Privacy Act of 1974; Publication of Notices of Systems of Records and a Proposed New Routine Use

OFFICE OF PERSONNEL MANAGEMENT

Privacy Act of 1974; Publication of Notices of Systems of Records

and a Proposed New Routine Use

AGENCY: Office of Personnel Management.

ACTION: Notice; publication of notices of the eight Governmentwide

systems of records managed by the Office of Personnel Management,

adding a note of explanation to one system of records, deleting an

existing routine use and proposing a routine use for one system of

records.

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SUMMARY: This notice provides an accurate and complete text with

administrative changes of the Office of Personnel Management's notices

for its eight Governmentwide systems of records. This notice also adds

a note of explanation to one of the routine uses to one Governmentwide

system, deletes one routine use, and adds one routine use to a system

of records. This action effects the administrative changes that have

occurred in the Office's reorganization and makes readily available in

one issue of the Federal Register an accurate and complete text of the

Office notices most widely used by individuals and by agency Privacy

Act officers.

DATES: The notice with the administrative (non-substantive) changes are

effective on July 15, 1996. The proposed routine use will become

effective, without further notice, on September 13, 1996, unless

comments dictate otherwise.

ADDRESSES: Written comments may be sent or delivered to: Assistant

Director for Workforce Information, Room 7439, U.S. Office of Personnel

Management, 1900 E Street, NW., Washington, DC 20415.

FOR FURTHER INFORMATION CONTACT: John Sanet, Privacy Act Advisor,

Office of Workforce Information (202) 606-1955.

SUPPLEMENTARY INFORMATION: The Office of Personnel Management (the

Office) last published its Governmentwide systems notices in 1992. To

be in conformance with the recent reorganization of the Office,

internal changes in the designation of the systems managers and

location of records have occurred that are reflected in this

publication. In addition one routine use was deleted and one routine

use is proposed to a particular system of records. In addition, a note

of explanation is added to one routine use for OPM/GOVT-1.

A brief description of the major changes follows:

OPM/GOVT-1. A note has been added to routine use ``j'' allowing the

home addresses of bargaining unit employees to be disclosed to

recognized labor organizations that are legally required to represent

them from OPM's internal payroll system of records.

The note explains that home addresses contained in OPM/GOVT-1 or in

any other system of records administered by OPM may not be disclosed to

labor organizations under any circumstances.

In addition, volunteers, grantees, and contract employees on whom

an agency is maintaining employment records may also be covered by this

system.

OPM/GOVT-3, Records of Adverse Actions, Performance Based Reduction

in Grade and Removal Actions, and Terminations of Probationers. Routine

Use ``o'' has been deleted as no longer necessary and a proposed new

routine use is offered to allow records within this system to be made

available to specified agencies (Federal, State, or county, municipal,

or other publicly recognized charitable or income security,

administrative agency like an unemployment compensation agency) when

necessary to adjudicate a claim under the retirement, insurance,

unemployment, or health benefits program, or to conduct an analytical

study or audit of such programs. Presently, an identical routine use

exists in the OPM/GOVT-1 system of records. This proposed routine use

will enable agencies to disclose relevant information from the OPM/

GOVT-3 system for the same purpose.

OPM/GOVT-6, Personnel Research and Test Validation Records.

Administrative changes are made reflecting the title of the system

manager and the system location for these records due to OPM's

reorganization are incorporated in this notice.

OPM/GOVT-7, Applicant Race, Sex, National Origin, and Disability

Status Records. Administrative changes reflecting the title of the

system location and system location for these records due to OPM's

reorganization are incorporated in this notice.

OPM/GOVT-9, File on Position Classification Appeals, Job Grading

Appeals, and Retained Grade or Pay Appeals. An administrative change

reflecting the identification of the system manager is incorporated in

this notice.

The system report, as required by 5 U.S.C. 552a(r), has been

submitted to the Committee on Governmental Affairs of the United States

Senate, the Committee on Government Reform and Oversight of the House

of Representatives, and the Office of Management and Budget.

Following is a complete text of these eight Office of Personnel

Management systems of records.

Office of Personnel Management,

Lorraine A. Green,

Deputy Director.

OPM/GOVT-1

System name:

General Personnel Records.

System location:

Records on current Federal employees are located at the Office and

with Personnel Officers or other designated offices of the local

installation of the department or agency that currently

[[Page 36920]]

employs the individual. When agencies determine that duplicates of

these records need to be located in a second office, e.g., an

administrative office closer to where the employee actually works, such

copies are covered by this system. Former Federal employees' Official

Personnel Folders (OPFs) are located at the National Personnel Records

Center, National Archives and Records Administration, 111 Winnebego

Street, St. Louis, Missouri 63118. Records not considered long-term

records, but which may be retained in the OPF or elsewhere during

employment, and which are also included in this system, may be retained

by agencies for a period of time after the employee leaves service.

The use of the phrase ``long-term'' to describe those records filed

on the right-hand-side of OPFs is used throughout this notice because

these records are not actually permanently retained. The term

``temporary'' is used when referencing short-term records filed on the

left-hand-side of OPFs and all other records not filed in the OPF, but

covered by this notice.

Note 1.--The records in this system are ``owned'' by the Office

of Personnel Management (Office) and should be provided to those

Office employees who have an official need or use for those records.

Therefore, if an employing agency is asked by an Office employee to

access the records within this system, such a request should be

honored.

Categories of individuals covered by the system:

Current and former Federal employees as defined in 5 U.S.C. 2105.

(Volunteers, grantees, and contract employees on whom the agency

maintains records may also be covered by this system).

Categories of records in the system:

All categories of records may include identifying information, such

as name(s), date of birth, home address, mailing address, social

security number, and home telephone. This system includes contents of

the OPF as specified in OPM's Operating Manual, ``The Guide to

Personnel Recordkeeping.'' Records in this system are--

a. Records reflecting work experience, educational level achieved,

and specialized education or training obtained outside of Federal

service.

b. Records reflecting Federal service and documenting work

experience and specialized education received while employed. Such

records contain information about past and present positions held;

grades; salaries; duty station locations; and notices of all personnel

actions, such as appointments, transfers, reassignments, details,

promotions, demotions, reductions-in-force, resignations, separations,

suspensions, Office approval of disability retirement applications,

retirement, and removals.

c. Records on enrollment or declination of enrollment in the

Federal Employees' Group Life Insurance Program and Federal Employees

Health Benefit Program, as well as forms showing designation of

beneficiary, Federal Employee's Thrift Savings Program.

d. Records relating to an Intergovernmental Personnel Act

assignment or Federal-private sector exchange program.

Note 2.--Some of these records may also become part of the OPM/

CENTRAL-5, Intergovernmental Personnel Act Assignment Record system.

e. Records relating to participation in an agency Federal Executive

or SES Candidate Development Program.

Note 3.--Some of these records may also become part of the OPM/

CENTRAL-3, Federal Executive Development Records; or OPM/CENTRAL-13,

Senior Executive Service Records systems.

f. Records relating to Government-sponsored training or

participation in an agency's Upward Mobility Program or other personnel

program designed to broaden an employee's work experiences and for

purposes of advancement (e.g., an administrative intern program).

g. Records contained in the Central Personnel Data File (CPDF)

maintained by OPM and exact substantive representations in agency

manual or automated personnel information systems. These data elements

include many of the above records along with handicap and race and

national origin codes. A definitive list of CPDF data elements is

contained in OPM's Operating Manual, The Guide to Personnel Data

Standards.

h. Records on the Senior Executive Service (SES) maintained by

agencies for use in making decisions affecting incumbents of these

positions, e.g., relating to sabbatical leave programs, reassignments,

and details, that are perhaps unique to the SES and that may be filed

in the employee's OPF. These records may also serve as the basis for

reports submitted to OPM for implementing OPM's oversight

responsibilities concerning the SES.

i. Records on an employee's activities on behalf of the recognized

labor organization representing agency employees, including accounting

of official time spent and documentation in support of per diem and

travel expenses.

Note 4.--Alternatively, such records may be retained by an

agency payroll office and thus be subject to the agency's internal

Privacy Act system for payroll records. The OPM/GOVT-1 system does

not cover general agency payroll records.

j. To the extent that the records listed here are also maintained

in an agency electronic personnel or microform records system, those

versions of these records are considered to be covered by this system

notice. Any additional copies of these records (excluding performance

ratings of record and conduct-related documents maintained by first

line supervisors and managers covered by the OPM/GOVT-2 system)

maintained by agencies at field/administrative offices remote from

where the original records exist are considered part of this system.

Note 5.--It is not the intent of OPM to limit this system of

records only to those records physically within the OPF. Records may

be filed in other folders located in offices other than where the

OPF is located. Further, as indicated in the records location

section, some of these records may be duplicated for maintenance at

a site closer to where the employee works (e.g., in an

administrative office or supervisors work folder) and still be

covered by this system. In addition, a working file that a

supervisor or other agency official is using that is derived from

OPM/GOVT-1 is covered by this system notice.

k. Records relating to designations for lump sum death benefits.

1. Records relating to classified information nondisclosure

agreements.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 1302, 2951, 3301, 3372, 4118, 8347, and Executive orders

9397, 9830, and 12107.

Purpose(s):

The OPF and other general personnel records files are the official

repository of the records, reports of personnel actions, and the

documents and papers required in connection with these actions effected

during an employee's Federal service. The personnel action reports and

other documents, some of which are filed as long-term records in the

OPF, give legal force and effect to personnel transactions and

establish employee rights and benefits under pertinent laws and

regulations governing Federal employment.

These files and records are maintained by OPM and the agencies for

the Office in accordance with Office regulations and instructions. They

provide the basic source of factual data

[[Page 36921]]

about a person's Federal employment while in the service and after his

or her separation. Records in this system have various uses by agency

personnel offices, including screening qualifications of employees;

determining status, eligibility, and employee's rights and benefits

under pertinent laws and regulations governing Federal employment;

computing length of service; and other information needed to provide

personnel services. These records and their automated or microform

equivalents may also be used to locate individuals for personnel

research.

Temporary documents on the left side of the OPF may pertain to a

formal action but do not constitute a record of it nor make a

substantial contribution to the employee's long-term record.

