office of personnel management · pdf fileeight office of personnel management systems of...

Thursday,

April 27, 2000

Part II

Office of PersonnelManagementPrivacy Act of 1974; Publication of Noticeof Systems of Records and Proposed NewRoutine Uses; Notice

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24732 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

OFFICE OF PERSONNELMANAGEMENT

Privacy Act of 1974; Publication ofNotice of Systems of Records andProposed New Routine Uses

AGENCY: Office of PersonnelManagement.ACTION: Notice; publication of the eightGovernmentwide systems of recordsmanaged by the Office of PersonnelManagement, proposing routine uses forvarious systems of records, theamending of one of OPM’sGovernmentwide systems of records,and making needed administrativechanges necessitated by various changesin office titles.

SUMMARY: The revisions result from areview of agency information practicesconducted in accordance with thePresident’s May 14, 1998, memorandumon privacy and information in federalrecords. The revisions reflect thechanges and clarify OPM’sGovernmentwide systems of records.This notice provides an accurate andcomplete text with administrativechanges of the Office of PersonnelManagement’s notices for its eightGovernmentwide systems of records.This notice proposes to add oneidentical routine use to three systems ofrecords and a separate routine use toone system of records. In addition,records that are presently in one ofOPM’s systems of records will be movedto another system of records foradministrative purposes. These actionsreflect the administrative changes thathave occurred in the Office’sreorganization since the last publicationof these notices on June 15, 1996, andmore importantly, makes readilyavailable in one issue of the FederalRegister an accurate and complete textof the Office notices most widely usedby individuals and Privacy Act officers.DATES: The notice with theadministrative (non-substantive)changes are effective on April 27, 2000.The proposed routine uses will becomeeffective without further notice, on June26, 2000, unless comments dictateotherwise.

ADDRESSES: Written comments may besent delivered to: Assistant Director forWorkforce Information, Room 7439, U.S. Office of Personnel Management,1900 E Street, NW., Washington, DC20415.

FOR FURTHER INFORMATION CONTACT: JohnSanet, Privacy Act Advisor, Office ofWorkforce Information, (202) 606–1955.SUPPLEMENTARY INFORMATION: The Officeof Personnel Management (the Office)

last published its Governmentwidesystems notices on July 15, 1996. Toconform with a reorganization and namechange of some Governmentwidesystems managers’ offices since theprior publication, this notice reflectsrevised internal designation of thesystem managers and their respectiveoffices. In addition, we propose to addone identical routine use to threesystems of records, to add one routineuse to one system of records, and tomove records relating to the Fair LaborStandards Act from OPM/Central-2 toOPM/GOVT–9 system of records. Thischange will not affect any Privacy Actrights afforded individuals who are thesubject of such records; we propose tomake the change for administrativepurposes only. The Governmentwidesystem is being updated and expandedto cover these FLSA records. Thepresent OPM/Central-2, Complaints andInquiries Records system, will continueto exist and will contain records relatingto the processing and adjudication of acomplaint made to OPM under ourregulations, except for Fair LaborStandard Act claims and complaints. Arevised OPM/Central-2 notice will bepublished in the future.

The first proposed routine use isoffered to allow relevant records withinthe OPM/GOVT–1, General PersonnelRecords; OPM/GOVT–2, EmployeePerformance File System Records; andOPM/GOVT–10, Employee Medical FileSystem Records of individuals whoformerly worked for the Panama CanalCommission, to be accessible by theRepublic of Panama. This routine use isneeded because the individualsinvolved are no longer Federalemployees because the Panama CanalCommission is no longer a Federalagency. Access to the employmentrecords, however, is required to makeemployment decisions on theseindividuals. These records that areneeded by the Republic of Panama areoften stored at the National PersonnelRecords Center in St. Louis, Missouri.This routine use will allow the recordsto be provided to the Republic ofPanama for use primarily when thoseindividuals are employed by Panama.The identical routine use is beingproposed as routine use ‘‘mm’’ for OPM/GOVT–1, routine use ‘‘q’’ for OPM/GOVT–2, and routine use ‘‘w’’ for OPM/GOVT–10. The other routine useproposed would allow certain relevantinformation contained in the OPM/GOVT–10 system of records to be madeavailable when individuals havecontracted an illness or potentially beenexposed to health hazards whileemployed in the Federal workforce.

This routine use will apply in thoselimited cases where access and reviewof individuals’ records is necessary.Such access and review will facilitateany necessary treatment of thoseindividuals. This routine use isidentical to one already in existence forOPM/GOVT–1, and is being proposed asroutine use ‘‘x’’ for OPM/GOVT–10.

The system report, as required by 5U.S.C. 552a(r), has been submitted tothe Committee on Governmental Affairsof the United States Senate, theCommittee on Government Reform andOversight of the House ofRepresentatives, and the Office ofManagement and Budget.

Following is a complete text of theseeight Office of Personnel Managementsystems of records.

Office of Personnel Management.Janice R. Lachance,Director.

OPM/GOVT–1

SYSTEM NAME:General Personnel Records.System Location.Records on current Federal employees

are located at the Office and withPersonnel Officers or other designatedoffices of the local installation of thedepartment or agency that currentlyemploys the individual. When agenciesdetermine that duplicates of theserecords need to be located in a secondoffice, e.g., an administrative officecloser to where the employee actuallyworks, such copies are covered by thissystem. Former Federal employees’Official Personnel Folders (OPFs) arelocated at the National PersonnelRecords Center, National Archives andRecords Administration, 111 WinnebagoStreet, St. Louis, Missouri 63118.Records not considered long-termrecords, but which may be retained inthe OPF or elsewhere duringemployment, and which are alsoincluded in this system, may be retainedby agencies for a period of time after theemployee leaves service.

The use of the phrase ‘‘long-term’’ todescribe those records filed on the right-hand-side of OPFs is used throughoutthis notice because these records are notactually permanently retained. The term‘‘temporary’’ is used when referencingshort-term records filed on the left-hand-side of OPFs and all other recordsnot filed in the OPF, but covered by thisnotice.

Note 1 —The records in this system are‘‘owned’’ by the Office of PersonnelManagement (Office) and should be providedto those Office employees who have anofficial need or use for those records.Therefore, if an employing agency is asked by


24733Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

an Office employee to access the recordswithin this system, such a request should behonored.

CATEGORIES OF INDIVIDUALS COVERED BY THESYSTEM:

Current and former Federalemployees as defined in 5 U.S.C. 2105.(Volunteers, grantees, and contractemployees on whom the agencymaintains records may also be coveredby this system).

CATEGORIES OF RECORDS IN THE SYSTEM:All categories of records may include

identifying information, such asname(s), date of birth, home address,mailing address, social security number,and home telephone. This systemincludes, but is not limited to, contentsof the OPF as specified in OPM’sOperating Manual, ‘‘The Guide toPersonnel Recordkeeping.’’ Records inthis system are:

a. Records reflecting work experience,educational level achieved, andspecialized education or trainingobtained outside of Federal service.

b. Records reflecting Federal serviceand documenting work experience andspecialized education received whileemployed. Such records containinformation about past and presentpositions held; grades; salaries; dutystation locations; and notices of allpersonnel actions, such asappointments, transfers, reassignments,details, promotions, demotions,reductions-in-force, resignations,separations, suspensions, Officeapproval of disability retirementapplications, retirement, and removals.

c. Records on participation in theFederal Employees’ Group LifeInsurance Program and FederalEmployees Health Benefits Program.

d. Records relating to anIntergovernmental Personnel Actassignment or Federal-private sectorexchange program.

Note 2 —Some of these records may alsobecome part of the OPM/CENTRAL–5,Intergovernmental Personnel Act AssignmentRecord system.

e. Records relating to participation inan agency Federal Executive or SESCandidate Development Program.

Note 3 —Some of these records may alsobecome part of the OPM/CENTRAL–3,Federal Executive Development Records; orOPM/CENTRAL–13, Senior ExecutiveService Records systems.

f. Records relating to Government-sponsored training or participation in anagency’s Upward Mobility Program orother personnel program designed tobroaden an employee’s workexperiences and for purposes ofadvancement (e.g., an administrativeintern program).

g. Records contained in the CentralPersonnel Data File (CPDF) maintainedby OPM and exact substantiverepresentations in agency manual orautomated personnel informationsystems. These data elements includemany of the above records along withhandicap and race and national origincodes. A definitive list of CPDF dataelements is contained in OPM’sOperating Manual, The Guide to theCentral Personnel Data File.

h. Records on the Senior ExecutiveService (SES) maintained by agenciesfor use in making decisions affectingincumbents of these positions, e.g.,relating to sabbatical leave programs,reassignments, and details, that areperhaps unique to the SES and that maybe filed in the employee’s OPF. Theserecords may also serve as the basis forreports submitted to OPM forimplementing OPM’s oversightresponsibilities concerning the SES.

i. Records on an employee’s activitieson behalf of the recognized labororganization representing agencyemployees, including accounting ofofficial time spent and documentationin support of per diem and travelexpenses.

Note 4 —Alternatively, such records maybe retained by an agency payroll office andthus be subject to the agency’s internalPrivacy Act system for payroll records. TheOPM/GOVT–1 system does not cover generalagency payroll records.

j. To the extent that the records listedhere are also maintained in an agencyelectronic personnel or microformrecords system, those versions of theserecords are considered to be covered bythis system notice. Any additionalcopies of these records (excludingperformance ratings of record andconduct-related documents maintainedby first line supervisors and managerscovered by the OPM/GOVT–2 system)maintained by agencies at field/administrative offices remote fromwhere the original records exist areconsidered part of this system.

Note 5 —It is not the intent of OPM to limitthis system of records only to those recordsphysically within the OPF. Records may befiled in other folders located in offices otherthan where the OPF is located. Further, asindicated in the records location section,some of these records may be duplicated formaintenance at a site closer to where theemployee works (e.g., in an administrativeoffice or supervisors work folder) and still becovered by this system. In addition, aworking file that a supervisor or other agencyofficial is using that is derived from OPM/GOVT–1 is covered by this system notice.This system also includes working filesderived from this notice that management isusing in its personnel management capacity.

k. Records relating to designations forlump sum death benefits.

l. Records relating to classifiedinformation nondisclosure agreements.

m. Records relating to the ThriftSavings Plan (TSP) concerning thestarting, changing, or stopping ofcontributions to the TSP as well as thehow the individual wants theinvestments to be made in the variousTSP Funds.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1302, 2951, 3301, 3372, 4118,8347, and Executive Orders 9397, 9830,and 12107.

PURPOSE(S):

The OPF and other general personnelrecords files are the official repository ofthe records, reports of personnelactions, and the documents and papersrequired in connection with theseactions effected during an employee’sFederal service. The personnel actionreports and other documents, some ofwhich are filed as long-term records inthe OPF, give legal force and effect topersonnel transactions and establishemployee rights and benefits underpertinent laws and regulationsgoverning Federal employment.

These files and records aremaintained by OPM and the agencies forthe Office in accordance with Officeregulations and instructions. Theyprovide the basic source of factual dataabout a person’s Federal employmentwhile in the service and after his or herseparation. Records in this system havevarious uses by agency personneloffices, including screeningqualifications of employees;determining status, eligibility, andemployee’s rights and benefits underpertinent laws and regulationsgoverning Federal employment;computing length of service; and otherinformation needed to providepersonnel services. These records andtheir automated or microformequivalents may also be used to locateindividuals for personnel research.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEMS, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSES OF SUCH USES:

These records and information inthese records may be used:

a. To disclose information toGovernment training facilities (Federal,State, and local) and to non-Governmenttraining facilities (private vendors oftraining courses or programs, privateschools, etc.) for training purposes.

b. To disclose information toeducation institutions on appointmentof a recent graduate to a position in theFederal service, and to provide college



and university officials withinformation about their studentsworking in the Student CareerExperiment Program, Volunteer Service,or other similar programs necessary to astudent’s obtaining credit for theexperience gained.

c. To disclose information to officialsof foreign governments for clearancebefore a Federal employee is assigned tothat country.

d. To disclose information to theDepartment of Labor, Department ofVeterans Affairs, Social SecurityAdministration, Department of Defense,or any other Federal agencies that havespecial civilian employee retirementprograms; or to a national, State, county,municipal, or other publicly recognizedcharitable or income security,administration agency (e.g., Stateunemployment compensation agencies),when necessary to adjudicate a claimunder the retirement, insurance,unemployment, or health benefitsprograms of the Office or an agencycited above, or to an agency to conductan analytical study or audit of benefitsbeing paid under such programs.

e. To disclose to the Office of FederalEmployees Group Life Insurance,information necessary to verify election,declination, or waiver of regular and/oroptional life insurance coverage,eligibility for payment of a claim for lifeinsurance, or to TSP election changeand designation of beneficiary.

