[Federal Register Volume 61, Number 136 (Monday, July 15, 1996)]
[Notices]
[Pages 36919-36940]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 93-17425]
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OFFICE OF PERSONNEL MANAGEMENT
Privacy Act of 1974; Publication of Notices of Systems of Records
and a Proposed New Routine Use
AGENCY: Office of Personnel Management.
ACTION: Notice; publication of notices of the eight Governmentwide
systems of records managed by the Office of Personnel Management,
adding a note of explanation to one system of records, deleting an
existing routine use and proposing a routine use for one system of
records.
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SUMMARY: This notice provides an accurate and complete text with
administrative changes of the Office of Personnel Management's notices
for its eight Governmentwide systems of records. This notice also adds
a note of explanation to one of the routine uses to one Governmentwide
system, deletes one routine use, and adds one routine use to a system
of records. This action effects the administrative changes that have
occurred in the Office's reorganization and makes readily available in
one issue of the Federal Register an accurate and complete text of the
Office notices most widely used by individuals and by agency Privacy
Act officers.
DATES: The notice with the administrative (non-substantive) changes are
effective on July 15, 1996. The proposed routine use will become
effective, without further notice, on September 13, 1996, unless
comments dictate otherwise.
ADDRESSES: Written comments may be sent or delivered to: Assistant
Director for Workforce Information, Room 7439, U.S. Office of Personnel
Management, 1900 E Street, NW., Washington, DC 20415.
FOR FURTHER INFORMATION CONTACT: John Sanet, Privacy Act Advisor,
Office of Workforce Information (202) 606-1955.
SUPPLEMENTARY INFORMATION: The Office of Personnel Management (the
Office) last published its Governmentwide systems notices in 1992. To
be in conformance with the recent reorganization of the Office,
internal changes in the designation of the systems managers and
location of records have occurred that are reflected in this
publication. In addition one routine use was deleted and one routine
use is proposed to a particular system of records. In addition, a note
of explanation is added to one routine use for OPM/GOVT-1.
A brief description of the major changes follows:
OPM/GOVT-1. A note has been added to routine use ``j'' allowing the
home addresses of bargaining unit employees to be disclosed to
recognized labor organizations that are legally required to represent
them from OPM's internal payroll system of records.
The note explains that home addresses contained in OPM/GOVT-1 or in
any other system of records administered by OPM may not be disclosed to
labor organizations under any circumstances.
In addition, volunteers, grantees, and contract employees on whom
an agency is maintaining employment records may also be covered by this
system.
OPM/GOVT-3, Records of Adverse Actions, Performance Based Reduction
in Grade and Removal Actions, and Terminations of Probationers. Routine
Use ``o'' has been deleted as no longer necessary and a proposed new
routine use is offered to allow records within this system to be made
available to specified agencies (Federal, State, or county, municipal,
or other publicly recognized charitable or income security,
administrative agency like an unemployment compensation agency) when
necessary to adjudicate a claim under the retirement, insurance,
unemployment, or health benefits program, or to conduct an analytical
study or audit of such programs. Presently, an identical routine use
exists in the OPM/GOVT-1 system of records. This proposed routine use
will enable agencies to disclose relevant information from the OPM/
GOVT-3 system for the same purpose.
OPM/GOVT-6, Personnel Research and Test Validation Records.
Administrative changes are made reflecting the title of the system
manager and the system location for these records due to OPM's
reorganization are incorporated in this notice.
OPM/GOVT-7, Applicant Race, Sex, National Origin, and Disability
Status Records. Administrative changes reflecting the title of the
system location and system location for these records due to OPM's
reorganization are incorporated in this notice.
OPM/GOVT-9, File on Position Classification Appeals, Job Grading
Appeals, and Retained Grade or Pay Appeals. An administrative change
reflecting the identification of the system manager is incorporated in
this notice.
The system report, as required by 5 U.S.C. 552a(r), has been
submitted to the Committee on Governmental Affairs of the United States
Senate, the Committee on Government Reform and Oversight of the House
of Representatives, and the Office of Management and Budget.
Following is a complete text of these eight Office of Personnel
Management systems of records.
Office of Personnel Management,
Lorraine A. Green,
Deputy Director.
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
[[Page 36920]]
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 Winnebego
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 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 enrollment or declination of enrollment in the
Federal Employees' Group Life Insurance Program and Federal Employees
Health Benefit Program, as well as forms showing designation of
beneficiary, Federal Employee's Thrift Savings 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 Personnel Data
Standards.