Routine uses of records maintained in the systems, including categories

of users and the purposes of such uses:

These records and information in these records may be used--

a. To disclose information to Government training facilities

(Federal, State, and local) and to non-Government training facilities

(private vendors of training courses or programs, private schools,

etc.) for training purposes.

b. To disclose information to education institutions on appointment

of a recent graduate to a position in the Federal service, and to

provide college and university officials with information about their

students working in the Student Career Experiment Program, Volunteer

Service, or other similar programs necessary to a student's obtaining

credit for the experience gained.

c. To disclose information to officials of foreign governments for

clearance before a Federal employee is assigned to that country.

d. To disclose information to the Department of Labor, Department

of Veterans Affairs, Social Security Administration, Department of

Defense, or any other Federal agencies that have special civilian

employee retirement programs; or to a national, State, county,

municipal, or other publicly recognized charitable or income security,

administration agency (e.g., State unemployment compensation agencies),

when necessary to adjudicate a claim under the retirement, insurance,

unemployment, or health benefits programs of the Office or an agency

cited above, or to an agency to conduct an analytical study or audit of

benefits being paid under such programs.

e. To disclose to the Office of Federal Employees Group Life

Insurance, information necessary to verify election, declination, or

waiver of regular and/or optional life insurance coverage, eligibility

for payment of a claim for life insurance, or to TSP election change

and designation of beneficiary.

f. To disclose, to health insurance carriers contracting with the

Office to provide a health benefits plan under the Federal Employees

Health Benefits Program, information necessary to identify enrollment

in a plan, to verify eligibility for payment of a claim for health

benefits, or to carry out the coordination or audit of benefit

provisions of such contracts.

g. To disclose information to a Federal, State, or local agency for

determination of an individual's entitlement to benefits in connection

with Federal Housing Administration programs.

h. To consider and select employees for incentive awards and other

honors and to publicize those granted. This may include disclosure to

other public and private organizations, including news media, which

grant or publicize employee recognition.

i. To consider employees for recognition through quality-step

increases, and to publicize those granted. This may include disclosure

to other public and private organizations, including news media, which

grant or publicize employee recognition.

j. To disclose information to officials of labor organizations

recognized under 5 U.S.C. chapter 71 when relevant and necessary to

their duties of exclusive representation concerning personnel policies,

practices, and matters affecting working conditions.

Note 6--The release of updated home addresses of all bargaining

unit employees to labor organizations recognized under 5 U.S.C.

Chapter 71 from an accurate internal system of records is necessary

for full and proper discussion, understanding, and negotiation of

subjects within the scope of collective bargaining under 5 U.S.C.

7114(b)(4). OPM has determined that retrieval of home addresses from

OPM/GOVT-1 or any other system of records administered by OPM would

yield a great deal of inaccurate information because the home

addresses are not regularly updated, and frequently are inaccurate.

Consequently, the release of the home addresses from this system

would not serve the purpose of the disclosure, namely, the

furnishing of correct and useful information. Use of this system,

which is not wholly automated, would require an inordinate amount of

time to locate information that was not even requested, namely,

inaccurate home addresses. Accordingly, home addresses will not be

released from OPM/GOVT-1 or any other system administered by OPM,

but should be released from an accurate internal system. OPM's

internal system of records, which is clearly the most accurate

repository of the home address of OPM employees, will be utilized to

accomplish this release of information. See Federal Register of

March 8, 1996 (61 FR 9510).

k. To disclose pertinent information to the appropriate Federal,

State, or local agency responsible for investigating, prosecuting,

enforcing, or implementing a statute, rule, regulation, or order, when

the disclosing agency becomes aware of an indication of a violation or

potential violation of civil or criminal law or regulation.

l. To disclose information to any source from which additional

information is requested (to the extent necessary to identify the

individual, inform the source of the purpose(s) of the request, and to

identify the type of information requested), when necessary to obtain

information relevant to an agency decision to hire or retain an

employee, issue a security clearance, conduct a security or suitability

investigation of an individual, classify jobs, let a contract, or issue

a license, grant, or other benefits.

m. To disclose to a Federal agency in the executive, legislative,

or judicial branch of government, in response to its request, or at the

initiation of the agency maintaining the records, information in

connection with the hiring of an employee, the issuance of a security

clearance, the conducting of a security or suitability investigation of

an individual, the classifying of jobs, the letting of a contract, the

issuance of a license, grant, or other benefits by the requesting

agency, or the lawful statutory, administrative, or investigative

purpose of the agency to the extent that the information is relevant

and necessary to the requesting agency's decision.

n. To disclose information to the Office of Management and Budget

at any stage in the legislative coordination and clearance process in

connection with private relief legislation as set forth in OMB Circular

No. A-19.

o. To provide information to a congressional office from the record

of an individual in response to an inquiry from the congressional

office made at the request of the individual

p. to disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

a party to the judicial or administrative proceeding.

q. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when:

[[Page 36922]]

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, when the agency determines that litigation is

likely to affect the agency or any of its components.

is a party to litigation or has an interest in such litigation, and the

use of such records by the Department of Justice or the agency is

deemed by the agency to be relevant and necessary to the litigation

provided, however, that in each case it has been determined that the

disclosure is compatible with the purpose for which the records were

collected.

r. By the National Archives and Records Administration in records

management inspections and its role as Archivist.

s. By the agency maintaining the records or by the Office to locate

individuals for personnel research or survey response, and in the

production of summary descriptive statistics and analytical studies in

support of the function for which the records are collected and

maintained, or for related workforce studies. While published

statistics and studies do not contain individual identifiers, in some

instances, the selection of elements of data included in the study may

be structured in such a way as to make the data individually

identifiable by inference.

t. To provide an official of another Federal agency information

needed in the performance of official duties related to reconciling or

reconstructing data files, in support of the functions for which the

records were collected and maintained.

u. When an individual to whom a record pertains is mentally

incompetent or under other legal disability, information in the

individual's record may be disclosed to any person who is responsible

for the care of the individual, to the extent necessary to assure

payment of benefits to which the individual is entitled.

v. To disclose to the agency-appointed representative of an

employee all notices, determinations, decisions, or other written

communications issued to the employee, in connection with an

examination ordered by the agency under--

(1) Fitness-for-duty examination procedures; or

(2) Agency-filed disability retirement procedures.

w. To disclose, in response to a request for discovery or for

appearance of a witness, information that is relevant to the subject

matter involved in a pending judicial or administrative proceeding.

x. To disclose to a requesting agency, organization, or individual

the home address and other relevant information on those individuals

who it reasonably believed might have contracted an illness or might

have been exposed to or suffered from a health hazard while employed in

the Federal workforce.

y. To disclose specific civil service employment information

required under law by the Department of Defense on individuals

identified as members of the Ready Reserve to assure continuous

mobilization readiness of Ready Reserve units and members, and to

identify demographic characteristics of civil service retirees for

national emergency mobilization purposes.

z. To disclose information to the Department of Defense, National

Oceanic and Atmospheric Administration, U.S. Public Health Service,

Department of Veterans Affairs, and the U.S. Coast Guard needed to

effect any adjustments in retired or retained pay required by the dual

compensation provisions of section 5532 of title 5, United States Code.

aa. To disclose information to the Merit Systems Protection Board

or the Office of the Special Counsel in connection with appeals,

special studies of the civil service and other merit systems, review of

Office rules and regulations, investigation of alleged or possible

prohibited personnel practices, and such other functions promulgated in

5 U.S.C. chapter 12, or as may be authorized by law.

bb. To disclose information to the Equal Employment Opportunity

Commission when requested in connection with investigations of alleged

or possible discrimination practices in the Federal sector, examination

of Federal affirmative employment programs, compliance by Federal

agencies with the Uniform Guidelines on Employee Selection Procedures,

or other functions vested in the Commission.

cc. To disclose information to the Federal Labor Relations

Authority (including its General Counsel) when requested in connection

with investigation and resolution of allegations of unfair labor

practices, in connection with the resolution of exceptions to

arbitrator's awards when a question of material fact is raised, and in

connection with matters before the Federal Service Impasses Panel.

dd. To disclose to prospective non-Federal employers the following

information about a specifically identified current or former Federal

employee:

(1) Tenure of employment;

(2) Civil service status;

(3) Length of service in the agency and the Government; and

(4) When separated, the date and nature of action as shown on the

Notification of Personnel Action--Standard Form 50 (or authorized

exception).

ee. To disclose information on employees of Federal health care

facilities to private sector (i.e., other than Federal, State, or local

government) agencies, boards, or commissions (e.g., the Joint

Commission on Accreditation of Hospitals). Such disclosures will be

made only when the disclosing agency determines that it is in the

Government's best interest (e.g., to comply with law, rule, or

regulation, to assist in the recruiting of staff in the community where

the facility operates or to avoid any adverse publicity that may result

from public criticism of the facility's failure to obtain such

approval, or to obtain accreditation or other approval rating).

Disclosure is to be made only to the extent that the information

disclosed is relevant and necessary for that purpose.

ff. To disclose information to any member of an agency's

Performance Review Board or other panel when the member is not an

official of the employing agency; information would then be used for

approving or recommending selection of candidates for executive

development or SES candidate programs, issuing a performance rating of

record, issuing performance awards, nominating for meritorious and

distinguished executive ranks, and removal, reduction-in-grade, and

other personnel actions based on performance.

gg. To disclose, either to the Federal Acquisition Institute (FAI)

or its agent, information about Federal employees in procurement

occupations and other occupations whose incumbents spend the

predominant amount of their work hours on procurement tasks; provided

that the information shall only be used for such purposes and under

such conditions as prescribed by the notice of the Federal Acquisition

Personnel Information System as published in the Federal Register of

February 7, 1980 (45 FR 8399).

hh. To disclose relevant information with personal identifiers of

Federal civilian employees whose records are contained in the Central

Personnel Data File to authorized Federal agencies and

[[Page 36923]]

non-Federal entities for use in computer matching. The matches will be

performed to help eliminate waste, fraud, and abuse in Governmental

programs; to help identify individuals who are potentially in violation

of civil or criminal law or regulation; and to collect debts and

overpayments owed to Federal, State, or local governments and their

components. The information disclosed may include, but is not limited

to, the name, social security number, date of birth, sex, annualized

salary rate, service computation date of basic active service,

veteran's preference, retirement status, occupational series, health

plan code, position occupied, work schedule (full time, part time, or

intermittent), agency identifier, geographic location (duty station

location), standard metropolitan service area, special program

identifier, and submitting office number of Federal employees.

ii. To disclose information to Federal, State, local, and

professional licensing boards, Boards of Medical Examiners, or to the

Federation of State Medical Boards or a similar non-government entity

which maintains records concerning individuals' employment histories or

concerning the issuance, retention or revocation of licenses,

certifications or registration necessary to practice an occupation,

profession or speciality, in order to obtain information relevant to an

Agency decision concerning the hiring retention or termination of an

employee or to inform a Federal agency or licensing boards or the

appropriate non-government entities about the health care practices of

a terminated, resigned or retired health care employee whose

professional health care activity so significantly failed to conform to

generally accepted standards of professional medical practice as to

raise reasonable concern for the health and safety of patients in the

private sector or from another Federal agency.

jj. To disclose information to contractors, grantees, or volunteers

performing or working on a contract, service, grant, cooperative

agreement, or job for the Federal Government.

kk. To disclose information to a Federal, State, or local

governmental entity or agency (or its agent) when necessary to locate

individuals who are owed money or property either by a Federal, State,

or local agency, or by a financial or similar institution.

ll. To disclose to a spouse or dependent child (or court-appointed

guardian thereof) of a Federal employee enrolled in the Federal

Employees Health Benefits Program, upon request, whether the employee

has changed from a self-and-family to a self-only health benefits

enrollment.