f. To disclose, to health insurancecarriers contracting with the Office toprovide a health benefits plan under theFederal Employees Health BenefitsProgram, information necessary toidentify enrollment in a plan, to verifyeligibility for payment of a claim forhealth benefits, or to carry out thecoordination or audit of benefitprovisions of such contracts.

g. To disclose information to aFederal, State, or local agency fordetermination of an individual’sentitlement to benefits in connectionwith Federal Housing Administrationprograms.

h. To consider and select employeesfor incentive awards and other honorsand to publicize those granted. Thismay include disclosure to other publicand private organizations, includingnews media, which grant or publicizeemployee recognition.

i. To consider employees forrecognition through quality-stepincreases, and to publicize thosegranted. This may include disclosure toother public and private organizations,including news media, which grant orpublicize employee recognition.

j. To disclose information to officialsof labor organizations recognized under5 U.S.C. chapter 71 when relevant andnecessary to their duties of exclusiverepresentation concerning personnelpolicies, practices, and matters affectingworking conditions.

k. To disclose pertinent informationto the appropriate Federal, State, orlocal agency responsible forinvestigating, prosecuting, enforcing, orimplementing a statute, rule, regulation,or order, when the disclosing agencybecomes aware of an indication of aviolation or potential violation of civilor criminal law or regulation.

l. To disclose information to anysource from which additionalinformation is requested (to the extentnecessary to identify the individual,inform the source of the purpose(s) ofthe request, and to identify the type ofinformation requested), when necessaryto obtain information relevant to anagency decision to hire or retain anemployee, issue a security clearance,conduct a security or suitabilityinvestigation of an individual, classifyjobs, let a contract, or issue a license,grant, or other benefits.

m. To disclose to a Federal agency inthe executive, legislative, or judicialbranch of government, in response to itsrequest, or at the initiation of the agencymaintaining the records, information inconnection with the hiring of anemployee, the issuance of a securityclearance, the conducting of a securityor suitability investigation of anindividual, the classifying of jobs, theletting of a contract, the issuance of alicense, grant, or other benefits by therequesting agency, or the lawfulstatutory, administrative, orinvestigative purpose of the agency tothe extent that the information isrelevant and necessary to the requestingagency’s decision.

n. To disclose information to theOffice of Management and Budget at anystage in the legislative coordination andclearance process in connection withprivate relief legislation as set forth inOMB Circular No. A–19.

o. To provide information to acongressional office from the record ofan individual in response to an inquiryfrom that congressional office made atthe request of the individual.

p. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to the judicialor administrative proceeding.

q. To disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicative

body, or other administrative bodybefore which the agency is authorized toappear, when:

1. The agency, or any componentthereof; or

2. Any employee of the agency in hisor her official capacity; or

3. Any employee of the agency in hisor her individual capacity where theDepartment of Justice or the agency hasagreed to represent the employee; or

4. The United States, when the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation provided,however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

r. By the National Archives andRecords Administration in recordsmanagement inspections and its role asArchivist.

s. By the agency maintaining therecords or by the Office to locateindividuals for personnel research orsurvey response, and in the productionof summary descriptive statistics andanalytical studies in support of thefunction for which the records arecollected and maintained, or for relatedworkforce studies. While publishedstatistics and studies do not containindividual identifiers, in someinstances, the selection of elements ofdata included in the study may bestructured in such a way as to make thedata individually identifiable byinference.

t. To provide an official of anotherFederal agency information needed inthe performance of official dutiesrelated to reconciling or reconstructingdata files, in support of the functions forwhich the records were collected andmaintained.

u. When an individual to whom arecord pertains is mentally incompetentor under other legal disability,information in the individual’s recordmay be disclosed to any person who isresponsible for the care of theindividual, to the extent necessary toassure payment of benefits to which theindividual is entitled.

v. To disclose to the agency-appointedrepresentative of an employee allnotices, determinations, decisions, orother written communications issued tothe employee, in connection with anexamination ordered by the agency



under fitness-for-duty examinationprocedures.

w. To disclose, in response to arequest for discovery or for appearanceof a witness, information that is relevantto the subject matter involved in apending judicial or administrativeproceeding.

x. To disclose to a requesting agency,organization, or individual the homeaddress and other relevant informationon those individuals who it reasonablybelieved might have contracted anillness or might have been exposed to orsuffered from a health hazard whileemployed in the Federal workforce.

y. To disclose specific civil serviceemployment information required underlaw by the Department of Defense onindividuals identified as members of theReady Reserve to assure continuousmobilization readiness of Ready Reserveunits and members, and to identifydemographic characteristics of civilservice retirees for national emergencymobilization purposes.

z. To disclose information to theDepartment of Defense, NationalOceanic and AtmosphericAdministration, U.S. Public HealthService, Department of Veterans Affairs,and the U.S. Coast Guard needed toeffect any adjustments in retired orretained pay required by the dualcompensation provisions of section5532 of title 5, United States Code.

aa. To disclose information to theMerit Systems Protection Board or theOffice of the Special Counsel inconnection with appeals, special studiesof the civil service and other meritsystems, review of Office rules andregulations, investigation of alleged orpossible prohibited personnel practices,and such other functions promulgatedin 5 U.S.C. chapter 12, or as may beauthorized by law.

bb. To disclose information to theEqual Employment OpportunityCommission when requested inconnection with investigations ofalleged or possible discriminationpractices in the Federal sector,examination of Federal affirmativeemployment programs, compliance byFederal agencies with the UniformGuidelines on Employee SelectionProcedures, or other functions vested inthe Commission.

cc. To disclose information to theFederal Labor Relations Authority(including its General Counsel) whenrequested in connection withinvestigation and resolution ofallegations of unfair labor practices, inconnection with the resolution ofexceptions to arbitrator’s awards when aquestion of material fact is raised, toinvestigate representation petitions and

to conduct or supervise representationelections, and in connection withmatters before the Federal ServiceImpasses Panel.

dd. To disclose to prospective non-Federal employers, the followinginformation about a specificallyidentified current or former Federalemployee:

(1) Tenure of employment;(2) Civil service status;(3) Length of service in the agency

and the Government; and

(4) When separated, the date andnature of action as shown on theNotification of Personnel Action—Standard Form 50 (or authorizedexception).

ee. To disclose information onemployees of Federal health carefacilities to private sector (i.e., otherthan Federal, State, or local government)agencies, boards, or commissions (e.g.,the Joint Commission on Accreditationof Hospitals). Such disclosures will bemade only when the disclosing agencydetermines that it is in theGovernment’s best interest (e.g., tocomply with law, rule, or regulation, toassist in the recruiting of staff in thecommunity where the facility operatesor to avoid any adverse publicity thatmay result from public criticism of thefacility’s failure to obtain such approval,or to obtain accreditation or otherapproval rating). Disclosure is to bemade only to the extent that theinformation disclosed is relevant andnecessary for that purpose.

ff. To disclose information to anymember of an agency’s PerformanceReview Board or other panel when themember is not an official of theemploying agency; information wouldthen be used for approving orrecommending selection of candidatesfor executive development or SEScandidate programs, issuing aperformance rating of record, issuingperformance awards, nominating formeritorious and distinguished executiveranks, and removal, reduction-in-grade,and other personnel actions based onperformance.

gg. To disclose, either to the FederalAcquisition Institute (FAI) or its agent,information about Federal employees inprocurement occupations and otheroccupations whose incumbents spendthe predominant amount of their workhours on procurement tasks; providedthat the information shall only be usedfor such purposes and under suchconditions as prescribed by the notice ofthe Federal Acquisition PersonnelInformation System as published in the

Federal Register of February 7, 1980 (45FR 8399).

hh. To disclose relevant informationwith personal identifiers of Federalcivilian employees whose records arecontained in the Central Personnel DataFile to authorized Federal agencies andnon-Federal entities for use in computermatching. The matches will beperformed to help eliminate waste,fraud, and abuse in Governmentalprograms; to help identify individualswho are potentially in violation of civilor criminal law or regulation; and tocollect debts and overpayments owed toFederal, State, or local governments andtheir components. The informationdisclosed may include, but is notlimited to, the name, social securitynumber, date of birth, sex, annualizedsalary rate, service computation date ofbasic active service, veteran’spreference, retirement status,occupational series, health plan code,position occupied, work schedule (fulltime, part time, or intermittent), agencyidentifier, geographic location (dutystation location), standard metropolitanservice area, special program identifier,and submitting office number of Federalemployees.

ii. To disclose information to Federal,State, local, and professional licensingboards, Boards of Medical Examiners, orto the Federation of State MedicalBoards or a similar non-governmententity which maintains recordsconcerning individuals’ employmenthistories or concerning the issuance,retention or revocation of licenses,certifications or registration necessary topractice an occupation, profession orspecialty, in order to obtain informationrelevant to an Agency decisionconcerning the hiring retention ortermination of an employee or to informa Federal agency or licensing boards orthe appropriate non-government entitiesabout the health care practices of aterminated, resigned or retired healthcare employee whose professionalhealth care activity so significantlyfailed to conform to generally acceptedstandards of professional medicalpractice as to raise reasonable concernfor the health and safety of patients inthe private sector or from anotherFederal agency.

jj. To disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant, cooperative agreement, orjob for the Federal Government.

kk. To disclose information to aFederal, State, or local governmentalentity or agency (or its agent) whennecessary to locate individuals who areowed money or property either by a



Federal, State, or local agency, or by afinancial or similar institution.

ll. To disclose to a spouse ordependent child (or court-appointedguardian thereof) of a Federal employeeenrolled in the Federal EmployeesHealth Benefits Program, upon request,whether the employee has changed froma self-and-family to a self-only healthbenefits enrollment.

mm. To disclose information to theOffice of Child Support Enforcement,Administration for Children andFamilies, Department of Health andHuman Services, Federal Parent LocatorSystem and Federal Offset System foruse in locating individuals, verifyingsocial security numbers, and identifyingtheir incomes sources to establishpaternity, establish and modify orders ofsupport and for enforcement action.

nn. To disclose records on formerPanama Canal Commission employeesto the Republic of Panama for use inemployment matters.

POLICIES AND PRACTICES FOR STORING,RETRIEVING, SAFEGUARDING, AND RETAINING ANDDISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

These records are maintained in filefolders, on lists and forms, microfilm ormicrofiche, and in computerprocessable storage media.

RETRIEVABILITY:

These records are retrieved by variouscombinations of name, birth date, socialsecurity number, or identificationnumber of the individual on whom theyare maintained.

SAFEGUARDS:

Paper or microfiche/microfilmedrecords are located in locked metal filecabinets or in secured rooms withaccess limited to those personnel whoseofficial duties require access. Access tocomputerized records is limited,through use of access codes and entrylogs, to those whose official dutiesrequire access.

RETENTION AND DISPOSAL:

The OPF is maintained for the periodof the employee’s service in the agencyand is then transferred to the NationalPersonnel Records Center for storage or,as appropriate, to the next employingFederal agency. Other records are eitherretained at the agency for variouslengths of time in accordance with theNational Archives and RecordsAdministration records schedules ordestroyed when they have served theirpurpose or when the employee leavesthe agency.

a. Long-term records. The OPF ismaintained by the employing agency aslong as the individual is employed withthat agency.

Within 90 days after the individualseparates from the Federal service, theOPF is sent to the National PersonnelRecords Center for long-term storage. Inthe case of administrative need, a retiredemployee, or an employee who dies inservice, the OPF is sent to the RecordsCenter within 120 days.

Destruction of the OPF is inaccordance with General RecordsSchedule-1 (GRS–1).

b. Other records. Other records areretained for varying periods of time.Generally they are maintained for aminimum of 1 year or until theemployee transfers or separates.

c. Records contained on computerprocessable media within the CPDF(and in agency’s automated personnelrecords) may be retained indefinitely asa basis for longitudinal work historystatistical studies. After the dispositiondate in GRS–1, such records should notbe used in making decisions concerningemployees.

SYSTEM MANAGER(S) AND ADDRESS:

a. Assistant Director for WorkforceInformation, Office of Merit SystemsOversight and Effectiveness, Office ofPersonnel Management, 1900 E Street,NW, Washington, DC 20415.

b. For current Federal employees,OPM has delegated to the employingagency the Privacy Act responsibilitiesconcerning access, amendment, anddisclosure of the records within thissystem notice.

NOTIFICATION PROCEDURE:

Individuals wishing to inquirewhether this system of records containsinformation about them should contactthe appropriate Office or employingagency office, as follows:

a. Current Federal employees shouldcontact the Personnel Officer or otherresponsible official (as designated by theemploying agency), of the local agencyinstallation at which employedregarding records in this system.

b. Former Federal employees whowant access to their Official PersonnelFolders should contact the NationalPersonnel Records Center (Civilian), 111Winnebago Street, St. Louis, Missouri63118, regarding the records in thissystem. For other records covered by thesystem notice, individuals shouldcontact their former employing agency.