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.
k. Records relating to designations for lump sum death benefits.
1. Records relating to classified information nondisclosure
agreements.
Authority for maintenance of the system:
Includes the following with any revisions or amendments:
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
[[Page 36921]]
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.
Temporary documents on the left side of the OPF may pertain to a
formal action but do not constitute a record of it nor make a
substantial contribution to the employee's long-term record.
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.
Note 6--The release of updated home addresses of all bargaining
unit employees to labor organizations recognized under 5 U.S.C.
Chapter 71 from an accurate internal system of records is necessary
for full and proper discussion, understanding, and negotiation of
subjects within the scope of collective bargaining under 5 U.S.C.
7114(b)(4). OPM has determined that retrieval of home addresses from
OPM/GOVT-1 or any other system of records administered by OPM would
yield a great deal of inaccurate information because the home
addresses are not regularly updated, and frequently are inaccurate.
Consequently, the release of the home addresses from this system
would not serve the purpose of the disclosure, namely, the
furnishing of correct and useful information. Use of this system,
which is not wholly automated, would require an inordinate amount of
time to locate information that was not even requested, namely,
inaccurate home addresses. Accordingly, home addresses will not be
released from OPM/GOVT-1 or any other system administered by OPM,
but should be released from an accurate internal system. OPM's
internal system of records, which is clearly the most accurate
repository of the home address of OPM employees, will be utilized to
accomplish this release of information. See Federal Register of
March 8, 1996 (61 FR 9510).
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 the 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:
[[Page 36922]]
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--
(1) Fitness-for-duty examination procedures; or
(2) Agency-filed disability retirement 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, 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
[[Page 36923]]
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 speciality, 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.
Policies and practices of storing, retrieving, safeguarding, and
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.
For non-SES employees, transfer performance ratings of record 4
years old or less from the Employee Performance File to the OPF, if the
ratings and plans are not maintained by the agency in the OPF.
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 Manger and address:
a. Assistant Director for Workforce Information, Human Resources
Systems Service, 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 should contact the Office's St. Louis
office (address cited in ``Records Access Procedure'' below), or as
explained in the Note in the ``Records Access Procedure'' below, the
National Personnel Records Center (Civilian), 111 Winnebago Street, St.
Louis, Missouri 63118, regarding the records in this system.
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 the employment (for former Federal employees).
e. Signature.
Record access procedure:
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
[[Page 36924]]
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 297).
Note 7.--An individual who is a former Federal employee may
direct a request to the National Personnel Records Center (NPRC) for
a copy of a specific OPF document or for a transcript of his or her
own employment history compiled from documents in the OPF. The
transcript includes the individual's name; date of birth; social
security number; all past grades held, position titles, duty
stations, and salaries; and dates of personnel actions.
Under no circumstances shall an individual direct a request to
NPRC for access to copies of all records maintained in his or her
OPF. Though NPRC stores and services the OPFs of former Federal
employees covered by this system, that record remains the property
of the Office, and such requests will be handled and processed by
the: OPF/EMF Access Unit, Office of Personnel Management, P.O. Box
18673, St. Louis, Missouri 63118.
Contesting record procedure:
Current employees wishing to request amendment of their records
should contact their current agency. Former employees should contact
the system manager and not the Office. 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).
Note 8.--Under no circumstances shall former employees direct a
request for amendment to records in the OPF to the NPRC or to the
Office's OPF/EMF Access unit in St. Louis, Missouri. NPRC only
stores and services the OPFs on former Federal employees covered by
this system, and the Office's office in St. Louis processes only
access requests. Processing under the amendment provisions of the
Privacy Act will be handled only by the system manager.
Record source categories:
Information in this system of records is provided by--
a. The individual on whom the record is maintained.
b. Physicians examining the individual.
c. Educational institutions.
d. Agency officials and other individuals or entities.
e. Other sources of information for long-term records maintained in
an employee's OPF, in accordance with Code of Federal Regulations 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 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 filed in an OPF 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
[[Page 36925]]
appointment probationary period, or the employee's initial period of
probation after appointment.
i. Notices of commendations (which are not considered a permanent
OPF document), 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:
Includes the following with any revisions or amendments:
Sections 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
[[Page 36926]]
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 work
force 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.
Policies and practices of storing, retrieving, safeguarding, and
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 show 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 managers and address:
a. Assistant Director for Workforce Information, Personnel Systems
and Oversight Group, 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.