Policies and practices of storing, retrieving, safeguarding, and

retaining and disposing of records in the system:

Storage:

These records are maintained in file folders, on lists and forms,

microfilm or microfiche, and in computer processable storage media.

Retrievability:

These records are retrieved by various combinations of name, birth

date, social security number, or identification number of the

individual on whom they are maintained.

Safeguards:

Paper or microfiche/microfilmed records are located in locked metal

file cabinets or in secured rooms with access limited to those

personnel whose official duties require access. Access to computerized

records is limited, through use of access codes and entry logs, to

those whose official duties require access.

Retention and disposal:

The OPF is maintained for the period of the employee's service in

the agency and is then transferred to the National Personnel Records

Center for storage or, as appropriate, to the next employing Federal

agency. Other records are either retained at the agency for various

lengths of time in accordance with the National Archives and Records

Administration records schedules or destroyed when they have served

their purpose or when the employee leaves the agency.

a. Long-term records. The OPF is maintained by the employing agency

as long as the individual is employed with that agency.

For non-SES employees, transfer performance ratings of record 4

years old or less from the Employee Performance File to the OPF, if the

ratings and plans are not maintained by the agency in the OPF.

Within 90 days after the individual separates from the Federal

service, the OPF is sent to the National Personnel Records Center for

long-term storage. In the case of administrative need, a retired

employee, or an employee who dies in service, the OPF is sent to the

Records Center within 120 days.

Destruction of the OPF is in accordance with General Records

Schedule-1 (GRS-1).

b. Other records. Other records are retained for varying periods of

time. Generally they are maintained for a minimum of 1 year or until

the employee transfers or separates.

c. Records contained on computer processable media within the CPDF

(and in agency's automated personnel records) may be retained

indefinitely as a basis for longitudinal work history statistical

studies. After the disposition date in GRS-1, such records should not

be used in making decisions concerning employees.

System Manger and address:

a. Assistant Director for Workforce Information, Human Resources

Systems Service, Office of Personnel Management, 1900 E Street, NW.,

Washington, DC 20415.

b. For current Federal employees, OPM has delegated to the

employing agency the Privacy Act responsibilities concerning access,

amendment, and disclosure of the records within this system notice.

Notification procedure:

Individuals wishing to inquire whether this system of records

contains information about them should contact the appropriate Office

or employing agency office, as follows:

a. Current Federal employees should contact the Personnel Officer

or other responsible official (as designated by the employing agency),

of the local agency installation at which employed regarding records in

this system.

b. Former Federal employees should contact the Office's St. Louis

office (address cited in ``Records Access Procedure'' below), or as

explained in the Note in the ``Records Access Procedure'' below, the

National Personnel Records Center (Civilian), 111 Winnebago Street, St.

Louis, Missouri 63118, regarding the records in this system.

Individuals must furnish the following information for their

records to be located and identified:

a. Full name(s).

b. Date of birth.

c. Social security number.

d. Last employing agency (including duty station) and approximate

date(s) of the employment (for former Federal employees).

e. Signature.

Record access procedure:

Individuals wishing to request access to their records should

contact the appropriate OPM or agency office, as specified in the

Notification Procedure section. Individuals must furnish the following

information for their records to be located and identified:

a. Full name(s).

b. Date of birth.

c. Social security number.

d. Last employing agency (including duty station) and approximate

date(s) of

[[Page 36924]]

employment (for former Federal employees).

e. Signature.

Individuals requesting access must also comply with the Office's

Privacy Act regulations on verification of identity and access to

records (5 CFR 297).

Note 7.--An individual who is a former Federal employee may

direct a request to the National Personnel Records Center (NPRC) for

a copy of a specific OPF document or for a transcript of his or her

own employment history compiled from documents in the OPF. The

transcript includes the individual's name; date of birth; social

security number; all past grades held, position titles, duty

stations, and salaries; and dates of personnel actions.

Under no circumstances shall an individual direct a request to

NPRC for access to copies of all records maintained in his or her

OPF. Though NPRC stores and services the OPFs of former Federal

employees covered by this system, that record remains the property

of the Office, and such requests will be handled and processed by

the: OPF/EMF Access Unit, Office of Personnel Management, P.O. Box

18673, St. Louis, Missouri 63118.

Contesting record procedure:

Current employees wishing to request amendment of their records

should contact their current agency. Former employees should contact

the system manager and not the Office. Individuals must furnish the

following information for their records to be located and identified.

a. Full name(s).

b. Date of birth.

c. Social security number.

d. Last employing agency (including duty station) and approximate

date(s) of employment (for former Federal employees).

e. Signature.

Individuals requesting access must also comply with the Office's

Privacy Act regulations on verification of identity and access to

records (5 CFR part 297).

Note 8.--Under no circumstances shall former employees direct a

request for amendment to records in the OPF to the NPRC or to the

Office's OPF/EMF Access unit in St. Louis, Missouri. NPRC only

stores and services the OPFs on former Federal employees covered by

this system, and the Office's office in St. Louis processes only

access requests. Processing under the amendment provisions of the

Privacy Act will be handled only by the system manager.

Record source categories:

Information in this system of records is provided by--

a. The individual on whom the record is maintained.

b. Physicians examining the individual.

c. Educational institutions.

d. Agency officials and other individuals or entities.

e. Other sources of information for long-term records maintained in

an employee's OPF, in accordance with Code of Federal Regulations Part

293, and OPM's Operating Manual, ``The Guide to Personnel

Recordkeeping.''

OPM/GOVT-2

System name:

Employee Performance File System Records.

System location:

Records maintained in this system may be located as follows:

a. In an Employee Performance File (EPF) maintained in the agency

office responsible for maintenance of the employee's Official Personnel

Folder (OPF) or other agency-designated office. This includes those

instances where the agency uses an envelope within OPF in lieu of a

separate EPF folder.

b. In the EPF of Senior Executive Service (SES) appointees where

the agency elects to have the file maintained by the Performance Review

Boards required by 5 U.S.C. 4314(c)(1), or the administrative office

supporting the Board.

c. In any supervisor/manager's work folder maintained in the office

by the employee's immediate supervisor/manager or, where agencies have

determined that records management is better served, in such folders

maintained for supervisors/managers in a central administrative office.

d. In an agency's electronic personnel records system.

e. In an agency microformed EPF.

Note 1.--Originals or copies of records covered by this system

may be located in more than one location, but if they become part of

an agency internal system (e.g., administrative or negotiated

grievance file), those copies then would be subject to the agency's

internal Privacy Act implementation guidance regarding their use

within the agency's system.

Note 2.--the records in this system are ``owned'' by the Office

of Personnel Management (Office) and should be provided to those

Office employees who have an official need or use for those records.

Therefore, if an employing agency is asked by an Office employee for

access to the records within this system, such a request should be

honored.

Categories of individuals covered by the system:

Current and former Federal employees (including SES appointees).

Categories of records in the system:

Records in this system, wherever they are maintained, may include

any or all of the following:

a. Annual summary performance ratings of record issued under

employee appraisal systems and any document that indicates that the

rating is being challenged under administrative procedures (e.g., when

the employee files a grievance on the rating received).

b. A document (either the summary rating form itself or a form

affixed to it) that identifies the job elements and the standards for

those elements upon which the rating is based.

c. Supporting documentation for employee ratings of records, as

required by agency rating systems or implementing instructions, and

which may be filed physically with the rating of record (e.g.,

productivity and quality control records, records of employee

counseling, individual development plans, or other such records as

specified in agency issuances) and maintained, for example in a work

folder by supervisors/managers at the work site.

d. Records on SES appraisals generated by Performance Review

Boards, including statements of witnesses and transcripts of hearings.

e. Written recommendations for awards, removals, demotions, denials

of within-grade increases, reassignments, training, pay increases, cash

bonuses, or other performance-based actions (e.g., nominations of SES

employees for Meritorious or Distinguished Executive), including

supporting documentation.

f. Statements made (letter on or appended to the performance rating

document) by the employee (e.g., a statement of disagreement with the

rating or recommendation), in accordance with agency performance plans

and implementing instructions, regarding a rating given and any

recommendations made based on them.

Note 3--When a recommendation by a supervisor/manager or a

statement made by the employee regarding the rating issued (or a

copy) becomes part of another Governmentwide system or internal

agency file (e.g., an SF 52 filed in an OPF when the action is

effected or when documents or statements of disagreement are placed

in a grievance file), that document then becomes subject to that

system's notice and appropriate Office or employing agency Privacy

Act requirements, respectively, for the system of records covering

that file.

g. Records created by Executive Resource Boards regarding

performance of an individual in an executive development program.

h. Records concerning performance during the supervisory or

managerial probationary period, the SES

[[Page 36925]]

appointment probationary period, or the employee's initial period of

probation after appointment.

i. Notices of commendations (which are not considered a permanent

OPF document), recommendations for training, such as an Individual

Development Plan, and advice and counseling records that are based on

work performance.

j. Copies of supervisory ratings used in considering employees for

promotion or other position changes originated in conjunction with

agency merit promotion programs when specifically authorized for

retention in the EPF or work folder.

k. Performance-related material that may be maintained in the work

folder to assist the supervisor/manager in accurately assessing

employee performance. Such material may include transcripts of

employment and training history, documentation of special licenses,

certificates, or authorizations necessary in the performance of the

employee duties, and other such records that agencies determine to be

appropriate for retention in the work folder.

l. Standard Form 7B Cards. (While the use of the SF 7B Card system

was cancelled effective December 31, 1992, this system notice will

cover any of those cards still in existence.)