Individuals must furnish thefollowing information for their recordsto be located and identified:

a. Full name.

b. Date of birth.c. Social security number.d. Last employing agency (including

duty station) and approximate date(s) ofthe employment (for former Federalemployees).

e. Signature.

RECORD ACCESS PROCEDURE:

Individuals wishing to request accessto their records should contact theappropriate OPM or agency office, asspecified in the Notification Proceduresection. Individuals must furnish thefollowing information for their recordsto 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) ofemployment (for former Federalemployees).

e. Signature.Individuals requesting access must

also comply with the Office’s PrivacyAct regulations on verification ofidentity and access to records (5 CFRPart 297).

CONTESTING RECORD PROCEDURE:

Current employees wishing to requestamendment of their records shouldcontact their current agency. Formeremployees should contact the systemmanager. Individuals must furnish thefollowing information for their recordsto 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) ofemployment (for former Federalemployees).

e. Signature.Individuals requesting amendment

must also comply with the Office’sPrivacy Act regulations on verificationof identity and amendment of records (5CFR Part 297).

RECORD SOURCE CATEGORIES:

Information in this system of recordsis provided by:

a. The individual on whom the recordis maintained.

b. Educational institutions.c. Agency officials and other

individuals or entities.d. Other sources of information for

long-term records maintained in anemployee’s OPF, in accordance withCode of Federal Regulations 5 CFR Part293, and OPM’s Operating Manual,‘‘The Guide to PersonnelRecordkeeping.’’



OPM/GOVT–2

SYSTEM NAME :

EMPLOYEE PERFORMANCE FILE SYSTEMRECORDS:

SYSTEM LOCATION:Records maintained in this system

may be located as follows:a. In an Employee Performance File

(EPF) maintained in the agency officeresponsible for maintenance of theemployee’s Official Personnel Folder(OPF) or other agency-designated office.This includes those instances where theagency uses an envelope within the OPFin lieu of a separate EPF folder.

b. In the EPF of Senior ExecutiveService (SES) appointees where theagency elects to have the file maintainedby the Performance Review Boardsrequired by 5 U.S.C. 4314(c)(1), or theadministrative office supporting theBoard.

c. In any supervisor/manager’s workfolder maintained in the office by theemployee’s immediate supervisor/manager or, where agencies havedetermined that records management isbetter served, in such foldersmaintained for supervisors/managers ina central administrative office.

d. In an agency’s electronic personnelrecords system.

e. In an agency microformed EPF.Note 1 —Originals or copies of records

covered by this system may be located inmore than one location, but if they becomepart of an agency internal system (e.g.,administrative or negotiated grievance file),those copies then would be subject to theagency’s internal Privacy Act implementationguidance regarding their use within theagency’s system.

Note 2 —The records in this system are‘‘owned’’ by the Office of PersonnelManagement (Office) and should be providedto those Office employees who have anofficial need or use for those records.Therefore, if an employing agency is asked byan Office employee for access to the recordswithin this system, such a request should behonored.


Current and former Federalemployees (including SES appointees).

CATEGORIES OF RECORDS IN THE SYSTEM:Records in this system, wherever they

are maintained, may include any or allof the following:

a. Annual summary performanceratings of record issued under employeeappraisal systems and any documentthat indicates that the rating is beingchallenged under administrativeprocedures (e.g., when the employeefiles a grievance on the rating received).

b. A document (either the summaryrating form itself or a form affixed to it)

that identifies the job elements and thestandards for those elements uponwhich the rating is based.

c. Supporting documentation foremployee ratings of records, as requiredby agency rating systems orimplementing instructions, and whichmay be filed physically with the ratingof record (e.g., productivity and qualitycontrol records, records of employeecounseling, individual developmentplans, or other such records as specifiedin agency issuances) and maintained,for example in a work folder bysupervisors/managers at the work site.

d. Records on SES appraisalsgenerated by Performance ReviewBoards, including statements ofwitnesses and transcripts of hearings.

e. Written recommendations forawards, removals, demotions, denials ofwithin-grade increases, reassignments,training, pay increases, cash bonuses, orother performance-based actions (e.g.,nominations of SES employees forMeritorious or Distinguished Executive),including supporting documentation.

f. Statements made (letter on orappended to the performance ratingdocument) by the employee (e.g., astatement of disagreement with therating or recommendation), inaccordance with agency performanceplans and implementing instructions,regarding a rating given and anyrecommendations made based on them.

Note 3 —When a recommendation by asupervisor/manager or a statement made bythe employee regarding the rating issued (ora copy) becomes part of anotherGovernmentwide system or internal agencyfile (e.g., an SF 52 when the action is effectedor when documents or statements ofdisagreement are placed in a grievance file),that document then becomes subject to thatsystem’s notice and appropriate Office oremploying agency Privacy Act requirements,respectively, for the system of recordscovering that file.

g. Records created by ExecutiveResource Boards regarding performanceof an individual in an executivedevelopment program.

h. Records concerning performanceduring the supervisory or managerialprobationary period, the SESappointment probationary period, or theemployee’s initial period of probationafter appointment.

i. Notices of commendations,recommendations for training, such asan Individual Development Plan, andadvice and counseling records that arebased on work performance.

j. Copies of supervisory ratings usedin considering employees for promotionor other position changes originated inconjunction with agency meritpromotion programs when specifically

authorized for retention in the EPF orwork folder.

k. Performance-related material thatmay be maintained in the work folder toassist the supervisor/manager inaccurately assessing employeeperformance. Such material mayinclude transcripts of employment andtraining history, documentation ofspecial licenses, certificates, orauthorizations necessary in theperformance of the employee duties,and other such records that agenciesdetermine to be appropriate forretention in the work folder.

l. Standard Form 7B cards. (While theuse of the SF 7B Card system wascancelled effective December 31, 1992,this system notice will cover any ofthose cards still in existence.)

Note 4 —To the extent that performancerecords covered by this system aremaintained in either an EPF, supervisor/manager work folder, or an agency’selectronic or microform record system, theyare considered covered under this system ofrecords. Further, when copies of records filedin the employee’s OPF are maintained asgeneral records related to performance (itemk above), those records are to be consideredas being covered by this system and not theOPM/GOVT–1 system.

This notice does not cover theserecords (or copies) when they becomepart of a grievance file or a 5 CFR parts432, 752, or 754 file (documentsmaintained in these files are covered bythe OPM/GOVT–3 system of records,while grievance records are coveredunder an agency-specific system), orwhen they become part of an appeal ordiscrimination complaint file as suchdocuments are considered to be part ofeither the system of appeal recordsunder the control of the Merit SystemsProtection Board (MSPB) ordiscrimination complaints files underthe control of the Equal EmploymentOpportunity Commission (EEOC).

When an agency retains copies ofrecords from this system in anothersystem of records, not covered by this oranother OPM, MSPB, or EEOCGovernment-wide system notice, theagency is solely responsible forresponding to any Privacy Act issuesraised concerning these documents.

The Office has adopted a position thatwhen supervisors/managers retainpersonal ‘‘supervisory’’ notes, i.e.,information on employees that theagency exercises no control and doesnot require or specifically describe in itsperformance system, which remainsolely for the personal use of the authorand are not provided to any otherperson, and which are retained ordiscarded at the author’s sole discretion,



such notes are not subject to the PrivacyAct and are, therefore, not consideredpart of this system. Should an agencychoose to adopt a position that suchnotes are subject to the Act, that agencyis solely responsible for dealing withPrivacy Act matters, including therequisite system notice, concerningthem.


Sections 1104, 3321, 4305, and 5405of title 5, U.S. Code, and ExecutiveOrder 12107.

PURPOSE:

These records are maintained toensure that all appropriate records on anemployee’s performance are retainedand are available (1) To agency officialshaving a need for the information; (2) toemployees; (3) to support actions basedon the records; (4) for use by the Officein connection with its personnelmanagement evaluation role in theexecutive branch; and (5) to identifyindividuals for personnel research.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSE OF SUCH USES:

a. To disclose information to the MeritSystems Protection Board or the Officeof Special Counsel in connection withappeals, special studies of the civilservice and other merit systems, reviewof Office rules and regulations,investigations of alleged or possibleprohibited personnel practices, andother functions as promulgated in 5U.S.C. chapter 12, or for such otherfunctions as may be authorized by law.

b. To disclose information to theEEOC when requested in connectionwith investigations into alleged orpossible discrimination practices in theFederal sector, examination of FederalAffirmative Action programs,compliance by Federal agencies withthe Uniform Guidelines on EmployeeSelection Procedures, or other functionsvested in the Commission.

c. To disclose information to theFederal Labor Relations Authority(including its General Counsel) whenrequested in connection with theinvestigation and resolution ofallegations of unfair labor practices, inconnection with the resolution ofexceptions to arbitrator’s awards wherea question of material fact is raised, andmatters before the Federal ServiceImpasses Panel.

d. To consider and select employeesfor incentive awards, quality-stepincreases, merit increases andperformance awards, or other paybonuses, and other honors and to

publicize those granted. This mayinclude disclosure to public and privateorganizations, including news media,which grant or publicize employeeawards or honors.

e. To disclose information to anarbitrator to resolve disputes under anegotiated grievance procedure or toofficials of labor organizationsrecognized under 5 U.S.C. chapter 71when relevant and necessary to theirduties of exclusive representation.

f. To disclose to an agency in theexecutive, legislative, or judicial branch,or to the District of Columbia’sgovernment in response to its request, orat the initiation of the agencymaintaining the records, information inconnection with hiring or retaining ofan employee; issuing a securityclearance; conducting a security orsuitability investigation of anindividual; classifying jobs; letting acontract; issuing a license, grant, orother benefits by the requesting agency;or the lawful statutory, administrative,or investigative purposes of the agencyto the extent that the information isrelevant and necessary to the decisionon the matter.

g. To disclose, in response to a requestfor discovery or for appearance of awitness, information that is relevant tothe subject matter involved in a pendingjudicial or administrative proceeding.

h. To disclose information to acongressional office from the record oran individual in response to an inquiryfrom that congressional office made atthe request of the individual.

i. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to the judicialor administrative proceeding.

j. To disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the agency is authorized toappear, when:




4. The United States, when the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by the

Department of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

k. By the National Archives andRecords Administration in recordsmanagement inspections and its role asArchivist.

l. By the Office or employing agencyto locate individuals for personnelresearch or survey response and inproducing summary descriptivestatistics and analytical studies tosupport the function for which therecords are collected and maintained, orfor related workforce studies. Whilepublished statistics and studies do notcontain individual identifiers, in someinstances the selection of elements ofdata included in the study may bestructured in such a way as to make thedata individually identifiable byinference.

m. To disclose pertinent informationto the appropriate Federal, State, orlocal government agency responsible forinvestigating, prosecuting, enforcing, orimplementing a statute, rule, regulation,or order, where the agency maintainingthe record becomes aware of anindication of a violation or potentialviolation of civil or criminal law orregulation.

n. To disclose information to anymember of an agency’s PerformanceReview Board or other board or panelwhen the member is not an official ofthe employing agency. The informationwould then be used for approving orrecommending performance awards,nominating for meritorious anddistinguished executive ranks, andremoval, reduction-in-grade, and otherpersonnel actions based onperformance.

o. To disclose to Federal, State, local,and professional licensing boards orBoards of Medical Examiners, whensuch records reflect on thequalifications of individuals seeking tobe licensed.

p. To disclose to contractors, grantees,or volunteers performing or working ona contract, service, grant, cooperativeagreement, or job for the FederalGovernment.

q. To disclose records on formerPanama Canal Commission employeesto the Republic of Panama for use inemployment matters.



POLICIES AND PRACTICES FOR STORING,RETRIEVING, SAFEGUARDING, RETAINING ANDDISPOSING 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 andsocial security number of the individualon whom they are maintained.

SAFEGUARDS:

Records are maintained in file foldersor envelopes, on electronic media,magnetic tape, disks, or microforms andare stored in locked desks, metal filingcabinets, or in a secured room withaccess limited to those whose officialduties require access. Additionalsafeguarding procedures include the useof sign-out sheets and restrictions on thenumber of employees able to accesselectronic records through use of accesscodes and logs.