Records access procedure:
Individuals wishing access to their records should contact the
appropriate
[[Page 36927]]
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).
Records 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:
Includes the following with any revisions or amendments:
5 U.S.C. 3321, 4303, 7504, 7514, and 7543.
Purposes:
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 for
elements of data
[[Page 36928]]
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 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, safeguarding and
retaining and disposing of records in the system:
Storage:
These standards 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 then 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:
Assistant Director for Employee and Workforce Performance, Human
Resources Systems Service, 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.
[[Page 36929]]
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 objection/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:
Includes the following with any revisions or amendments:
5 U.S.C. 1302, 3109, 3301, 3302, 3304, 3305, 3306, 3307, 3309,
3313, 3317, 3318, 3319, 3326, 4103, 4723, 5532, and 5533, and Executive
Order 9397.
Purposes:
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
[[Page 36930]]
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, 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.
[[Page 36931]]
Policies and practices for storing, retrieving, safeguarding, and
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 Employment Service, Office of personnel
Management, 1900 E Street, NW., Washington, D.C. 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 procedures:
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 procedures:
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 individuals 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 contain 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.
[[Page 36932]]
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.
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.
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, Office of Personnel Management, 1900 E Street, NW.,
Washington, DC 20415; 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:
Includes the following with any revisions or amendments:
5 U.S.C. 1303, 3301, and 4702.
Purpose:
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
[[Page 36933]]
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, retrieving, safeguarding, and
retention and disposing of records in the system:
Storage:
These records are maintained in file folders and on punched cards,
disks, magnetic tape, CD Rom.
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, 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, 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 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.
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.
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.
[[Page 36934]]
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 names; 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:
Includes the following with any revisions or amendments:
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
[[Page 36935]]
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, safeguarding, and
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).
Reocrd 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, and
Retained Grade or Pay Appeals.
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.
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, or retained grade or pay appeal. 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 or whether an
employee is to remain in a retained grade or pay category. 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.
Authority for maintenance of the system
Includes the following with an revisions or amendments:
5 U.S.C. 5112, 5115, 5346, and 5366.
Purposes:
These records are primarily used to document the processing and
adjudication of a position classification appeal, job grading appeal,
or retained grade or pay appeal. Internally, OPM may use these records
to locate individuals for personnel research.
[[Page 36936]]
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 iniquiry 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, or retained grade or pay
appeal 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, and classifying positions,
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 storage, retrieval, safeguards, and
retention and disposal of records in the system:
Storage:
These records are maintained in file folders and binders and on
index cards, magnetic tape, disks, and microfiche.
Retrieval:
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, and retained grade or pay appeal files 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 or
job grading appeal, 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 or a
job grading appeal 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 was filed and the
approximate date of the closing of the case.
d. Kind of action (e.g., position classification appeal, job
grading appeal, or retained grade or pay appeal).
[[Page 36937]]
Record access procedure:
Individuals who have filed a position classification appeal, job
grading appeal, or a retained grade or pay appeal, must be provided
access to the record. However, after the appeal 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 was filed and the
approximate date of the closing of the case.
d. Kind of action (e.g., position classification appeal, job
grading appeal, or retained grade or pay appeal).
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 was filed and the
approximate date of the closing of the case.
d. Kind of action (e.g., position classification appeal, job
grading appeal, or retained grade or pay appeal).
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:
Includes the following with any revisions or amendments:
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.
[[Page 36938]]
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--
(1) Medical evaluation (formerly Fitness for Duty) examinations
procedures; or
(2) Agency-filed disability retirement 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.
[[Page 36939]]
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.
Policies and practices of storing, retrieving, safeguarding, and
retaining and 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 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 30
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, Human Resources
Systems Service, 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:
OPF/EMF Access Unit, Office of Personnel Management, P.O. Box 18673,
St. Louis, Missouri 63118.
Requests to the Office's OPF/EMF Access Unit in St. Louis,
Missouri, must submit the following information for their records to be
located and identified:
1. Full name.
2. Date of birth.
3. Social security number.
4. Agency name, dates, and location of last Federal service.
5. Signature.
Records 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 Office's OPF/EMF Access Unit in St. Louis, Missouri, for access
to their EMF. When submitting a request to the Office's OPF/EMF Access
Unit in St. Louis, Missouri, 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, dates, 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 records 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
[[Page 36940]]
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, dates, 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).
Records 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.
[FR Doc. 93-17425 Filed 7-12-96; 8:45 am]
BILLING CODE 6325-01-M