Note 4.--To the extent that performance records covered by this

system are maintained in either an EPF, supervisor/manager work

folder, or an agency's electronic or microform record system, they

are considered covered under this system of records. Further, when

copies of records filed in the employee's OPF are maintained as

general records related to performance (item K above), those records

are to be considered as being covered by this system and not the

OPM/GOVT-1 system.

This notice does not cover these records (or copies) when they

become part of a grievance file or a 5 CFR parts 432, 752, or 754

file (documents maintained in these files are covered by the OPM/

GOVT-3 system of records, while grievance records are covered under

an agency-specific system), or when they become part of an appeal or

discrimination complaint file as such documents are considered to be

part of either the system of appeal records under the control of the

Merit Systems Protection Board (MSPB) or discrimination complaints

files under the control of the Equal Employment Opportunity

Commission (EEOC).

When an agency retains copies of records from this system in

another system of records, not covered by this or another OPM, MSPB,

or EEOC Government-wide system notice, the agency is solely

responsible for responding to any Privacy Act issues raised

concerning these documents.

The Office has adopted a position that when supervisors/managers

retain personal ``supervisory'' notes, i.e., information on

employees that the agency exercises no control and does not require

or specifically describe in its performance system, which remain

solely for the personal use of the author and are not provided to

any other person, and which are retained or discarded at the

author's sole discretion, such notes are not subject to the Privacy

Act and are, therefore, not considered part of this system. Should

an agency choose to adopt a position that such notes are subject to

the Act, that agency is solely responsible for dealing with Privacy

Act matters, including the requisite system notice, concerning them.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

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

Executive Order 12107.

Purpose(s):

These records are maintained to ensure that all appropriate records

on an employee's performance are retained and are available (1) to

agency officials having a need for the information; (2) to employees;

(3) to support actions based on the records; (4) for use by the Office

in connection with its personnel management evaluation role in the

executive branch; and (5) to identify individuals for personnel

research.

Routine uses of records maintained in the system, including categories

of users and the purpose of such uses:

a. To disclose information to the Merit Systems Protection Board or

the Office of Special Counsel in connection with appeals, special

studies of the civil service and other merit systems, review of Office

rules and regulations, investigations of alleged or possible prohibited

personnel practices, and other functions as promulgated in 5 U.S.C.

chapter 12, or for such other functions as may be authorized by law.

b. To disclose information to the EEOC when requested in connection

with investigations into alleged or possible discrimination practices

in the Federal sector, examination of Federal Affirmative Action

programs, compliance by Federal agencies with the Uniform Guidelines on

Employee Selection Procedures, or other functions vested in the

Commission.

c. To disclose information to the Federal Labor Relations Authority

(including its General Counsel) when requested in connection with the

investigation and resolution of allegations of unfair labor practices,

in connection with the resolution of exceptions to arbitrator's awards

where a question of material fact is raised, and matters before the

Federal Service Impasses Panel.

d. To consider and select employees for incentive awards, quality-

step increases, merit increases and performance awards, or other pay

bonuses, and other honors and to publicize those granted. This may

include disclosure to public and private organizations, including news

media, which grant or publicize employee awards or honors.

e. To disclose information to an arbitrator to resolve disputes

under a negotiated grievance procedure or to officials of labor

organizations recognized under 5 U.S.C. chapter 71 when relevant and

necessary to their duties of exclusive representation.

f. To disclose to an agency in the executive, legislative, or

judicial branch, or to the District of Columbia's government in

response to its request, or at the initiation of the agency maintaining

the records, information in connection with hiring or retaining of an

employee; issuing a security clearance; conducting a security or

suitability investigation of an individual; classifying jobs; letting a

contract; issuing a license, grant, or other benefits by the requesting

agency; or the lawful statutory, administrative, or investigative

purposes of the agency to the extent that the information is relevant

and necessary to the decision on the matter.

g. To disclose, in response to a request for discovery or for

appearance of a witness, information that is relevant to the subject

matter involved in a pending judicial or administrative proceeding.

h. To disclose information to a congressional office from the

record or an individual in response to an inquiry from that

congressional office made at the request of the individual.

i. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

a party to the judicial or administrative proceeding.

j. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, when the agency determines that litigation is

likely to

[[Page 36926]]

affect the agency or any of its components,

is a party to litigation or has an interest in such litigation, and the

use of such records by the Department of Justice or the agency is

deemed by the agency to be relevant and necessary to the litigation,

provided, however, that in each case it has been determined that the

disclosure is compatible with the purpose for which the records were

collected.

k. By the National Archives and Records Administration in records

management inspections and its role as Archivist.

l. By the Office or employing agency to locate individuals for

personnel research or survey response and in producing summary

descriptive statistics and analytical studies to support the function

for which the records are collected and maintained, or for related work

force studies. While published statistics and studies do not contain

individual identifiers, in some instances the selection of elements of

data included in the study may be structured in such a way as to make

the data individually identifiable by inference.

m. To disclose pertinent information to the appropriate Federal,

State, or local government agency responsible for investigating,

prosecuting, enforcing, or implementing a statute, rule, regulation, or

order, where the agency maintaining the record becomes aware of an

indication of a violation or potential violation of civil or criminal

law or regulation.

n. To disclose information to any member of an agency's Performance

Review Board or other board or panel when the member is not an official

of the employing agency. The information would then be used for

approving or recommending performance awards, nominating for

meritorious and distinguished executive ranks, and removal, reduction-

in-grade, and other personnel actions based on performance.

o. To disclose to Federal, State, local, and professional licensing

boards or Boards of Medical Examiners, when such records reflect on the

qualifications of individuals seeking to be licensed.

p. To disclose to contractors, grantees, or volunteers performing

or working on a contract, service, grant, cooperative agreement, or job

for the Federal Government.

Policies and practices of storing, retrieving, safeguarding, and

retaining and disposing of records in the system:

Storage:

Records are maintained in file folders, envelopes, and on magnetic

tapes, disks, microfilm, or microfiche.

Retrievability:

Records are retrieved by the name and social security number of the

individual on whom they are maintained.

Safeguards:

Records are maintained in file folders or envelopes, on electronic

media, magnetic tape, disks, or microforms and are stored in locked

desks, metal filing cabinets, or in a secured room with access limited

to those whose official duties require access. Additional safeguarding

procedures include the use of sign-out sheets and restrictions on the

number of employees able to access electronic records through use of

access codes and logs.

Retention and disposal:

Records on former non-SES employees will generally be retained no

longer than 1 year after the employee leaves his or her employing

agency. Records on former SES employees may be retained up to 5 years

under 5 U.S.C. 4314.

a. Summary performance appraisals (and related records as the

agency prescribes) on SES appointees are retained for 5 years and

ratings of record on other employees for 4 years, except as shown in

paragraph b below, and are disposed of by shredding, burning, erasing

of disks, or in accordance with agency procedures regarding destruction

of personnel records, including giving them to the individual. When a

non-SES employee transfers to another agency or leaves Federal

employment, ratings of record and subsequent ratings (4 years old or

less) are to be filed on the temporary side of the OPF and forwarded

with the OPF.

b. Ratings of unacceptable performance and related documents,

pursuant to 5 U.S.C. 4303(d), are destroyed after the employee

completes 1 year of acceptable performance from the date of the

proposed removal or reduction-in-grade notice. (Destruction to be no

later than 30 days after the year is up.)

c. When a career appointee in the SES accepts a Presidential

appointment pursuant to 5 U.S.C. 3392(c), the employee's performance

folder remains active so long as the employee remains employed under

the Presidential appointment and elects to have certain provisions of 5

U.S.C. relating to the Service apply.

d. When an incumbent of the SES transfers to another position in

the Service, ratings and plans 5 years old or less shall be forwarded

to the gaining agency with the individual's OPF.

e. Some performance-related records (e.g., documents maintained to

assist rating officials in appraising performance or recommending

remedial actions or to show that the employee is currently licensed or

certified) may be destroyed after 1 year.

f. Where any of these documents are needed in connection with

administrative or negotiated grievance procedures, or quasi-judicial or

judicial proceedings, they may be retained as needed beyond the

retention schedules identified above.

g. Generally, agencies retain records on former employees for no

longer than 1 year after the employee leaves.

Note 5--When an agency retains an electronic or microform

version of any of the above documents, retention of such records

longer than show is permitted (except for those records subject to 5

U.S.C. 4303(d)) for agency use or for historical or statistical

analysis, but only so long as the record is not used in a

determination directly affecting the individual about whom the

record pertains (after the manual record has been or should have

been destroyed).

System managers and address:

a. Assistant Director for Workforce Information, Personnel Systems

and Oversight Group, Office of Personnel Management, 1900 E Street,

NW., Washington, DC 20415.

b. For current Federal employees, OPM has delegated to the

employing agency the Privacy Act responsibilities concerning access,

amendment, and disclosure of the record within this system notice.

Notification procedure:

Individuals wishing to inquire whether this system contains

information about them should contact their servicing personnel office,

supervisor/manager, Performance Review Board office, or other agency

designated office maintaining their performance-related records where

they are or were employed. Individuals must furnish the following

information for their records to be located and identified:

a. Full name(s).

b. Social Security number.

c. Position occupied and unit where employed.

Records access procedure:

Individuals wishing access to their records should contact the

appropriate

[[Page 36927]]

office indicated in the Notification Procedure section where they are

or were employed. Individuals must furnish the following information

for their records to be located and identified:

a. Full name(s).

b. Social security number.

c. Position occupied and unit where employed.

Individuals requesting access to records must also comply with the

Office's Privacy Act regulations on verification of identity and access

to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment to their records should

contact the appropriate office indicated in the Notification Procedure

section where they are or were employed. Individuals must furnish the

following information for their records to be located and identified:

a. Full name(s).

b. Social security number.

c. Position occupied and unit where employed.

Individuals requesting amendment must also comply with the Office's

Privacy Act regulations on verification of identity and amendment of

records (5 CFR part 297).

Records source categories:

Records in this system are obtained from:

a. Supervisors/managers.

b. Performance Review Boards.

c. Executive Resource Boards.

d. Other individuals or agency officials.

e. Other agency records.

f. The individual to whom the records pertain.