Records on former non-SESemployees will generally be retained nolonger than 1 year after the employeeleaves his or her employing agency.Records on former SES employees maybe retained up to 5 years under 5 U.S.C.4314.

a. Summary performance appraisals(and related records as the agencyprescribes) on SES appointees areretained for 5 years and ratings of recordon other employees for 4 years, exceptas shown in paragraph b. below, and aredisposed of by shredding, burning,erasing of disks, or in accordance withagency procedures regarding destructionof personnel records, including givingthem to the individual. When a non-SESemployee transfers to another agency orleaves Federal employment, ratings ofrecord and subsequent ratings (4 yearsold or less) are to be filed on thetemporary side of the OPF andforwarded with the OPF.

b. Ratings of unacceptableperformance and related documents,pursuant to 5 U.S.C. 4303(d), aredestroyed after the employee completes1 year of acceptable performance fromthe date of the proposed removal orreduction-in-grade notice. (Destructionto be no later than 30 days after the yearis up.)

c. When a career appointee in the SESaccepts a Presidential appointmentpursuant to 5 U.S.C. 3392(c), theemployee’s performance folder remainsactive so long as the employee remainsemployed under the Presidentialappointment and elects to have certain

provisions of 5 U.S.C. relating to theService apply.

d. When an incumbent of the SEStransfers to another position in theService, ratings and plans 5 years old orless shall be forwarded to the gainingagency with the individual’s OPF.

e. Some performance-related records(e.g., documents maintained to assistrating officials in appraisingperformance or recommending remedialactions or to show that the employee iscurrently licensed or certified) may bedestroyed after 1 year.

f. Where any of these documents areneeded in connection withadministrative or negotiated grievanceprocedures, or quasi-judicial or judicialproceedings, they may be retained asneeded beyond the retention schedulesidentified above.

g. Generally, agencies retain recordson former employees for no longer than1 year after the employee leaves.

Note 5 —When an agency retains anelectronic or microform version of any of theabove documents, retention of such recordslonger than shown is permitted (except forthose records subject to 5 U.S.C. 4303(d)) foragency use or for historical or statisticalanalysis, but only so long as the record is notused in a determination directly affecting theindividual about whom the record pertains(after the manual record has been or shouldhave been destroyed).

SYSTEM MANAGER(S) AND ADDRESS:a. Assistant Director for Workforce

Information, Office of Merit SystemOversight and Effectiveness, Office ofPersonnel Management, 1900 E Street,NW., Washington, DC 20415.

b. For current Federal employees,OPM has delegated to the employingagency the Privacy Act responsibilitiesconcerning access, amendment, anddisclosure of the record within thissystem notice.

NOTIFICATION PROCEDURE:Individuals wishing to inquire

whether this system containsinformation about them should contacttheir servicing personnel office,supervisor/manager, PerformanceReview Board office, or other agencydesignated office maintaining theirperformance-related records where theyare or were employed. Individuals mustfurnish the following information fortheir records to be located andidentified:

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

office indicated in the NotificationProcedure section where they are orwere employed. Individuals mustfurnish the following information fortheir records to be located andidentified:

a. Full name(s).b. Social security number.c. Position occupied and unit where

employed.Individuals requesting access to

records must also comply with theOffice’s Privacy Act regulations onverification of identity and access torecords (5 CFR part 297).

CONTESTING RECORD PROCEDURE:Individuals wishing to request

amendment to their records shouldcontact the appropriate office indicatedin the Notification Procedure sectionwhere they are or were employed.Individuals must furnish the followinginformation for their records to belocated 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’sPrivacy Act regulations on verificationof identity and amendment of records (5CFR part 297).

RECORDS SOURCE CATEGORIES:

Records in this system are obtainedfrom:

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 Gradeand Removal Actions, and Terminationof Probationers

SYSTEM LOCATION:

These records are located inpersonnel or designated offices inFederal agencies in which the actionswere processed.


Current or former Federal employees(including Senior Executive Service(SES) employees) against whom such anaction has been proposed or taken inaccordance with 5 CFR parts 315(subparts H and I), 432, 752, or 754 ofthe Office’s regulations.



CATEGORIES OF RECORDS IN THE SYSTEM:This system contains records and

documents on: (1) The processing ofadverse actions, performance basedreduction in grade and removal actions,and (2) the termination of employeesserving initial appointment probationand return to their former grade ofemployees serving supervisory ormanagerial probation. The recordsinclude, as appropriate, copies of thenotice of proposed action, materialsrelied on by the agency to support thereasons in the notice, replies by theemployee, statements of witness,hearing notices, reports, and agencydecisions.

Note: This system does not includerecords, including the action file itself,compiled when such actions are appealed tothe Merit Systems Protection Board (MSPB)or become part of a discrimination complaintrecord at the Equal Employment OpportunityCommission (EEOC). Such appeal anddiscrimination complaint file records arecovered by the appropriate MSPB or EEOCsystem of records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 3321, 4303, 7504, 7514, and

7543.

PURPOSE(S):These records result from the

proposal, processing, anddocumentation of these actions takeneither by the Office or by agenciesagainst employees in accordance with 5CFR parts 315 (subparts H and I), 432,752, or 754 of the Office’s regulations.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSES OF SUCH USES:

a. To provide information to officialsof labor organizations recognized under5 U.S.C. chapter 71 when relevant andnecessary to their duties of exclusiverepresentation concerning personnelpolicies, practices, and matters affectingwork conditions.

b. To disclose pertinent informationto the appropriate Federal, State, orlocal agency responsible forinvestigating, prosecuting, enforcing, orimplementing a statute, rule, regulation,or order, when the disclosing agencybecomes aware of an indication of aviolation or potential violation of civilor criminal law or regulation.

c. To disclose information to anysource from which additionalinformation is requested for processingany of the covered actions or in regardto any appeal or administrative reviewprocedure, to the extent necessary toidentify the individual, inform thesource of the purpose(s) of the request,and identify the type of informationrequested.

d. To disclose information to aFederal agency, in response to itsrequest, in connection with hiring orretaining an employee, issuing asecurity clearance, conducting asecurity or suitability investigation of anindividual, or classifying jobs, to theextent that the information is relevantand necessary to the requesting agency’sdecision on the matter.

e. To provide information to acongressional office from the record ofan individual in response to an inquiryfrom that congressional office made atthe request of that individual.

f. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to the judicialor administrative proceeding.

g. To disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the agency is authorized toappear, when:




4. The United States, when the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

h. By the National Archives andRecords Administration in recordsmanagement inspections and its role asArchivist.

i. By the agency maintaining therecords or the Office to locateindividuals for personnel research orsurvey response and in producingsummary descriptive statistics andanalytical studies in support of thefunction for which the records arecollected and maintained, or for relatedworkforce studies. While publishedstatistics and studies do not containindividual identifiers, in some instancesthe selection of elements of dataincluded in the study may be structuredin such a way as to make the dataindividually identifiable by inference.

j. To disclose, in response to a requestfor discovery or for appearance of awitness, information that is relevant tothe subject matter involved in a pendingjudicial or administrative proceeding.

k. To disclose information to theMerit Systems Protection Board or theOffice of the Special Counsel inconnection with appeals, special studiesof the civil service and other meritsystems, review of Office rules andregulations, investigations of alleged orpossible prohibited personnel practices,and such other functions, aspromulgated in 5 U.S.C. 1205 and 1206,and as specified in 5 U.S.C. 7503(c) and5 U.S.C. 7513(e), or as may beauthorized by law.

l. To disclose information to the EEOCwhen requested in connection withinvestigations into alleged or possiblediscrimination practices in the Federalsector, examination of Federalaffirmative employment programs,compliance by Federal agencies withthe Uniform Guidelines on EmployeeSelection Procedures, or other functionsvested in the Commission.

m. To disclose information to theFederal Labor Relations Authority or itsGeneral Counsel when requested inconnection with investigations ofallegations of unfair labor practices ormatters before the Federal ServiceImpasses Panel.

n. To provide an official of anotherFederal agency information he or sheneeds to know in the performance of hisor her official duties or reconciling orreconstructing data files, in support ofthe functions for which the records werecollected and maintained.

o. To disclose information to theDepartment of Labor, Department ofVeterans Administration, SocialSecurity Administration, Department ofDefense, or any other Federal agenciesthat have special civilian employeeretirement programs; or to a national,State, county, municipal, or otherpublicly recognized charitable orincome security, administration agency(e.g., State unemploymentcompensation agencies), whennecessary to adjudicate a claim underthe retirement, insurance,unemployment, or health benefitsprograms of the Office or an agency toconduct an analytical study or audit ofbenefits being paid under suchprograms.

p. To disclose to contractors, grantees,or volunteers performing or working ona contract, service, grant, cooperativeagreement, or job for the FederalGovernment.




STORAGE:These records are maintained in file

folders, in automated media, or onmicrofiche or microfilm.

RETRIEVABILITY:These records are retrieved by the

names and social security number of theindividuals on whom they aremaintained.

SAFEGUARDS:

These records are maintained inlocked metal filing cabinets or inautomated media to which onlyauthorized personnel have access.


Records documenting an adverseaction, performance-based removal ordemotion action, or covered actionsagainst probationers are disposed of notsooner than four years nor later thanseven years after the closing of the casein accordance with each agency’srecords disposition manual. Disposal isby shredding, or erasure of tapes (disks).

SYSTEM MANAGER AND ADDRESS:Chief, Office of Employee Relations

and Health Services, Office ofWorkforce Relations, Office of PersonnelManagement, 1900 E Street, NW.,Washington, DC 20415 for actions takenunder parts 432, 752 (subparts Athrough D only), and 754. AssistantDirector for Executive Policy andServices, Office of PersonnelManagement, 1900 E Street, NW.,Washington, DC 20415 for actions takenagainst SES appointees under subparts Eand F, of part 752. Associate Director forEmployment Service for actions takenunder part 315.

NOTIFICATION PROCEDURE′:Individuals receiving notice of a

proposed adverse, removal, or demotionaction must be provided access to alldocuments supporting the notice. Atany time thereafter, individuals subjectto the action will be provided access tothe complete record. Individuals shouldcontact the agency personnel ordesignated office where the action wasprocessed regarding the existence ofsuch records on them. They mustfurnish the following information fortheir records to be located andidentified:

a. Name.b. Date of birth.c. Approximate date of closing of the

case and kind of action taken.d. Organizational component

involved.


Individuals against whom suchactions are taken must be providedaccess to the record. However, after theaction has been closed, an individualmay request access to the official file bycontacting the agency personnel ordesignated office where the action wasprocessed. Individuals must furnish thefollowing information for their recordsto be located and identified:



involved.Individuals requesting access must

also follow the Office’s Privacy Actregulations on verification of identityand access to records (5 CFR part 297).


Review of requests from individualsseeking amendment of their records thathave or could have been the subject ofa judicial, quasi-judicial, oradministrative action will be limited inscope. Review of amendment requests ofthese records will be restricted todetermining if the record accuratelydocuments the action of the agencyruling on the case, and will not includea review of the merits of the action,determination, or finding.

Individuals wishing to requestamendment of their records to correctfactual errors should contact the agencypersonnel or designated office where theactions were processed. Individualsmust furnish the following informationfor their records to be located andidentified:



involved.Individuals requesting amendment

must also follow the Office’s PrivacyAct regulations on verification ofidentity and amendment of records (5CFR part 297).


Information in this system of recordsis provided:

a. By supervisors/managers.b. By the individual on whom the

record is maintained.c. By testimony of witnesses.d. By other agency officials.e. By other agency records.f. From related correspondence from

organizations or persons.

OPM/GOVT–4 [Reserved]OPM/GOVT–5

SYSTEM NAME:Recruiting, Examining, and Placement

Records.

SYSTEM LOCATION:Associate Director for Employment

Service, Office of PersonnelManagement, 1900 E Street, NW.,Washington, DC 20415, OPM regionaland area offices; and personnel or otherdesignated offices of Federal agenciesthat are authorized to makeappointments and to act for the Officeby delegated authority.


a. Persons who have applied to theOffice or agencies for Federalemployment and current and formerFederal employees submittingapplications for other positions in theFederal service.

b. Applicants for Federal employmentbelieved or found to be unsuitable foremployment on medical grounds.

CATEGORIES OF RECORDS IN THE SYSTEM:In general, all records in this system

contain identifying informationincluding name, date of birth, socialsecurity number, and home address.These records pertain to assembled andunassembled examining procedures andcontain information on both competitiveexaminations and on certainnoncompetitive actions, such asdeterminations of time-in-graderestriction waivers, waiver ofqualification requirementdeterminations, and variations inregulatory requirements in individualcases.

