prior to September 27, 1975, under an implied promise
that the identity of the source would be held in confidence, the
application of exemption (k)(5) will be required to honor promises of
confidentiality should the data subject request access to the accounting
of disclosures of the record, or access to or amendment of the record.
(ii) All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C.
552a(d), relating to access to an amendment of records by the subject.
This exemption is claimed because portions of this system relate to
testing or examining materials used solely to determine individual
qualifications for appointment or promotion in the Federal service and
access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining
process.
(8) Personnel Research and Test Validation Records (OPM/GOVT-6). (i)
All information in these records that meets the criteria stated in 5
U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d),
relating to access to and amendment of the records by the data subject.
This exemption is claimed because portions of this system relate to
testing or examining materials used solely to determine individual
qualifications for appointment or promotion in the Federal service.
Access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining
process.
(ii) All information in these records that meets the criteria stated
in 5 U.S.C. 552a(k)(4) is exempt from the requirements of 5 U.S.C.
552a(d), relating to access to or amendment of the records by the data
subject. This exemption is claimed because portions of this system
relate to records required by statute to be maintained and used solely
for statistical purposes. Access to or amendment of this information by
the data subject would compromise the confidentiality of these records
and their usefulness for statistical research purposes.
(c) The Office 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. The Office may refuse access to
information compiled in reasonable anticipation of a civil action or
proceeding.
[53 FR 1997, Jan. 26, 1988, as amended at 57 FR 20956, May 18, 1992]