OPM/GOVT-3

System name:

Records of Adverse Actions, Performance Based Reduction in Grade

and Removal Actions, and Termination of Probationers.

System location:

These records are located in personnel or designated offices in

Federal agencies in which the actions were processed.

Categories of individuals covered by the system:

Current or former Federal employees (including Senior Executive

Service (SES) employees) against whom such an action has been proposed

or taken in accordance with 5 CFR parts 315 (Subparts H and I), 432,

752, or 754 of the Office's regulations.

Categories of records in the system:

This system contains records and documents on: (1) The processing

of adverse actions, performance based reduction in grade and removal

actions, and (2) the termination of employees serving initial

appointment probation and return to their former grade of employees

serving supervisory or managerial probation. The records include, as

appropriate, copies of the notice of proposed action, materials relied

on by the agency to support the reasons in the notice, replies by the

employee, statements of witness, hearing notices, reports, and agency

decisions.

Note.--This system does not include records, including the

action file itself, compiled when such actions are appealed to the

Merit Systems Protection Board (MSPB) or become part of a

discrimination complaint record at the Equal Employment Opportunity

Commission (EEOC). Such appeal and discrimination complaint file

records are covered by the appropriate MSPB or EEOC system of

records.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 3321, 4303, 7504, 7514, and 7543.

Purposes:

These records result from the proposal, processing, and

documentation of these actions taken either by the Office or by

agencies against employees in accordance with 5 CFR parts 315 (subparts

H and I), 432, 752, or 754 of the Office's regulations.

Routine uses of records maintained in the system, including categories

of users and the purposes of such uses:

a. To provide information to officials of labor organizations

recognized under 5 U.S.C. chapter 71 when relevant and necessary to

their duties of exclusive representation concerning personnel policies,

practices, and matters affecting work conditions.

b. To disclose pertinent information to the appropriate Federal,

State, or local agency responsible for investigating, prosecuting,

enforcing, or implementing a statute, rule, regulation, or order, when

the disclosing agency becomes aware of an indication of a violation or

potential violation of civil or criminal law or regulation.

c. To disclose information to any source from which additional

information is requested for processing any of the covered actions or

in regard to any appeal or administrative review procedure, to the

extent necessary to identify the individual, inform the source of the

purpose(s) of the request, and identify the type of information

requested.

d. To disclose information to a Federal agency, in response to its

request, in connection with hiring or retaining an employee, issuing a

security clearance, conducting a security or suitability investigation

of an individual, or classifying jobs, to the extent that the

information is relevant and necessary to the requesting agency's

decision on the matter.

e. To provide information to a congressional office from the record

of an individual in response to an inquiry from that congressional

office made at the request of that individual.

f. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

a party to the judicial or administrative proceeding.

g. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, when the agency determines that litigation is

likely to affect the agency or any of its components,

is a party to litigation or has an interest in such litigation, and the

use of such records by the Department of Justice or the agency is

deemed by the agency to be relevant and necessary to the litigation,

provided, however, that in each case it has been determined that the

disclosure is compatible with the purpose for which the records were

collected.

h. By the National Archives and Records Administration in records

management inspections and its role as Archivist.

i. By the agency maintaining the records or the Office to locate

individuals for personnel research or survey response and in producing

summary descriptive statistics and analytical studies in support of the

function for which the records are collected and maintained, or for

related workforce studies. While published statistics and studies do

not contain individual identifiers, in some instances the selection for

elements of data

[[Page 36928]]

included in the study may be structured in such a way as to make the

data individually identifiable by inference.

j. To disclose, in response to a request for discovery or for

appearance of a witness, information that is relevant to the subject

matter involved in pending judicial or administrative proceeding.

k. To disclose information to the Merit Systems Protection Board or

the Office of the Special Counsel in connection with appeals, special

studies of the civil service and other merit systems, review of Office

rules and regulations, investigations of alleged or possible prohibited

personnel practices, and such other functions, as promulgated in 5

U.S.C. 1205 and 1206, and as specified in 5 U.S.C. 7503(c) and 5 U.S.C.

7513(e), or as may be authorized by law.

l. To disclose information to the EEOC when requested in connection

with investigations into alleged or possible discrimination practices

in the Federal sector, examination of Federal affirmative employment

programs, compliance by Federal agencies with the Uniform Guidelines on

Employee Selection Procedures, or other functions vested in the

Commission.

m. To disclose information to the Federal Labor Relations Authority

or its General Counsel when requested in connection with investigations

of allegations of unfair labor practices or matters before the Federal

Service Impasses Panel.

n. To provide an official of another Federal agency information he

or she needs to know in the performance of his or her official duties

or reconciling or reconstructing data files, in support of the

functions for which the records were collected and maintained.

o. To disclose information to the Department of Labor, Department

of Veterans Administration, Social Security Administration, Department

of Defense, or any other Federal agencies that have special civilian

employee retirement programs; or to a national, State, county,

municipal, or other publicly recognized charitable or income security,

administration agency (e.g., State unemployment compensation agencies),

when necessary to adjudicate a claim under the retirement, insurance,

unemployment, or health benefits programs of the Office or an agency to

conduct an analytical study or audit of benefits being paid under such

programs.

p. To disclose to contractors, grantees, or volunteers performing

or working on a contract, service, grant, cooperative agreement, or job

for the Federal Government.

Policies and practices for storing, retrieving, safeguarding and

retaining and disposing of records in the system:

Storage:

These standards are maintained in file folders, in automated media,

or on microfiche or microfilm.

Retrievability:

These records are retrieved by the names and social security number

of the individuals on whom they are maintained.

Safeguards:

These records are maintained in locked metal filing cabinets or in

automated media to which only authorized personnel have access.

Retention and disposal:

Records documenting an adverse action, performance-based removal or

demotion action, or covered actions against probationers are disposed

of not sooner then four years nor later than seven years after the

closing of the case in accordance with each agency's records

disposition manual. Disposal is by shredding, or erasure of tapes

(disks).

System manager(s) and address:

Assistant Director for Employee and Workforce Performance, Human

Resources Systems Service, Office of Personnel Management, 1900 E

Street, NW., Washington, DC 20415 for actions taken under Parts 432,

752 (Subparts A through D only), and 754. Assistant Director for

Executive Policy and Services, Office of Personnel Management, 1900 E

Street, NW., Washington, DC 20415 for actions taken against SES

appointees under subparts E and F, of part 752. Associate Director for

Employment Service for actions taken under Part 315.

Notification procedure:

Individuals receiving notice of a proposed adverse, removal, or

demotion action must be provided access to all documents supporting the

notice. At any time thereafter, individuals subject to the action will

be provided access to the complete record. Individuals should contact

the agency personnel or designated office where the action was

processed regarding the existence of such records on them. They must

furnish the following information for their records to be located and

identified:

a. Name.

b. Date of birth.

c. Approximate date of closing of the case and kind of action

taken.

d. Organizational component involved.

Record access procedure:

Individuals against whom such actions are taken must be provided

access to the record. However, after the action has been closed, an

individual may request access to the official file by contacting the

agency personnel or designated office where the action was processed.

Individuals must furnish the following information for their records to

be located and identified:

a. Name.

b. Date of birth.

c. Approximate date of closing of the case and kind of action

taken.

d. Organizational component involved.

Individuals requesting access must also follow the Office's Privacy

Act regulations on verification of identity and access to records (5

CFR Part 297).

Contesting record procedure:

Review of requests from individuals seeking amendment of their

records that have or could have been the subject of a judicial, quasi-

judicial, or administrative action will be limited in scope. Review of

amendment requests of these records will be restricted to determining

if the record accurately documents the action of the agency ruling on

the case, and will not include a review of the merits of the action,

determination, or finding.

Individuals wishing to request amendment of their records to

correct factual errors should contact the agency personnel or

designated office where the actions were processed. Individuals must

furnish the following information for their records to be located and

identified:

a. Name.

b. Date of birth.

c. Approximate date of closing of the case and kind of action

taken.

d. Organizational component involved.

Individuals requesting amendment must also follow the Office's

Privacy Act regulations on verification of identity and amendment of

records (5 CFR part 297).

Record source categories:

Information in this system of records is provided:

a. By supervisors/managers.

b. By the individual on whom the record is maintained.

c. By testimony of witnesses.

d. By other agency officials.

e. By other agency records.

f. From related correspondence from organizations or persons.

[[Page 36929]]

OPM/GOVT-4 [Reserved]

OPM/GOVT-5

System name:

Recruiting, Examining, and Placement Records

System location:

Associate Director for Employment Service, Office of Personnel

Management, 1900 E Street, NW., Washington, DC 20415, OPM regional and

area offices; and personnel or other designated offices of Federal

agencies that are authorized to make appointments and to act for the

Office by delegated authority.

Categories of Individuals covered by the system

a. Persons who have applied to the Office or agencies for Federal

employment and current and former Federal employees submitting

applications for other positions in the Federal service.

b. Applicants for Federal employment believed or found to be

unsuitable for employment on medical grounds.

Categories of Records in the System:

In general, all records in this system contain identifying

information including name, date of birth, social security number, and

home address. These records pertain to assembled and unassembled

examining procedures and contain information on both competitive

examinations and on certain noncompetitive actions, such as

determinations of time-in-grade restriction waivers, waiver of

qualification requirement determinations, and variations in regulatory

requirements in individual cases.

This system includes such records as--

a. Applications for employment that contain information on work and

education, military service, convictions for offenses against the law,

military service, and indications of specialized training or receipt of

awards or honors. These records may also include copies of

correspondence between the applicant and the Office or agency.

b. Results of written exams and indications of how information in

the application was rated. These records also contain information on

the ranking of an applicant, his or her placement on a list of

eligibles, what certificates applicant's names appeared on, an agency's

request for Office approval of the agency's objection to an eligible's

qualifications and the Office's decision in the matter, an agency's

request for Office approval for the agency to pass over an eligible and

the Office's decision in the matter, and an agency's decision to

object/pass over an eligible when the agency has authority to make such

decisions under agreement with the Office.

c. Records regarding the Office's final decision on an agency's

decision to objection/pass over an eligible for suitability or medical

reasons or when the objection/pass over decision applies to a

compensable preference eligible with 30 percent or more disability.