This system includes such records as:a. Applications for employment that

contain information on work andeducation, military service, convictionsfor offenses against the law, militaryservice, and indications of specializedtraining or receipt of awards or honors.These records may also include copiesof correspondence between theapplicant and the Office or agency.

b. Results of written exams andindications of how information in theapplication was rated. These recordsalso contain information on the rankingof an applicant, his or her placement ona list of eligibles, what certificatesapplicant’s names appeared on, anagency’s request for Office approval ofthe agency’s objection to an eligible’squalifications and the Office’s decisionin the matter, an agency’s request forOffice approval for the agency to passover an eligible and the Office’sdecision in the matter, and an agency’s



decision to object/pass over an eligiblewhen the agency has authority to makesuch decisions under agreement withthe Office.

c. Records regarding the Office’s finaldecision on an agency’s decision toobject/pass over an eligible forsuitability or medical reasons or whenthe objection/pass over decision appliesto a compensable preference eligiblewith 30 percent or more disability.(Does not include a rating of ineligibilityfor employment because of a confirmedpositive test result under ExecutiveOrder 12564.)

d. Responses to and results ofapproved personality or similar testsadministered by the Office or agency.

e. Records relating to rating appealsfiled with the Office or agency.

f. Registration sheets, control cards,and related documents regardingFederal employees requestingplacement assistance in view of pendingor realized displacement because ofreduction in force, transfer ordiscontinuance of function, orreorganization.

g. Records concerning non-competitive action cases referred to theOffice for decision. These files includesuch records as waiver of time-in-graderequirements, decisions on superiorqualification appointments, temporaryappointments outside a register, andemployee status determinations.Authority for making decisions on manyof these actions has also been delegatedto agencies. The records retained by theOffice on such actions and copies ofsuch files retained by the agencysubmitting the request to the Office,along with records that agenciesmaintain as a result of the Office’sdelegations of authorities, areconsidered part of this system ofrecords.

h. Records retained to supportSchedule A appointments of severelyphysically handicapped individuals,retained both by the Office and agenciesacting under the Office delegatedauthorities, are part of this system.

i. Agency applicant supply filesystems (when the agency retainsapplications, resumes, and other relatedrecords for hard-to-fill or uniquepositions, for future consideration),along with any pre-employmentvouchers obtained in connection withan agency’s processing of anapplication, are included in this system.

j. Records derived from the Office-developed or agency-developedassessment center exercises.

k. Case files related to medicalsuitability determinations and appeals.

l. Records related to an applicant’sexamination for use of illegal drugs

under provisions of Executive Order12564. Such records may be retained bythe agency (e.g., evidence of confirmedpositive test results) or by a contractorlaboratory (e.g., the record of the testingof an applicant, whether negative, orconfirmed or unconfirmed positive testresult).

Note 1 —Only Routine Use ‘‘p’’ identifiedfor this system of records is applicable torecords relating to drug testing underExecutive Order 12564. Further, such recordsshall be disclosed only to a very limitednumber of officials within the agency,generally only to the agency Medical ReviewOfficial (MRO), the administrator of theagency Employee Assistance Program, andany supervisory or management officialwithin the employee’s agency havingauthority to take the adverse personnel actionagainst the employee.

Note 2 —The Office does not intend thatrecords created by agencies in connectionwith the agency’s Merit Promotion Planprogram be included in the term ‘‘ApplicantSupply File’’ as used within this notice. It isthe Office’s position that Merit PromotionPlan records are not a system of recordswithin the meaning of the Privacy Act assuch records are usually filed by a vacancyannouncement number or some other keythat is not a unique personnel identifier.Agencies may choose to consider suchrecords as within the meaning of a system ofrecords as used in the Privacy Act, but if theydo so, they are solely responsible forimplementing Privacy Act requirements,including establishment and notice of asystem of records pertaining to such records.

Note 3 —To the extent that an agencyutilizes an automated medium in connectionwith maintenance of records in this system,the automated versions of these records areconsidered covered by this system of records.


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

PURPOSE(S):

The records are used in consideringindividuals who have applied forpositions in the Federal service bymaking determinations of qualificationsincluding medical qualifications, forpositions applied for, and to rate andrank applicants applying for the same orsimilar positions. They are also used torefer candidates to Federal agencies foremployment consideration, includingappointment, transfer, reinstatement,reassignment, or promotion. Recordsderived from the Office-developed oragency-developed assessment centerexercises may be used to determinetraining needs of participants. Theserecords may also be used to locateindividuals for personnel research.


Note 4 —With the exception of RoutineUse ‘‘p,’’ none of the Other Routine Usesidentified for this system of records areapplicable to records relating to drug testingunder Executive Order 12564. Further, suchrecords shall be disclosed only to a verylimited number of officials within thatagency, generally only to the agency MedicalReview Officer (MRO), the administrator ofthe agency’s Employee Assistance Program,and the management official empowered torecommend or take adverse action affectingthe individual.

a. To refer applicants, includingcurrent and former Federal employeesto Federal agencies for consideration foremployment, transfer, reassignment,reinstatement, or promotion.

b. With the permission of theapplicant, to refer applicants to Stateand local governments, congressionaloffices, international organizations, andother public offices for employmentconsideration.

c. To disclose pertinent information tothe appropriate Federal, State, or localagency responsible for investigating,prosecuting, enforcing, or implementinga statute, rule, regulation, or order,when the disclosing agency becomesaware of an indication of a violation orpotential violation of civil or criminallaw or regulation.

d. To disclose information to anysource from which additionalinformation is requested (to the extentnecessary to identify the individual,inform the source of the purposes of therequest, and to identify the type ofinformation requested), when necessaryto obtain information relevant to anagency decision concerning hiring orretaining an employee, issuing asecurity clearance, conducting asecurity or suitability investigation of anindividual, classifying positions, lettinga contract, or issuing a license, grant orother benefit.

e. To disclose information to a Federalagency, in response to its request, inconnection with hiring or retaining anemployee, issuing a security clearance,conducting a security or suitabilityinvestigation of an individual,classifying positions, letting a contract,or issuing a license, grant, or otherbenefit by the requesting agency, to theextent that the information is relevantand necessary to the requesting agency’sdecision in the matter.

f. To disclose information to theOffice of Management and Budget at anystage in the legislative coordination andclearance process in connection withprivate relief legislation as set forth inOMB Circular No. A–19.



g. To provide information to acongressional office from the record ofan individual in response to an inquiryfrom that congressional office made atthe request of that individual.

h. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to a judicialor administrative proceeding.

i. To disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the agency is authorized toappear, when:




4. The United States, when the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

j. By the National Archives andRecords Administration in recordsmanagement inspections and its role asArchivist.

k. By the agency maintaining therecords or by the Office to locateindividuals for personnel research orsurvey response or in producingsummary descriptive statistics andanalytical studies in support of thefunction for which the records arecollected and maintained, or for relatedworkforce studies. While publishedstatistics and studies do not containindividual identifiers, in some instancesthe selection of elements of dataincluded in the study may be structuredin such a way as to make the dataindividually identifiable by inference.

l. To disclose information to the MeritSystems Protection Board or the Officeof the Special Counsel in connectionwith appeals, special studies of the civilservice and other merit systems, reviewof Office rules and rules andregulations, investigations of alleged orpossible prohibited personnel practices,and such other functions; e.g., as

prescribed in 5 U.S.C. chapter 12, or asmay be authorized by law.

m. To disclose information to theEqual Employment OpportunityCommission when requested inconnection with investigations intoalleged or possible discriminationpractices in the Federal sector,examination of Federal affirmativeemployment programs, compliance byFederal agencies with the UniformGuidelines or Employee SelectionProcedures, or other functions vested inthe Commission.

n. To disclose information to theFederal Labor Relations Authority or itsGeneral Counsel when requested inconnection with investigations ofallegations of unfair labor practices ormatters before the Federal ServiceImpasses Panel.

o. To disclose, in response to arequest for discovery or for anappearance of a witness, informationthat is relevant to the subject matterinvolved in a pending judicial oradministrative proceeding.

p. To disclose the results of a drug testof a Federal employee pursuant to anorder of a court of competentjurisdiction where required by theUnited States Government to defendagainst any challenge against anyadverse personnel action.

q. To disclose information to Federal,State, local, and professional licensingboards, Boards of Medical Examiners, orto the Federation of State MedicalBoards or a similar non-governmententity which maintains recordsconcerning the issuance, retention, orrevocation of licenses, certifications, orregistration necessary to practice anoccupation, profession, or specialty, inorder to obtain information relevant toan agency decision concerning thehiring, retention, or termination of anemployee or to inform a Federal agencyor licensing board or the appropriatenon-government entity about the healthcare practice of a terminated, resigned,or retired health care employee whoseprofessional health care activity sosignificantly failed to conform togenerally accepted standards ofprofessional medical practice as to raisereasonable concern for the health andsafety of patients in the private sector orfrom another Federal agency.

r. To disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant, cooperative agreement, orjob for the Federal Government.


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 assignedto the individual on whom they aremaintained.

SAFEGUARDS:Records are maintained in a secured

area or automated media with accesslimited to authorized personnel whoseduties require access.

RETENTION AND DISPOSAL:Records in this system are retained for

varying lengths of time, ranging from afew months to 5 years, e.g., applicantrecords that are part of medicaldetermination case files or medicalsuitability appeal files are retained for 3years from completion of action on thecase. Most records are retained for aperiod of 1 to 2 years. Some records,such as individual applications, becomepart of the person’s permanent officialrecords when hired, while some records(e.g., non-competitive action case files),are retained for 5 years. Some recordsare destroyed by shredding or burningwhile magnetic tapes or disks areerased.

SYSTEM MANAGER(S) AND ADDRESS:Associate Director for Employment

Service, Office of PersonnelManagement, 1900 E Street, NW.,Washington, DC 20415.


whether this system of records containsinformation about them should contactthe agency or the Office whereapplication was made or examinationwas taken. Individuals must provide thefollowing information for their recordsto be located and identified:

a. Name.b. Date of birth.c. Social security number.d. Identification number (if known).e. Approximate date of record.f. Title of examination or

announcement with which concerned.g. Geographic area in which

consideration was requested.

RECORD ACCESS PROCEDURE:Specific materials in this system have

been exempted from Privacy Actprovisions at 5 U.S.C. (c)(3) and (d),regarding access to records.



The section of this notice titled‘‘Systems Exempted from CertainProvisions of the Act’’ indicates thekind of material exempted and thereasons for exempting them from access.Individuals wishing to request access totheir non-exempt records should contactthe agency or the Office whereapplication was made or examinationwas taken. Individuals must provide thefollowing information for their recordsto be located and identified:



consideration was requested.Individuals requesting access must

also comply with the Office’s PrivacyAct regulations on verification ofidentity and access to records (5 CFRpart 297).

CONTESTING RECORD PROCEDURE:Specific materials in this system have

been exempted from Privacy Actprovisions at 5 U.S.C. 552a(d), regardingamendment of records. The section ofthis notice titled ‘‘Systems Exemptedfrom Certain Provisions of the Act’’indicates the kinds of materialexempted and the reasons for exemptingthem from amendment. An individualmay contact the agency or the Officewhere the application is filed at anytime to update qualifications, education,experience, or other data maintained inthe system.

Such regular administrative updatingof records should not be requestedunder the provisions of the Privacy Act.However, individuals wishing to requestamendment of other records under theprovisions of the Privacy Act shouldcontact the agency or the Office wherethe application was made or theexamination was taken. Individualsmust provide the following informationfor their records to be located andidentified:



consideration was requested.Individuals requesting amendment


Note 5 —In responding to an inquiry or arequest for access or amendment, resource

specialists may contact the Office’s areaoffice that provides examining and ratingassistance for help in processing the request.

RECORD SOURCE CATEGORIES:Information in this system of records

comes from the individual to whom itapplies or is derived from informationthe individual supplied, reports frommedical personnel on physicalqualifications, results of examinationsthat are made known to applicants,agencies, and Office records, andvouchers supplied by references orother sources that the applicant lists orthat are developed.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONSOF THE ACT:

This system contains investigativematerials that are used solely todetermine the appropriateness of arequest for approval of an objection toan eligible’s qualifications for Federalcivilian employment or vouchersreceived during the processing of anapplication. The Privacy Act, at 5 U.S.C.552a(k)(5), permits an agency to exemptsuch investigative material from certainprovisions of the Act, to the extent thatrelease of the material to the individualwhom the information is about would—

a. Reveal the identity of a source whofurnished information to theGovernment under an express promise(granted on or after September 27, 1975)that the identity of the source would beheld in confidence; or

b. Reveal the identity of a source who,prior to September 27, 1975, furnishedinformation to the Government under animplied promise that the identity of thesource would be held in confidence.

This system contains testing andexamination materials used solely todetermine individual qualifications forappointment or promotion in theFederal service. The Privacy Act, at 5U.S.C. 552a(k)(6), permits an agency toexempt all such testing or examinationmaterial and information from certainprovisions of the Act, when disclosureof the material would compromise theobjectivity or fairness of the testing orexamination process. The Office hasclaimed exemptions from therequirements of 5 U.S.C. 552a(d), whichrelate to access to and amendment ofrecords.

The specific material exemptedinclude, but are not limited to, thefollowing:

a. Answer keys.b. Assessment center exercises.c. Assessment center exercise reports.d. Assessor guidance material.e. Assessment center observation

reports.f. Assessment center summary

reports.

g. Other applicant appraisal methods,such as performance tests, work samplesand simulations, miniature training andevaluation exercises, structuredinterviews, and their associatedevaluation guides and reports.

h. Item analyses and similar data thatcontain test keys and item responsedata.

i. Ratings given for validatingexaminations.

j. Rating schedules, includingcrediting plans and scoring formulas forother selection procedures.

k. Rating sheets.l. Test booklets, including the written

instructions for their preparation andautomated versions of tests and relatedselection materials and their completedocumentation.

m. Test item files.n. Test answer sheets.