(Does not include a rating of ineligibility for employment because of a

confirmed positive test result under Executive Order 12564.)

d. Responses to and results of approved personality or similar

tests administered by the Office or agency.

e. Records relating to rating appeals filed with the Office or

agency.

f. Registration sheets, control cards, and related documents

regarding Federal employees requesting placement assistance in view of

pending or realized displacement because of reduction in force,

transfer or discontinuance of function, or reorganization.

g. Records concerning non-competitive action cases referred to the

Office for decision. These files include such records as waiver of

time-in-grade requirements, decisions on superior qualification

appointments, temporary appointments outside a register, and employee

status determinations. Authority for making decisions on many of these

actions has also been delegated to agencies. The records retained by

the Office on such actions and copies of such files retained by the

agency submitting the request to the Office, along with records that

agencies maintain as a result of the Office's delegations of

authorities, are considered part of this system of records.

h. Records retained to support Schedule A appointments of severely

physically handicapped individuals, retained both by the Office and

agencies acting under the Office delegated authorities, are part of

this system.

i. Agency applicant supply file systems (when the agency retains

applications, resumes, and other related records for hard-to-fill or

unique positions, for future consideration), along with any pre-

employment vouchers obtained in connection with an agency's processing

of an application, are included in this system.

j. Records derived from the Office-developed or agency-developed

assessment center exercises.

k. Case files related to medical suitability determinations and

appeals.

l. Records related to an applicant's examination for use of illegal

drugs under provisions of Executive Order 12564. Such records may be

retained by the agency (e.g., evidence of confirmed positive test

results) or by a contractor laboratory (e.g., the record of the testing

of an applicant, whether negative, or confirmed or unconfirmed positive

test result).

Note 1.--Only Routine Use ``p'' identified for this system of

records is applicable to records relating to drug testing under

Executive Order 12564. Further, such records shall be disclosed only

to a very limited number of officials within the agency, generally

only to the agency Medical Review Official (MRO), the administrator

of the agency Employee Assistance Program, and any supervisory or

management official within the employee's agency having authority to

take the adverse personnel action against the employee.

Note 2.--The Office does not intend that records created by

agencies in connection with the agency's Merit Promotion Plan

program be included in the term ``Applicant Supply File'' as used

within this notice. It is the Office's position that Merit Promotion

Plan records are not a system of records within the meaning of the

Privacy Act as such records are usually filed by a vacancy

announcement number or some other key that is not a unique personnel

identifier. Agencies may choose to consider such records as within

the meaning of a system of records as used in the Privacy Act, but

if they do so, they are solely responsible for implementing Privacy

Act requirements, including establishment and notice of a system of

records pertaining to such records.

Note 3.--To the extent that an agency utilizes an automated

medium in connection with maintenance of records in this system, the

automated versions of these records are considered covered by this

system of records.

Authority for Maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 1302, 3109, 3301, 3302, 3304, 3305, 3306, 3307, 3309,

3313, 3317, 3318, 3319, 3326, 4103, 4723, 5532, and 5533, and Executive

Order 9397.

Purposes:

The records are used in considering individuals who have applied

for positions in the Federal service by making determinations of

qualifications including medical qualifications, for positions applied

for, and to rate and rank applicants applying for the same or similar

positions. They are also used to refer candidates to Federal agencies

for employment consideration, including appointment, transfer,

reinstatement, reassignment, or promotion. Records derived from the

Office-developed or agency-developed assessment center exercises may be

used to determine training needs of participants. These

[[Page 36930]]

records may also be used to locate individuals for personnel research.

Routine uses of records maintained in the system, including categories

of users and the purpose of such uses:

Note 4--With the exception of Routine Use ``p,'' none of the

Other Routine Uses identified for this system of records are

applicable to records relating to drug testing under Executive Order

12564. Further, such records shall be disclosed only to a very

limited number of officials within that agency, generally only to

the agency Medical Review Officer (MRO), the administrator of the

agency's Employee Assistance Program, and the management official

empowered to recommend or take adverse action affecting the

individual.

a. To refer applicants, including current and former Federal

employees to Federal agencies for consideration for employment,

transfer, reassignment, reinstatement, or promotion.

b. With the permission of the applicant, to refer applicants to

State and local governments, congressional offices, international

organizations, and other public offices for employment consideration.

c. To disclose pertinent information to the appropriate Federal,

State, or local agency responsible for investigating, prosecuting,

enforcing, or implementing a statute, rule, regulation, or order, when

the disclosing agency becomes aware of an indication of a violation or

potential violation of civil or criminal law or regulation.

d. To disclose information to any source from which additional

information is requested (to the extent necessary to identify the

individual, inform the source of the purposes of the request, and to

identify the type of information requested), when necessary to obtain

information relevant to an agency decision concerning hiring or

retaining an employee, issuing a security clearance, conducting a

security or suitability investigation of an individual, classifying

positions, letting a contract, or issuing a license, grant, or other

benefit.

e. To disclose information to a Federal agency, in response to its

request, in connection with hiring or retaining an employee, issuing a

security clearance, conducting a security or suitability investigation

of an individual, classifying positions, letting a contract, or issuing

a license, grant, or other benefit by the requesting agency, to the

extent that the information is relevant and necessary to the requesting

agency's decision in the matter.

f. To disclose information to the Office of Management and Budget

at any stage in the legislative coordination and clearance process in

connection with private relief legislation as set forth in OMB Circular

No. A-19.

g. To provide information to a congressional office from the record

of an individual in response to an inquiry from that congressional

office made at the request of that individual.

h. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

a party to a judicial or administrative proceeding.

i. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, when the agency determines that litigation is

likely to affect the agency or any of its components, is a party to

litigation or has an interest in such litigation, and the use of such

records by the Department of Justice or the agency is deemed by the

agency to be relevant and necessary to the litigation, provided,

however, that in each case it has been determined that the disclosure

is compatible with the purpose for which the records were collected.

j. By the National Archives and Records Administration in records

management inspections and its role as Archivist.

k. By the agency maintaining the records or by the Office to locate

individuals for personnel research or survey response or in producing

summary descriptive statistics and analytical studies in support of the

function for which the records are collected and maintained, or for

related workforce studies. While published statistics and studies do

not contain individual identifiers, in some instances the selection of

elements of data included in the study may be structured in such a way

as to make the data individually identifiable by inference.

l. To disclose information to the Merit Systems Protection Board or

the Office of the Special Counsel in connection with appeals, special

studies of the civil service and other merit systems, review of Office

rules and rules and regulations, investigations of alleged or possible

prohibited personnel practices, and such other functions, e.g., as

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

m. To disclose information to the Equal Employment Opportunity

Commission when requested in connection with investigations into

alleged or possible discrimination practices in the Federal sector,

examination of Federal affirmative employment programs, compliance by

Federal agencies with the Uniform Guidelines or Employee Selection

Procedures, or other functions vested in the Commission.

n. To disclose information to the Federal Labor Relations Authority

or its General Counsel when requested in connection with investigations

of allegations of unfair labor practices or matters before the Federal

Service Impasses Panel.

o. To disclose, in response to a request for discovery or for an

appearance of a witness, information that is relevant to the subject

matter involved in a pending judicial or administrative proceeding.

p. To disclose the results of a drug test of a Federal employee

pursuant to an order of a court of competent jurisdiction where

required by the United States Government to defend against any

challenge against any adverse personnel action.

q. To disclose information to Federal, State, local, and

professional licensing boards, Boards of Medical Examiners, or to the

Federation of State Medical Boards or a similar non-government entity

which maintains records concerning the issuance, retention, or

revocation of licenses, certifications, profession, or specialty, in

order to obtain information relevant to an agency decision concerning

the hiring, retention, or termination of an employee or to inform a

Federal agency or licensing board or the appropriate non-government

entity about the health care practice of a terminated, resigned, or

retired health care employee whose professional health care activity so

significantly failed to conform to generally accepted standards of

professional medical practice as to raise reasonable concern for the

health and safety of patients in the private sector or from another

Federal agency.

r. To disclose information to contractors, grantees, or volunteers

performing or working on a contract, service, grant, cooperative

agreement, or job for the Federal Government.

[[Page 36931]]

Policies and practices for storing, retrieving, safeguarding, and

retaining and disposing of records in the system:

Storage:

Records are maintained on magnetic tapes, disk, punched cards,

microfiche, cards, lists, and forms.

Retrievability:

Records are retrieved by the name, date of birth, social security

number, and/or identification number assigned to the individual on whom

they are maintained.

Safeguards:

Records are maintained in a secured area or automated media with

access limited to authorized personnel whose duties require access.

Retention and disposal:

Records in this system are retained for varying lengths of time,

ranging from a few months to 5 years, e.g., applicant records that are

part of medical determination case files or medical suitability appeal

files are retained for 3 years from completion of action on the case.

Most records are retained for a period of 1 to 2 years. Some records,

such as individual applications, become part of the person's permanent

official records when hired, while some records (e.g., non-competitive

action case files), are retained for 5 years. Some records are

destroyed by shredding or burning while magnetic tapes or disks are

erased.

System manager(s) and address:

Associate Director Employment Service, Office of personnel

Management, 1900 E Street, NW., Washington, D.C. 20415.

Notification procedure:

Individuals wishing to inquire whether this system of records

contains information about them should contact the agency or the Office

where application was made or examination was taken. Individuals must

provide the following information for their records to be located and

identified:

a. Name.

b. Date of birth.

c. Social security number.

d. Identification number (if known).

e. Approximate date of record.

f. Title of examination or announcement with which concerned.

g. Geographic area in which consideration was requested.

Record access procedures:

Specific materials in this system have been exempted from Privacy

Act provisions at 5 U.S.C. (c)(3) and (d), regarding access to records.

The section of this notice titled ``Systems Exempted from Certain

Provisions of the Act'' indicates the kind of material exempted and the

reasons for exempting them from access. Individuals wishing to request

access to their non-exempt records should contact the agency or the

Office where application was made or examination was taken. Individuals

must provide the following information for their records to be located

and identified:

a. Name.

b. Date of birth.

c. Social security number.

d. Identification number (if known).

e. Approximate date of record.

f. Title of examination or announcement with which concerned.

g. Geographic area in which consideration was requested.

Individuals requesting access must also comply with the Office's

privacy Act regulations on verification of identity and access to

records (5 CFR part 297).

Contesting record procedures:

Specific materials in this system have been exempted from Privacy

Act provisions at 5 U.S.C. 552a(d), regarding amendment of records. The

section of this notice titled ``Systems Exempted from Certain

Provisions of the Act'' indicates the kinds of material exempted and

the reasons for exempting them from amendment. An individual may

contact the agency or the Office where the application is filed at any

time to update qualifications, education, experience, or other data

maintained in the system.