OPM/GOVT–6

SYSTEM NAME:

PERSONNEL RESEARCH AND TEST VALIDATIONRECORDS:

SYSTEM LOCATION:Director, Office of Personnel

Resources and Development,Employment Service, Room 6500, Officeof Personnel Management, 1900 EStreet, NW., Washington, DC 20415–9200; OPM’s Service Centers, andagency personnel offices (or otherdesignated offices) conductingpersonnel research.


Current and former Federalemployees, applicants for Federalemployment, current and former Stateand local government employees, andapplicants for State and localgovernment employment, selectedprivate sector employees, andapplicants for sample comparisongroups.

CATEGORIES OF RECORDS IN THE SYSTEM:

These records include information oneducation and employment history, testscores, responses to test items andquestionnaires, interview data, andratings of supervisors regarding theindividuals to whom the recordspertain. Additional information (race,national origin, disability status, andbackground) is collected fromapplicants for certain examinations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 1303, 3301, and 4702.

PURPOSE(S):These records are collected,

maintained, and used by the Office or



other Federal agencies for theconstruction, analysis, and validation ofwritten tests and other assessmentinstruments used in personnel selectionand appraisal, other assessmentinstruments used in personnel selectionand appraisal, and for research on andevaluation of personnel/organizationalmanagement and staffing methods,including workforce effectivenessstudies. Agencies and the Office mayprovide each other with data collectedin support of these functions. Suchresearch includes studies extendingover a period of time (longitudinalstudies). Private sector data are used inresearch only, to evaluate Federal studyresults against non-Federal comparisongroups. Race and national origin dataare used by the Office or other agenciesto evaluate the role and effects ofselection procedures in the totalemployee staffing process. Use of theserace and national origin data is limitedto such evaluation, oversight andresearch projects conducted by theemploying agencies or the Office. Therecords may also be used by the Officeor other Federal agencies to locateindividuals for personnel research. Dataare collected on a project-by-projectbasis under conditions assuring theconfidentiality of the information. Nopersonnel action or selection is madeusing these research records.


Under normal circumstances, noindividually identifiable records will beprovided. However, under thoseunusual circumstances when anindividually identifiable record isrequired, proper safeguards will bemaintained to protect the informationcollected from unwarranted invasion ofpersonal privacy. Such protection mustbe specified in writing by the requesterand, to the satisfaction of the agencyofficial responsible for maintaining thedata, indicate that the proposed use ofthe data is in compliance with the letterand spirit of the Privacy Act. Underthese circumstances, the routine usesare as follows:

a. By the OPM or employing agencymaintaining the records to locateindividuals for personnel research orsurvey responses and in the productionof summary descriptive statistics andanalytical studies in support of thefunction for which the records arecollected and maintained, or for relatedworkforce studies. While publishedstatistics and studies do not containindividual identifiers, in some instancesthe selection of elements of dataincluded in the study may be structured

in such a way as to make the dataindividually identifiable by inference.

b. To furnish personnel records andinformation to the Equal EmploymentOpportunity Commission for use indetermining the existence of adverseimpact in the total selection program,reviewing allegations of discrimination,or assessing the status of compliancewith Federal law.

c. To furnish information to the MeritSystems Protection Board or the Officeof the Special Counsel in connectionwith actions by offices relating toallegations of discriminatory practiceson the part of an agency or one of itsemployees.

d. To disclose, in response to arequest for discovery or for appearanceof a witness, information that is relevantto the subject matter involved in apending judicial or administrativeproceeding.

e. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to the judicialor administrative proceeding.

f. To disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the agency is authorized toappear, when:




4. The United States, where theagency determines that litigation islikely to affect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

g. To provide information to acongressional office from the record ofan individual in response to a requestfrom that congressional office made atthe request of that individual.

h. To provide aggregate data to non-Federal organizations participating inworkforce studies. These data will belimited to individuals associated withthe organization requesting the data orto data aggregated for all organizationsin a study.

i. To disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant, cooperative agreement, orjob for the Federal Government.

j. To disclose research records to acourt or other body in camera whentests and other assessment instrumentsare involved.

POLICIES AND PRACTICES FOR STORING,RETAINING, SAFEGUARDING, AND RETAINING ANDDISPOSING OF RECORDS IN THE SYSTEM:


folders, disks, magnetic tape, CD Rom,and optical disks.

RETRIEVABILITY:Records are generally maintained by

project. Personal information can beretrieved by name or personal identifieronly for certain research projects suchas those involving longitudinal studies.

SAFEGUARDS:Records are kept in locked files in a

locked room with access limited toauthorized staff. Access to tape, disk,and other files used in data processingwill be only by authorized staff.

RETENTION AND DISPOSAL:Records are retained for 2 years after

completion of the project unless neededin the course of litigation or otheradministrative actions involving aresearch or test validation survey.Records collected for longitudinalstudies will be maintained indefinitely.Manual records are destroyed byshredding or burning and magnetictapes and disks are erased.

SYSTEM MANAGER(S) AND ADDRESS:Director, Office of Personnel

Resources and Development,Employment Service, Room 6500, Officeof Personnel Management, 1900 EStreet, NW., Washington, DC. 20415–9200.


whether this system of records containsinformation about them should contactthe system manager, the OPM regionaloffice servicing the State where they areemployed, or their employing agency’spersonnel office. Individuals mustfurnish the following information fortheir records to be located andidentified:

a. Full name.b. Date of birth.c. If known, the title, time, and/or

place of the research study in which theindividual participated.

d. Social security number.e. Signature.




Specific materials in this system havebeen exempted from Privacy Actprovisions at 5 U.S.C. 552a(d), regardingaccess to records. The section of thisnotice titled ‘‘Systems Exempted fromCertain Provisions of the Act’’ indicatesthe kinds of material exempted and thereasons for exempting them from access.Individuals wishing to request access tonon-exempt records should contact theappropriate office listed in theNotification Procedure section.Individuals must furnish the followinginformation for their records to belocated and identified:



d. Social security number.e. Signature.Individuals requesting access must



Specific materials in this system havebeen exempted from Privacy Actprovisions at 5 U.S.C. 552a(d) regardingamendment of records. The section ofthis notice titled ‘‘Systems Exemptedfrom Certain Provisions of the Act’’indicates the kinds of materialsexempted and the reasons for exemptingthem from amendment. Individualswishing to request amendment of anynon-exempt records should contact theappropriate office listed in theNotification Procedure section.Individuals must furnish the followinginformation for their records to belocated and identified:



d. Social security number.e. Signature.Individuals requesting amendment



Individual applicants and employees;supervisors; assessment centerassessors; and agency or Officepersonnel files and records (e.g., race,sex, national origin, and disability statusdata from OPM/GOVT–1 and OPM/GOVT–7 systems of records).

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONSOF THE ACT:

This system contains testing andexamination materials that are usedsolely to determine individualqualifications for appointment, careerdevelopment, or promotion in theFederal service. The Privacy Act, at 5U.S.C. 552a(k)(6), permits an agency toexempt all such testing and examinationmaterial and information from certainprovisions of the Act, when thedisclosure of the material wouldcompromise the objectivity or fairnessof the testing or examination process.The Office has claimed exemptions fromthe requirements of 5 U.S.C. 552a(d),which relates to access to andamendment of records.

This system contains records requiredto be maintained and used solely forstatistical purposes. The Privacy Act, at5 U.S.C. 552a(k)(4), permits an agency toexempt all such statistical records fromcertain provisions of the Act, when thedisclosure of the material wouldcompromise the objectivity and fairnessof these records. The Office has claimedexemptions from the requirements of 5U.S.C. 552a(d), which relates to accessto and amendment of records.

The specific materials exemptedinclude, but are not limited to, thefollowing:

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 samplesand simulations, miniature training andevaluation exercises, interviews, andreports.

h. Item analyses and similar data thatcontain test keys and item responsedata.

i. Ratings given for validatingexaminations.

j. Rating schedules, includingcrediting plans and scoring formulas forother selection procedures.

k. Ratings sheets.l. Test booklets, including the written

instructions for their preparation andautomated versions of tests and relatedselection materials and their completedocumentation.

m. Test item files.n. Test answer sheets.o. Those portions of research and

development files that could

specifically reveal the contents of theabove exempt documents.

p. Performance appraisals for researchpurposes.

OPM/GOVT–7

SYSTEM NAME:

APPLICANT RACE, SEX, NATIONAL ORIGIN, ANDDISABILITY STATUS RECORDS:

SYSTEM LOCATION:

Records in this system may be locatedin the following offices:

a. Director Office of PersonnelResources and Development,Employment Service, Office ofPersonnel Management, 1900 E Street,NW., Washington, DC 20415.

b. Office of Diversity, EmploymentService, Office of PersonnelManagement, 1900 E Street, NW.,Washington, DC 20415.

c. OPM’s Service Centers, and anyregister-holding offices under thejurisdiction of the Service Center.


Current and former Federalemployees and individuals who haveapplied for Federal employment,including:

a. Applicants for examinationsadministered either by the Office or byemploying agencies.

b. Applicants on registers or ininventories by the Office and subject toits regulations.

c. Applicants for positions in agencieshaving direct hiring authority and usingtheir own examining procedures incompliance with the Office regulations.

d. Applicants whose records areretained in an agency’s EqualOpportunity Recruitment file (includingany file an agency maintains on currentemployees from under-representedgroups).

e. Applicants (including current andformer Federal employees) who applyfor vacancies announced under anagency’s merit promotion plan.

CATEGORIES OF RECORDS IN THE SYSTEM:

The records include the individual’sname; social security number; date ofbirth; statement of major field of study;type of current or former Federalemployment status (e.g., career ortemporary); applications showing workand education experience; and race, sex,national origin, and disability statusdata.

Note —The race and national origininformation in this system is obtained bythree alternative methods: (1) Use of anagency’s OMB approved form on whichindividuals identify themselves as to raceand national origin; (2) by visual observation



(race) or knowledge of an individual’sbackground (national origin); or (3) at theagency’s option, from the OPM/GOVT–1system in the case of applicants who arecurrent Federal employees. Disability statusis obtained by use of Standard Form 256,‘‘Self Identification of Medical Disability,’’which allows for a description by self-identification of the handicap.


5 U.S.C. 7201, sections 4A, 4B, 15A(1)and (2), 15B(11), and 15D(11); UniformGuidelines on Employee SelectionProcedures (1978); 43 FR 38297 et seq.(August 25, 1978); 29 CFR 720.301; and29 CFR 1613.301.

PURPOSE(S):

These records are used by OPM andagencies to:

a. Evaluate personnel/organizationalmeasurement and selection methods.

b. Implement and evaluate agencyaffirmative employment programs.

c. Implement and evaluate agencyFederal Equal Opportunity RecruitmentPrograms (including establishment ofminority recruitment files).

d. Enable the Office to meet itsresponsibility to assess an agency’simplementation of the Federal EqualOpportunity Recruitment Program.

e. Determine adverse impact in theselection process as required by theUniform Guidelines cited in theAuthority section above. (See also‘‘Questions and Answers,’’ on thoseGuidelines published at 44 FR 11996,March 2, 1979.)

f. Enable reports to be preparedregarding breakdowns by race, sex, andnational origin of applicants (by examstaken, and on the selection of suchapplicants for employment).

g. To locate individuals for personnelresearch.

Note 1 —These data are maintained underconditions that ensure that the individual’sidentification as to race, sex, national origin,or disability status does not accompany thatindividual’s application nor is otherwisemade known when the individual is underconsideration by a selecting official.


a. To disclose information to theEqual Employment OpportunityCommission (EEOC), in response to itsrequest for use in the conduct of anexamination of an agency’s compliancewith affirmative action plan instructionsand the Uniform Guidelines onEmployee Selection Procedures (1978),or other requirements imposed onagencies under EEOC authorities inconnection with agency EqualEmployment Opportunity programs.

b. To disclose information to theMerit Systems Protection Board or theOffice of the Special Counsel inconnection with the processing ofappeals, special studies relating to thecivil service and other merit systems inthe executive branch, investigations intoallegations of prohibited personnelpractices, and such other functions; e.g.,as prescribed in 5 U.S.C. chapter 12, oras may be authorized by law.

c. By the Office or employing agencymaintaining the records to locateindividuals for personnel research orsurvey response and in the productionof summary descriptive statistics andanalytical studies in support of thefunction for which the records arecollected and maintained, or for relatedworkforce studies. While publishedstatistics and studies do not containindividual identifiers, in some instancesthe selection of elements of dataincluded in the study may be structuredin such a way as to make the dataindividually identifiable by inference.

d. To disclose information to aFederal agency in response to its requestfor use in its Federal Equal OpportunityRecruitment Program to the extent thatthe information is relevant andnecessary to the agency’s efforts inidentifying possible sources for minorityrecruitment.

e. To provide information to acongressional office from the record ofan individual in response to an inquiryfrom the congressional office made atthe request of that individual.

f. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is party to a judicial oradministrative proceeding.