Such regular administrative updating of records should not be

requested under the provisions of the Privacy Act. However, individuals

wishing to request amendment of other records under the provisions of

the Privacy Act should contact the agency or the Office where the

application was made or the examination was taken. Individuals must

provide the following information for their records to be located and

identified:

a. Name.

b. Date of birth.

c. Social security number.

d. Identification number (if known).

e. Approximate date of record.

f. Title of examination or announcement with which concerned.

g. Geographic area in which consideration was requested.

Individuals requesting amendment must also comply with the Office's

Privacy Act regulations on verification of identity and amendment of

records (5 CFR Part 297).

Note 5.--In responding to an inquiry or a request for access or

amendment, resource specialists may contact the Office's area office

that provides examining and rating assistance for help in processing

the request.

Record source categories:

Information in this system of records comes from the individuals to

whom it applies or is derived from information the individual supplied,

reports from medical personnel on physical qualifications, results of

examinations that are made known to applicants, agencies, and Office

records, and vouchers supplied by references or other sources that the

applicant lists or that are developed.

Systems exempted from certain provisions of the Act:

This system contains investigative materials that are used solely

to determine the appropriateness of a request for approval of an

objection to an eligible's qualifications for Federal civilian

employment or vouchers received during the processing of an

application. The Privacy Act, at 5 U.S.C. 552a(k)(5), permits an agency

to exempt such investigative material from certain provisions of the

Act, to the extent that release of the material to the individual whom

the information is about would--

a. Reveal the identity of a source who furnished information to the

Government under an express promise (granted on or after September 27,

1975) that the identity of the source would be held in confidence; or

b. Reveal the identity of a source who, prior to September 27,

1975, furnished information to the Government under an implied promise

that the identity of the source would be held in confidence.

This system contain testing and examination materials used solely

to determine individual qualifications for appointment or promotion in

the Federal service. The Privacy Act, at 5 U.S.C. 552a(k)(6), permits

an agency to exempt all such testing or examination material and

information from certain provisions of the Act, when disclosure of the

material would compromise the objectivity or fairness of the testing or

examination process. The Office has claimed exemptions from the

requirements of 5 U.S.C. 552a(d), which relate to access to and

amendment of records.

The specific material exempted include, but are not limited to, the

following:

a. Answer keys.

b. Assessment center exercises.

c. Assessment center exercise reports.

d. Assessor guidance material.

e. Assessment center observation reports.

f. Assessment center summary reports.

[[Page 36932]]

g. Other applicant appraisal methods, such as performance tests,

work samples and simulations, miniature training and evaluation

exercises, structured interviews, and their associated evaluation

guides and reports.

h. Item analyses and similar data that contain test keys.

i. Ratings given for validating examinations.

j. Rating schedules, including crediting plans and scoring formulas

for other selection procedures.

k. Rating sheets.

l. Test booklets, including the written instructions for their

preparation.

m. Test item files.

n. Test answer sheets.

OPM/GOVT-6

System name:

Personnel Research and Test Validation Records.

System location:

Director, Office of Personnel Resources and Development, Employment

Service, Office of Personnel Management, 1900 E Street, NW.,

Washington, DC 20415; OPM's Service Centers, and agency personnel

offices (or other designated offices) conducting personnel research.

Categories of individuals covered by the system:

Current and former Federal employees, applicants for Federal

employment, current and former State and local government employees,

and applicants for State and local government employment, selected

private sector employees, and applicants for sample comparison groups.

Categories of records in the system:

These records include information on education and employment

history, test scores, responses to test items and questionnaires,

interview data, and ratings of supervisors regarding the individuals to

whom the records pertain. Additional information (race, national

origin, disability status, and background) is collected from applicants

for certain examinations.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 1303, 3301, and 4702.

Purpose:

These records are collected, maintained, and used by the Office or

other Federal agencies for the construction, analysis, and validation

of written tests and other assessment instruments used in personnel

selection and appraisal, other assessment instruments used in personnel

selection and appraisal, and for research on and evaluation of

personnel/organizational management and staffing methods, including

workforce effectiveness studies. Agencies and the Office may provide

each other with data collected in support of these functions. Such

research includes studies extending over a period of time (longitudinal

studies). Private sector data are used in research only, to evaluate

Federal study results against non-Federal comparison groups. Race and

national origin data are used by the Office or other agencies to

evaluate the role and effects of selection procedures in the total

employee staffing process. Use of these race and national origin data

is limited to such evaluation, oversight and research projects

conducted by the employing agencies or the Office. The records may also

be used by the Office or other Federal agencies to locate individuals

for personnel research. Data are collected on a project-by-project

basis under conditions assuring the confidentiality of the information.

No personnel action or selection is made using these research records.

Routine uses of records maintained in the system, including categories

of users and the purposes of such uses:

Under normal circumstances, no individually identifiable records

will be provided. However, under those unusual circumstances when an

individually identifiable record is required, proper safeguards will be

maintained to protect the information collected from unwarranted

invasion of personal privacy. Such protection must be specified in

writing by the requester and, to the satisfaction of the agency

official responsible for maintaining the data, indicate that the

proposed use of the data is in compliance with the letter and spirit of

the Privacy Act. Under these circumstances, the routine uses are as

follows:

a. By the OPM or employing agency maintaining the records to locate

individuals for personnel research or survey responses and in the

production of summary descriptive statistics and analytical studies in

support of the function for which the records are collected and

maintained, or for related workforce studies. While published

statistics and studies do not contain individual identifiers, in some

instances the selection of elements of data included in the study may

be structured in such a way as to make the data individually

identifiable by inference.

b. To furnish personnel records and information to the Equal

Employment Opportunity Commission for use in determining the existence

of adverse impact in the total selection program, reviewing allegations

of discrimination, or assessing the status of compliance with Federal

law.

c. To furnish information to the Merit Systems Protection Board or

the Office of the Special Counsel in connection with actions by offices

relating to allegations of discriminatory practices on the part of an

agency or one of its employees.

d. To disclose, in response to a request for discovery or for

appearance of a witness, information that is relevant to the subject

matter involved in a pending judicial or administrative proceeding.

e. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

a party to the judicial or administrative proceeding.

f. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, where the agency determines that litigation

is likely to affect the agency or any of its components, is a party to

litigation or has an interest in such litigation, and the use of such

records by the Department of Justice or the agency is deemed by the

agency to be relevant and necessary to the litigation, provided,

however, that in each case it has been determined that the disclosure

is compatible with the purpose for which the records were collected.

g. To provide information to a congressional office from the record

of an individual in response to a request from that congressional

office made at the request of that individual.

h. To provide aggregate data to non-Federal organizations

participating in workforce studies. These data will be limited to

individuals associated with the organization requesting the data or to

data aggregated for all organizations in a study.

i. To disclose information to contractors, grantees, or volunteers

[[Page 36933]]

performing or working on a contract, service, grant, cooperative

agreement, or job for the Federal Government.

j. To disclose research records to a court or other body in camera

when tests and other assessment instruments are involved.

Policies and practices for storing, retrieving, safeguarding, and

retention and disposing of records in the system:

Storage:

These records are maintained in file folders and on punched cards,

disks, magnetic tape, CD Rom.

Retrievability:

Records are generally maintained by project. Personal information

can be retrieved by name or personal identifier only for certain

research projects such as those involving longitudinal studies.

Safeguards:

Records are kept in locked files in a locked room with access

limited to authorized staff. Access to tape, disk, and other files used

in data processing will be only by authorized staff.

Retention and disposal:

Records are retained for 2 years after completion of the project

unless needed in the course of litigation or other administrative

actions involving a research or test validation survey. Records

collected for longitudinal studies will be maintained indefinitely.

Manual records are destroyed by shredding or burning and magnetic tapes

and disks are erased.

System manager(s) and address:

Director, Office of Personnel Resources and Development, Employment

Service, Office of Personnel Management, 1900 E Street, NW.,

Washington, DC 20415.

Notification procedure:

Individuals wishing to inquire whether this system of records

contains information about them should contact the system manager, the

OPM regional office servicing the State where they are employed, or

their employing agency's personnel office. Individuals must furnish the

following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. If known, the title, time, and/or place of the research study in

which the individual participated.

d. Social security number.

e. Signature.

Record access procedure:

Specific materials in this system have been exempted from Privacy

Act provisions at 5 U.S.C. 552a(d), regarding access to records. The

section of this notice titled ``Systems Exempted from Certain

Provisions of the Act'' indicates the kinds of material exempted and

the reasons for exempting them from access. Individuals wishing to

request access to non-exempt records should contact the appropriate

office listed in the Notification Procedure section. Individuals must

furnish the following information for their records to be located and

identified:

a. Full name.

b. Date of birth.

c. If known, the title, time, and/or place of the research study in

which the individual participated.

d. Social security number.

e. Signature.

Individuals requesting access must also comply with the Office's

Privacy Act regulations on verification of identity and access to

records (5 CFR part 297).

Contesting record procedure:

Specific materials in this system have been exempted from Privacy

Act provisions at 5 U.S.C. 552a(d), regarding amendment of records. The

section of this notice titled ``Systems Exempted from Certain

Provisions of the Act'' indicates the kinds of materials exempted and

the reasons for exempting them from amendment. Individuals wishing to

request amendment of any non-exempt records should contact the

appropriate office listed in the Notification Procedure section.

Individuals must furnish the following information for their records to

be located and identified:

a. Full name.

b. Date of birth.

c. If known, the title, time, and/or place of the research study in

which the individual participated.

d. Social security number.

e. Signature.

Individuals requesting amendment must also comply with the Office's

Privacy Act regulations on verification of identity and amendment of

records (5 CFR part 297).

Record source categories:

Individual applicants and employees; supervisors; assessment center

assessors; and agency or Office personnel files and records (e.g.,

race, sex, national origin, and disability status data from OPM/GOVT-1

and OPM/GOVT-7 systems of records).

Systems exempted from certain provisions of the Act:

This system contains testing and examination materials that are

used solely to determine individual qualifications for appointment or

promotion in the Federal service. The Privacy Act, at 5 U.S.C.

552a(k)(6), permits an agency to exempt all such testing and

examination material and information from certain provisions of the

Act, when the disclosure of the material would compromise the

objectivity or fairness of the testing or examination process. The

Office has claimed exemptions from the requirements of 5 U.S.C.