4. The United States, where theagency determines that litigation islikely to affect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,

however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

h. To disclose, in response to arequest for discovery or for appearanceof a witness, information that is relevantto the subject matter involved in apending judicial or administrativeproceeding.

i. To disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant cooperative agreement, orjob for the Federal Government.



folders and on magnetic tape and disks.

RETRIEVABILITY:Records are retrieved by the name and

social security number of theindividuals on whom they aremaintained.

SAFEGUARDS:Records are retained in locked metal

filing cabinets in a secured room or ina computerized system accessible byconfidential passwords issued only tospecific personnel.

RETENTION AND DISPOSAL:Records are generally retained for 2

years, except when needed to processapplications or to prepare adverseimpact and related reports, or for as longas an application is still underconsideration for selection purposes.When records are needed in the courseof an administrative procedure orlitigation, they may be maintained untilthe administrative procedure orlitigation is completed. Manual recordsare shredded or burned and magnetictapes and disks are erased.

Note 2 —When an agency retains anautomated version of any of the records inthis system, maintenance of that recordbeyond the above retention schedules ispermitted for historical or statistical analysis,but only so long as the record is not used ina determination directly affecting theindividual about whom the record pertainsafter the prescribed destruction date.

SYSTEM MANAGER(S) AND ADDRESS:Director, Office of Personnel

Resources and Development,Employment Service, Office ofPersonnel Management, 1900 E Street,NW., Washington, D.C. 20415.

NOTIFICATION PROCEDURE:Those individuals wishing to inquire

if this system contains information



about them should contact the systemmanager; OPM’s Service Centerscovering the locations where theapplication for Federal employment wasfiled; or the personnel, EqualEmployment Opportunity, or EqualEmployment Opportunity Recruitmentoffice or other designated office wherethey took an exam, filed an application,or where they are employed. Individualsmust furnish the following informationfor their records to be located andidentified:

a. Name.b. Social security number.c. Title of examination, position, or

vacancy announcement for which theyfiled.

d. The OPM or employing agencyoffice where they are employed orsubmitted the information.

e. Signature.

RECORD ACCESS PROCEDURE:Individuals wishing to request access

to records about themselves shouldcontact the appropriate office shown inthe Notification Procedure section.Individuals must furnish the followinginformation for their records to belocated and identified:




e. Signature.An individual requesting access must

also follow OPM’s Privacy Actregulations on verification of identityand access to records (5 CFR part 297).

CONTESTING RECORD PROCEDURE:Individuals wishing to request

amendment of their records shouldcontact the appropriate office shown inthe Notification Procedure section.Individuals must furnish the followinginformation for their records to belocated and identified.




e. Signature.An individual requesting amendment

must also follow OPM’s Privacy Actregulations on verification of identityand amendment of records (5 CFR part297).

RECORD SOURCE CATEGORIES:Information is provided by the

individual to whom the record pertains,

on forms approved by the Office ofManagement and Budget or is obtaineddirectly from other agency or OPMrecords (e.g., race, sex, national origin,and disability status data may beobtained 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, RetainedGrade or Pay Appeals, and Fair LaborStandard Act (FLSA) Claims andComplaints.

SYSTEM LOCATION:These records are located at the Office

of Personnel Management, 1900 E StreetNW., Washington, DC 20415, OPMOversight Division Offices, agencypersonnel offices (or other designatedoffices), and Federal records centers.


a. Current and former Federalemployees who have filed a positionclassification appeal or a job gradingappeal with a U.S. Office of PersonnelManagement Oversight Division Office,or with their agency.

b. Current and former Federalemployees who have filed a retainedgrade or pay appeal with a U.S. Officeof Personnel Management OversightDivision Office.

c. Current and former Federalemployees who have filed a claim orcomplaints under the Fair LaborStandards Act (FLSA) with a U.S. Officeof Personnel Management Oversightoffice or with their agency.

CATEGORIES OF RECORDS IN THE SYSTEM:This system of records contains

information or documents relating to theprocessing and adjudication of aposition classification appeal, jobgrading appeal, retained grade or payappeal, or FLSA claim or complaint.The records may include informationand documents regarding a personnelaction of the agency involved and thedecision or determination rendered byan agency regarding the classifying orgrading of a position, whether anemployee is to remain in a retainedgrade or pay category, the FLSAexemption status of an employee, orother FLSA claims or complaints. Thissystem may also include transcripts ofagency hearings and statements fromagency employees.

Note 1 —This system notice also coversagency files created when: (a) An employeeappeals a position classification or jobgrading decision to OPM or within the

agency regardless of whether that agencyappeal decision is further appealed to OPM;and (b) an employee files a retained grade orpay appeal with OPM, and (c) FLSA claimsor complaints submitted to OPM or to theagency regardless of whether the agencydecision is the subject of an FLSA claim orcomplaints submitted to OPM.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 5112, 5115, 5346, and 5366,

for position classification appeals, jobgrading appeals, and retained grade orpay appeals. 29 U.S.C. 204(f) for FLSAclaims and complaints.

PURPOSE:These records are primarily used to

document the processing andadjudication of a position classificationappeal, job grading appeal, retainedgrade or pay appeal, or FLSA claim orcomplaint. Internally, OPM may usethese records to locate individuals forpersonnel research.



a. To disclose pertinent information tothe appropriate Federal, State, or localgovernment agency responsible forinvestigating, prosecuting, enforcing, orimplementing a statute, rule, regulation,or order, when the disclosing agencybecomes aware of an indication of aviolation or potential violation of civilor criminal law or regulation.

b. To disclose information to theOffice of Management and Budget at anystage in the legislative coordination andclearance process in connection withprivate relief legislation as set forth inOMB Circular No. A–19.

c. To provide information to acongressional office from the record ofan individual in response to an inquiryfrom that congressional office made atthe request of that individual.

d. To disclose information to anysource from which additionalinformation is requested in the course ofadjudicating a position classificationappeal, job grading appeal, retainedgrade or pay appeal, or FLSA claim orcomplaint to the extent necessary toidentify the individual, inform thesource of the purpose(s) of the request,and identify the type of informationrequested.

e. To disclose information to a Federalagency, in response to its request, inconnection with the hiring, retaining orassigning of an employee, issuing asecurity clearance, conducting asecurity or suitability investigation of anindividual, classifying positions, andmaking FLSA exemption status



determinations, or adjudicating FLSAclaims and complaints to the extent thatthe information is relevant andnecessary to the requesting agency’sdecision on the matter.

f. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to the judicialor administrative proceeding.





4. The United States, where theagency determines that litigation islikely to affect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected.

h. By the Office or an agency in theproduction of summary descriptivestatistics and analytical studies insupport of the function for which therecords are collected and maintained, orfor related workforce studies. Whilepublished statistics and studies do notcontain individual identifiers, in someinstances the selection of elements ofdata included in the study may bestructured in such a way as to make thedata individually identifiable byinference.

i. By the National Archives andRecords Administration in recordsmanagement inspections and its role asArchivist.

j. To disclose, in response to a requestfor discovery or for appearance of awitness, information that is relevant tothe subject matter involved in a pendingjudicial or administrative proceeding.

k. To disclose information to theMerit Systems Protection Board or theOffice of the Special Counsel inconnection with appeals, special studiesof the civil service and other meritsystems, review of Office rules andregulations, investigations of alleged orpossible prohibited personnel practices,

and such other functions; e.g., aspromulgated in 5 U.S.C. 1205 and 1206,or as may be authorized by law.

l. To disclose information to the EqualEmployment Opportunity Commissionwhen requested in connection withinvestigations into alleged or possiblediscrimination practices in the Federalsector, examination of Federalaffirmative employment programs,compliance by Federal agencies withthe Uniform Guidelines on EmployeeSelection Procedures, or other functionsvested in the Commission, and tootherwise ensure compliance with theprovisions of 5 U.S.C. 7201.

m. To disclose information to theFederal Labor Relations Authority or itsGeneral Counsel when requested inconnection with investigations ofallegations of unfair labor practices ormatters before the Federal ServiceImpasses Panel.

n. To disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant, cooperative agreement, orjob for the Federal Government.

POLICIES AND PRACTICES FOR STORAGE,RETRIEVAL, SAFEGUARDS, RETINING ANDDISPOSAL OF RECORDS IN THE SYSTEM:


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 theemploying agency of the individual onwhom the record is maintained.

SAFEGUARDS:These records are located in lockable

metal filing cabinets or automatedmedia in a secured room, with accesslimited to those persons whose officialduties require and such access.

RETENTION AND DISPOSAL:Records related to position

classification appeal, job grading appeal,retained grade or pay appeal files, andFLSA claims or complaints aremaintained for 7 years after closingaction on the case. Records aredestroyed by shredding, burning, orerasing as appropriate.

SYSTEM MANAGER(S) AND ADDRESS:Assistant Director for Merit Systems

Oversight, U. S. Office of PersonnelManagement, 1900 E Street NW.,Washington, DC 20415.


whether this system of records containsinformation about them should:

a. For records pertaining to retainedgrade or pay appeals, contact the systemmanager or the appropriate OPMOversight Division Office.

b. For records pertaining to a positionclassification appeal, job grading appeal,or FLSA claim or complaint where theappeal was made only to OPM, contactthe system manager or the OPMOversight Division Office, asappropriate.

c. For records pertaining to a positionclassification appeal, a job gradingappeal, or FLSA claim or complaintfiled with both the agency and OPM,contact the agency personnel officer,other designated officer, or the systemmanager, or the OPM Oversight DivisionOffice, as appropriate.

Individuals must furnish thefollowing information for their recordsto be located and identified:

a. Full name.b. Date of birth.c. Agency in which employed when

the appeal, or FLSA claim or complaintwas filed and the approximate date ofthe closing of the case.

d. Kind of action (e.g., positionclassification appeal, job grading appeal,retained grade or pay appeal, or FLSAclaim or complaint).


Individuals who have filed a positionclassification appeal, job grading appeal,a retained grade or pay appeal, or FLSAclaim or complaint, must be providedaccess to the record. However, after theappeal or FLSA claim or complaint hasbeen closed, an individual may requestaccess to the official copy of the recordsby writing the official indicated in theNotification Procedure section.Individuals must furnish the followinginformation for their records to belocated and identified:


appeal or FLSA claim or complaint wasfiled and the approximate date of theclosing of the case.


Individuals requesting access mustalso follow OPM’s Privacy Actregulations on verification of identityand access to records (5 CFR part 297).


Review of requests from individualsseeking amendment of their records thathave previously been or could havebeen the subject of a judicial or quasi-



judicial action will be limited in scope.Review of amendment requests of theserecords will be restricted to determiningif the record accurately documents theaction of the agency or administrativebody ruling on the case, and will notinclude a review of the merits of theaction, determination, or finding.Individuals wishing to request anamendment to their records to correctfactual errors should contact theappropriate official indicated in theNotification Procedure section.Individuals must furnish the followinginformation for their records to belocated and identified:


the appeal or FLSA claim or complaintwas filed and the approximate date ofthe closing of the case.


Individuals requesting amendment oftheir records must also follow OPM’sPrivacy Act regulations on verificationof identity and amendment of records (5CFR 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 otherdesignated offices within the agency, orcontractors performing a medicalfunction for the agency.

b. For former employees, most recordswill be located in an Employee MedicalFolder (EMF) stored at the NationalPersonnel Records Center operated bythe National Archives and RecordsAdministration (NARA). In some cases,agencies may retain for a limited time(e.g., up to 3 years) some records onformer employees.

Note 1 —The records in this system ofrecords are ‘‘owned’’ by the Office ofPersonnel Management (Office) and shouldbe provided to those Office employees whohave an official need or use for those records.Therefore, if an employing agency is asked byan Office employee to access the recordswithin this system, such a request should behonored.


Current and former Federal civilianemployees 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 anindividual applies for a Federal job andis subsequently employed;

b. Medical records, forms, and reportscompleted during employment as acondition of employment, either by theemploying agency or by another agency,State or local government entity, or aprivate sector entity under contract tothe employing agency;

c. Records and pertaining andresulting from the testing of theemployee for use of illegal drugs underExecutive Order 12564. Such recordsmay be retained by the agency (e.g., bythe agency Medical Review Official) orby a contractor laboratory. This includesrecords of negative results, confirmed orunconfirmed positive test results, anddocuments related to the reasons fortesting or other aspects of test results.

d. Reports of on-the-job injuries andmedical records, forms, and reportsgenerated as a result of the filing of aclaim for Workers’ Compensation,whether the claim is accepted or not.(The official compensation claim file isnot covered by this system; rather, it ispart of the Department of Labor’s Officeof Workers’ Compensation Program(OWCP) system of records.)

e. All other medical records, forms,and reports created on an employeeduring his/her period of employment,including any retained on a temporarybasis (e.g., those designated to beretained only during the period ofservice with a given agency) and thosedesignated for long-term retention (i.e.,those retained for the entire duration ofFederal service and for some period oftime after).

Note 2 —Records maintained by an agencydispensary are included in this system onlywhen they are the result of a condition ofemployment or related to an on-the-joboccurrence.

Note 3 —Records pertaining to employeedrug or alcohol abuse counseling ortreatment, and those pertaining to otheremployee counseling programs conductedunder Health Service Program establishedpursuant to 5 U.S.C. chapter 79, are not partof this system of records.

Note 4 —Only Routine Use ‘‘u’’ identifiedfor this system of records is applicable torecords relating to drug testing underExecutive Order 12564. Further, such recordsshall be disclosed only to a very limitednumber of officials within the agency,generally only to the agency Medical Review

Official (MRO), the administrator of theagency Employee Assistance Program, andany supervisory or management officialwithin the employee’s agency havingauthority to take the adverse personnel actionagainst the employee.


Executive Orders 12107, 12196, and12564 and 5 U.S.C. chapters 11, 31, 33,43, 61, 63, and 83.

PURPOSE(S):

Records in this system of records aremaintained for a variety of purposes,which include the following:

a. To ensure that records required tobe retained on a long-term basis to meetthe mandates of law, Executive order, orregulations (e.g., the Department ofLabor’s Occupational Safety and HealthAdministration (OSHA) and OWCPregulations), are so maintained.

b. To provide data necessary forproper medical evaluations anddiagnoses, to ensure that propertreatment is administered, and tomaintain continuity of medical care.

c. To provide an accurate medicalhistory of the total health care andmedical treatment received by theindividual as well as job and/or hazardexposure documentation and healthmonitoring in relation to health statusand claims of the individual.

d. To enable the planning for furthercare of the patient.

e. To provide a record ofcommunications among members of thehealth care team who contribute to thepatient’s care.

f. To provide a legal documentdescribing the health care administeredand any exposure incident.

g. To provide a method for evaluatingquality of health care rendered and job-health-protection including engineeringprotection provided, protectiveequipment worn, workplace monitoring,and medical exam monitoring requiredby OSHA or by good practice.

h. To ensure that all relevant,necessary, accurate, and timely data areavailable to support any medically-related employment decisions affectingthe subject of the records (e.g., inconnection with fitness-for-duty anddisability retirement decisions).

i. To document claims filed with andthe decisions reached by the OWCP andthe individual’s possible reemploymentrights under statutes governing thatprogram.

j. To document employee’s reportingof on-the-job injuries or unhealthy orunsafe working conditions, includingthe reporting of such conditions to theOSHA and actions taken by that agencyor by the employing agency.



k. To ensure proper and accurateoperation of the agency’s employee drugtesting program under Executive Order12564.


Note 5 —With the exception of RoutineUse ‘‘u,’’ none of the other Routine Usesidentified for this system of records areapplicable to records relating to drug testingunder Executive Order 12564. Further, suchrecords shall be disclosed only to a verylimited number of officials within theagency, generally only to the agency MedicalReview Official (MRO), the administrator ofthe agency Employee Assistance Program,and the management official empowered torecommend or take adverse action affectingthe individual.


a. To disclose information to theDepartment of Labor, Department ofVeterans Affairs, Social SecurityAdministration, Federal RetirementThrift Investment Board, or a national,State, or local social security typeagency, when necessary to adjudicate aclaim (filed by or on behalf of theindividual) under a retirement,insurance, or health benefit program.

b. To disclose information to aFederal, State, or local agency to theextent necessary to comply with lawsgoverning reporting of communicabledisease.

c. To disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency whenthe Government is a party to the judicialor administrative proceeding.

d. To disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicativebody, other administrative body beforewhich the agency is authorized toappear, when:




4. The United States, where theagency determines that litigation islikely to affect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice or the agency isdeemed by the agency to be relevant andnecessary to the litigation, provided,however, that in each case it has beendetermined that the disclosure is

compatible with the purpose for whichthe records were collected.

e. To disclose in response to a requestfor discovery or for appearance of awitness, information that is relevant tothe subject matter involved in a pendingjudicial or administrative proceeding.

f. To disclose pertinent information tothe appropriate Federal, State, or localagency responsible for investigating,prosecuting, enforcing, or implementinga statute, rule, regulation, or order whenthe disclosing agency becomes aware ofan indication of a violation or potentialviolation of civil or criminal law orregulation.

g. To disclose information to theOffice of Management and Budget at anystage in the legislative coordination andclearance process in connection withprivate relief legislation as set forth inOMB Circular No. A–19.

h. To disclose information to acongressional office from the record ofan individual in response to an inquiryfrom the congressional office made atthe request of that individual.

i. To disclose information to the MeritSystem Protection Board or the Office ofthe Special Counsel, the Federal LaborRelations Authority and its GeneralCounsel, the Equal EmploymentOpportunity Commission, arbitrators,and hearing examiners to the extentnecessary to carry out their authorizedduties.

j. To disclose information to surveyteam members from the JointCommission on Accreditation ofHospitals (JCAH) when requested inconnection with an accreditationreview, but only to the extent that theinformation is relevant and necessary tomeet the JCAH standards.

k. To disclose information to theNational Archives and RecordsAdministration in records managementinspections and its role as Archivist.

l. To disclose information to healthinsurance carriers contracting with theOffice to provide a health benefits planunder the Federal Employees HealthBenefits Program information necessaryto verify eligibility for payment of aclaim for health benefits.

m. By the agency maintaining orresponsible for generating the records tolocate individuals for health research orsurvey response and in the productionof summary descriptive statistics andanalytical studies (e.g., epidemiologicalstudies) in support of the function forwhich the records are collected andmaintained. While published statisticsand studies do not contain individualidentifiers, in some instances theselection of elements of data included inthe study might be structured in such a

way as to make the data individuallyidentifiable by inference.

n. To disclose information to theOffice of Federal Employees Group LifeInsurance or Federal Retirement ThriftInvestment Board that is relevant andnecessary to adjudicate claims.

o. To disclose information, when anindividual to whom a record pertains ismentally incompetent or under otherlegal disability, to any person who isresponsible for the care of theindividual, to the extent necessary.

p. To disclose to the agency-appointed representative of anemployee, all notices, determinations,decisions, or other writtencommunications issued to theemployee, in connection with anexamination ordered by the agencyunder medical evaluation (formerlyFitness for Duty) examinationsprocedures.

q. To disclose to a requesting agency,organization, or individual the homeaddress and other informationconcerning those individuals who it isreasonably believed might havecontracted an illness or been exposed toor suffered from a health hazard whileemployed in the Federal workforce.

r. To disclose information to a Federalagency, in response to its request or atthe initiation of the agency maintainingthe records, in connection with theretention of an employee, the issuanceof a security clearance, the conductingof a suitability or security investigationof an individual, the classifying of jobs,the letting of a contract, or the issuanceof a license, grant, or other benefit bythe requesting agency, or the lawful,statutory, administrative, orinvestigative purpose of the agency, tothe extent that the information isrelevant and necessary to the requestingagency’s decision on the matter.

s. To disclose to any Federal, State, orlocal government agency, in response toits request or at the initiation of theagency maintaining the records,information relevant and necessary tothe lawful, statutory, administrative, orinvestigatory purpose of that agency asit relates to the conduct of job relatedepidemiological research or theinsurance of compliance with Federal,State, or local government laws onhealth and safety in the workenvironment.

t. To disclose to officials of labororganizations recognized under 5 U.S.C.chapter 71, analyses using exposure ormedical records and employee exposurerecords, in accordance with the recordsaccess rules of the Department ofLabor’s OSHA, and subject to the



limitations at 29 CFR1910.20(e)(2)(iii)(B).

u. To disclose the results of a drug testof a Federal employee pursuant to anorder of a court of competentjurisdiction where required by theUnited States Government to defendagainst any challenge against anyadverse personnel action.

v. To disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant, cooperative agreement orjob for the Federal Government.

w. To disclose records on formerPanama Canal Commission employeesto the Republic of Panama for use inemployment matters.

x. To disclose to a requesting agency,organization, or individual the homeaddress and other relevant informationon those individuals who it reasonablybelieved might have contracted anillness or might have been exposed to orsuffered from a health hazard whileemployed in the Federal workforce.


STORAGE:

Records are stored in file folders, onmicrofiche, in electronic record systems,and on file cards, x-rays, or othermedical reports and forms.

RETRIEVABILITY:

Records are retrieved by theemployee’s name, date of birth, socialsecurity number, or any combination ofthose identifiers.

SAFEGUARDS:

Records are stored in locked filecabinets or locked rooms. Electronicrecords are protected by restrictedaccess procedures and audit trails.Access to records is strictly limited toagency or contractor officials with abona fide need for the records.


The EMF is maintained for the periodof the employee’s service in the agencyand is then transferred to the NationalPersonnel Records Center for storage, oras appropriate, to the next employingFederal agency. Other medical recordsare either retained at the agency forvarious lengths of time in accordancewith the National Archives and RecordsAdministration’s records schedules ordestroyed when they have served theirpurpose or when the employee leavesthe agency. Within 90 days after theindividual separates from the Federalservice, the EMF is sent to the NationalPersonnel Records Center for storage.Destruction of the EMF is in accordancewith General Records Schedule-1(21).Records arising in connection withemployee drug testing under ExecutiveOrder 12564 are generally retained forup to 3 years. Records are destroyed byshredding, burning, or by erasing thedisk.

SYSTEM MANAGER(S) AND ADDRESS:

a. Assistant Director for WorkforceInformation, Office of Merit SystemsOversight and Effectiveness, U. S. Officeof Personnel Management, 1900 EStreet, NW., Washington, D.C. 20415.

b. For current Federal employees,OPM has delegated to the employingagency the Privacy Act responsibilitiesconcerning access, amendment, anddisclosure of the records within thissystem notice.

NOTIFICATION PROCEDURE:

Individuals wishing to inquirewhether this system of records containsrecords on them should follow theappropriate procedure listed below.

a. Current Employees. Currentemployees should contact theiremploying agency’s personnel,dispensary, health, safety, medical, orother designated office responsible formaintaining the records, as identified inthe agency’s internal issuance coveringthis system. Individuals must furnish

such identifying information as requiredby the agency for their records to belocated and identified.

b. Former employees. Formeremployees should contact their formeragency’s personnel, dispensary, health,safety, medical, or other designatedoffice responsible for maintaining therecords, as identified in the agency’sinternal issuance covering this system.Additionally, for access to their EMF,they should submit a request to theNational Personnel Records Center(Civilian), 111 Winnebago Street, St.Louis, Missouri 63118.

RECORDS ACCESS PROCEDURE:

a. Current employees should contactthe appropriate agency office asindicated in the Notification Proceduresection and furnish such identifyinginformation as required by the agency tolocate and identify the records sought.

b. Former employees should contactthe appropriate agency office asindicated in the Notification Proceduresection and furnish such identifyinginformation as required by the agency tolocate and identify the records sought.Former employees may also submit arequest to the National PersonnelRecords Center (Civilian), 111Winnebago Street, St. Louis, Missouri,for access to their EMF. Whensubmitting a request to the NationalPersonnel Records Center, theindividual must furnish the followinginformation to locate and identify therecord sought:

1. Full name.2. Date of birth.3. Social security number.4. Agency name, date, and location of

last Federal service.5. Signature.c. Individuals requesting access must




CONTESTING RECORDS PROCEDURE:

Because medical practitioners oftenprovide differing, but equally validmedical judgments and opinions whenmaking medical evaluations of anindividual’s health status, review ofrequests from individuals seekingamendment of their medical records,beyond correction and updating of therecords, will be limited to considerationof including the differing opinion in therecord rather than attempting todetermine whether the original opinionis accurate.

Individuals wishing to amend theirrecords should:

a. For a current employee, contact theappropriate agency office identified inthe Notification Procedure section andfurnish such identifying information as

required by the agency to locate andidentify the records to be amended.

b. For a former employee, contact theappropriate agency office identified inthe Notification Procedure section andfurnish such identifying information asrequired by the agency to locate andidentify the record to be amended.Former employees may also submit arequest to amend records in their EMFto the system manager. Whensubmitting a request to the systemmanager, the individual must furnishthe following information to locate andidentify the records to be amended:

1. Full name.2. Date of birth.3. Social security number.4. Agency name, date, and location of

last Federal service.

5. Signature.c. Individuals seeking amendment of

their records must also follow theOffice’s Privacy Act regulations onverification of identity and amendmentof records (5 CFR part 297).

RECORDS SOURCE CATEGORIES:

Records in this system are obtainedfrom:

a. The individual to whom the recordspertain.

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. 00–10088 Filed 4–26–00; 8:45 am]BILLING CODE 6325–01–U


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