552a(d), which relates to access to and amendment of records.

This system contains records required to be maintained and used

solely for statistical purposes. The Privacy Act, at 5 U.S.C.

552a(k)(4), permits an agency to exempt all such statistical records

from certain provisions of the Act, when the disclosure of the material

would compromise the objectivity and fairness of these records. The

Office has claimed exemptions from the requirements of 5 U.S.C.

552a(d), which relates to access to and amendment of records.

The specific materials exempted include, but are not limited to,

the following:

a. Answer keys.

b. Assessment center and interview exercises.

c. Assessment center and interview exercise reports.

d. Assessor guidance material.

e. Assessment center observation reports.

f. Assessment center and interview summary reports.

g. Other applicant appraisal methods, such as performance tests,

work samples and simulations, miniature training and evaluation

exercises, interviews, and reports.

h. Item analyses and similar data that contain test keys.

i. Ratings given for validating examinations.

j. Rating schedules, including crediting plans and scoring formulas

for other selection procedures.

k. Ratings sheets.

l. Test booklets, including the written instructions for their

preparation.

m. Test item files.

n. Test answer sheets.

o. Those portions of research and development files that could

specifically reveal the contents of the above exempt documents.

p. Performance appraisals for research purposes.

OPM/GOVT-7

System name:

Applicant Race, Sex, National Origin, and Disability Status

Records.

[[Page 36934]]

System location:

Records in this system may be located in the following offices:

a. Director Office of Personnel Resources and Development,

Employment Service, Office of Personnel Management, 1900 E Street, NW.,

Washington, DC 20415.

b. Office of Diversity, Employment Service, Office of Personnel

Management, 1900 E Street, NW., Washington, DC 20415.

c. OPM's Service Centers, and any register-holding offices under

the jurisdiction of the Service Center.

Categories of individuals covered by the system:

Current and former Federal employees and individuals who have

applied for Federal employment, including--

a. Applicants for examinations administered either by the Office or

by employing agencies.

b. Applicants on registers or in inventories by the Office and

subject to its regulations.

c. Applicants for positions in agencies having direct hiring

authority and using their own examining procedures in compliance with

the Office regulations.

d. Applicants whose records are retained in an agency's Equal

Opportunity Recruitment file (including any file an agency maintains on

current employees from under-represented groups).

e. Applicants (including current and former Federal employees) who

apply for vacancies announced under an agency's merit promotion plan.

Categories of records in the system:

The records include the individual's names; social security number;

date of birth; statement of major field of study; type of current or

former Federal employment status (e.g., career or temporary);

applications showing work and education experience; and race, sex,

national origin, and disability status data.

Note--The race and national origin information in this system is

obtained by three alternative methods: (1) Use of an agency's OMB

approved form on which individuals identify themselves as to race

and national origin;

(2) by visual observation (race) or knowledge of an individual's

background (national origin); or (3) at the agency's option, from

the OPM/GOVT-1 system in the case of applicants who are current

Federal employees. Disability status is obtained by use of Standard

Form 256, ``Self Identification of Medical Disability,'' which

allows for a description by self-identification of the handicap.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 7201, Sections 4A, 4B, 15A(1) and (2), 15B(11), and

15D(11); Uniform Guidelines on Employee Selection Procedures (1978); 43

FR 38297 et seq. (August 25, 1978); 29 CFR 720.301; and 29 CFR

1613.301.

Purpose(s):

These records are used by OPM and agencies to--

a. Evaluate personnel/organizational measurement and selection

methods.

b. Implement and evaluate agency affirmative employment programs.

c. Implement and evaluate agency Federal Equal Opportunity

Recruitment Programs (including establishment of minority recruitment

files).

d. Enable the Office to meet its responsibility to assess an

agency's implementation of the Federal Equal Opportunity Recruitment

Program.

e. Determine adverse impact in the selection process as required by

the Uniform Guidelines cited in the Authority section above. (See also

``Questions and Answers,'' on those Guidelines published at 44 FR

11996, March 2, 1979.)

f. Enable reports to be prepared regarding breakdowns by race, sex,

and national origin of applicants (by exams taken, and on the selection

of such applicants for employment).

g. To locate individuals for personnel research.

Note 1.--These data are maintained under conditions that ensure

that the individual's identification as to race, sex, national

origin, or disability status does not accompany that individual's

application nor is otherwise made known when the individual is under

consideration by a selecting official.

Routine uses of records maintained in the system, including categories

of users and the purposes of such uses:

a. To disclose information to the Equal Employment Opportunity

Commission (EEOC), in response to its request for use in the conduct of

an examination of an agency's compliance with affirmative action plan

instructions and the Uniform Guidelines on Employee Selection

Procedures (1978), or other requirements imposed on agencies under EEOC

authorities in connection with agency Equal Employment Opportunity

programs.

b. To disclose information to the Merit Systems Protection Board or

the Office of the Special Counsel in connection with the processing of

appeals, special studies relating to the civil service and other merit

systems in the executive branch, investigations into allegations of

prohibited personnel practices, and such other functions; e.g., as

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

c. By the Office or employing agency maintaining the records to

locate individuals for personnel research or survey response and in the

production of summary descriptive statistics and analytical studies in

support of the function for which the records are collected and

maintained, or for related workforce studies. While published

statistics and studies do not contain individual identifiers, in some

instances the selection of elements of data included in the study may

be structured in such a way as to make the data individually

identifiable by inference.

d. To disclose information to a Federal agency in response to its

request for use in its Federal Equal Opportunity Recruitment Program to

the extent that the information is relevant and necessary to the

agency's efforts in identifying possible sources for minority

recruitment.

e. To provide information to a congressional office from the record

of an individual in response to an inquiry from the congressional

office made at the request of that individual.

f. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

party to a judicial or administrative proceeding.

g. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, where the agency determines that litigation

is likely to affect the agency or any of its components, is a party to

litigation or has an interest in such litigation, and the use of such

records by the Department of Justice or the agency is deemed by the

agency to be relevant and necessary to the litigation, provided,

however, that in each case it has been determined that the disclosure

is compatible with the purpose for which the records were collected.

h. To disclose, in response to a request for discovery or for

appearance of a witness, information that is relevant

[[Page 36935]]

to the subject matter involved in a pending judicial or administrative

proceeding.

i. To disclose information to contractors, grantees, or volunteers

performing or working on a contract, service, grant cooperative

agreement, or job for the Federal Government.

Policies and practices for storing, retrieving, safeguarding, and

retaining and disposing of records in the system:

Storage:

These records are maintained in file folders and on magnetic tape

and disks.

Retrievability:

Records are retrieved by the name and social security number of the

individuals on whom they are maintained.

Safeguards:

Records are retained in locked metal filing cabinets in a secured

room or in a computerized system accessible by confidential passwords

issued only to specific personnel.

Retention and disposal:

Records are generally retained for 2 years, except when needed to

process applications or to prepare adverse impact and related reports,

or for as long as an application is still under consideration for

selection purposes. When records are needed in the course of an

administrative procedure or litigation,they may be maintained until the

administrative procedure or litigation is completed. Manual records are

shredded or burned and magnetic tapes and disks are erased.

Note 2--When an agency retains an automated version of any of

the records in this system, maintenance of that record beyond the

above retention schedules is permitted for historical or statistical

analysis, but only so long as the record is not used in a

determination directly affecting the individual about whom the

record pertains after the prescribed destruction date.

System manager(s) and address:

Director, Office of Personnel Resources and Development, Employment

Service, Office of Personnel Management, 1900 E Street, NW.,

Washington, DC 20415.

Notification procedure:

Those individuals wishing to inquire if this system contains

information about them should contact the system manager; OPM's Service

Centers covering the locations where the application for Federal

employment was filed; or the personnel, Equal Employment Opportunity,

or Equal Employment Opportunity Recruitment office or other designated

office where they took an exam, filed an application, or where they are

employed. Individuals must furnish the following information for their

records to be located and identified:

a. Name.

b. Social security number.

c. Title of examination, position, or vacancy announcement for

which they filed.

d. The OPM or employing agency office where they are employed or

submitted the information.

e. Signature.

Record access procedure:

Individuals wishing to request access to records about themselves

should contact the appropriate office shown in the Notification

Procedure section. Individuals must furnish the following information

for their records to be located and identified:

a. Name.

b. Social security number.

c. Title of examination, position, or vacancy announcement for

which they filed.

d. The OPM or employing agency office where they are employed or

submitted the information.

e. Signature.

An individual requesting access must also follow OPM's Privacy Act

regulations on verification of identity and access to records (5 CFR

part 297).

Contesting record procedure:

Individuals wishing to request amendment of their records should

contact the appropriate office shown in the Notification Procedure

section. Individuals must furnish the following information for their

records to be located and identified.

a. Name.

b. Social security number.

c. Title of examination, position, or vacancy announcement for

which they filed.

d. The OPM or employing agency office where they are employed or

submitted the information.

e. Signature.

An individual requesting amendment must also follow OPM's Privacy

Act regulations on verification of identity and amendment of records (5

CFR part 297).

Reocrd source categories:

Information is provided by the individual to whom the record

pertains, on forms approved by the Office of Management and Budget or

is obtained directly from other agency or OPM records (e.g., race, sex,

national origin, and disability status data may be obtained from the

OPM/GOVT-1, General Personnel Records system).

OPM/GOVT-8 [Reserved]

OPM/GOVT-9

System name:

File on Position Classification Appeals, Job Grading Appeals, and

Retained Grade or Pay Appeals.

System location:

These records are located at the Office of Personnel Management,

1900 E Street NW., Washington, DC 20415, OPM Oversight Division

Offices, agency personnel offices (or other designated offices), and

Federal records centers.

Categories of individuals covered by the system:

a. Current and former Federal employees who have filed a position

classification appeal or a job grading appeal with a U.S. Office of

Personnel Management Oversight Division Office, or with their agency.

b. Current and former Federal employees who have filed a retained

grade or pay appeal with a U.S. Office of Personnel Management

Oversight Division Office.

Categories of records in the system:

This system of records contains information or documents relating

to the processing and adjudication of a position classification appeal,

job grading appeal, or retained grade or pay appeal. The records may

include information and documents regarding a personnel action of the

agency involved and the decision or determination rendered by an agency

regarding the classifying or grading of a position or whether an

employee is to remain in a retained grade or pay category. This system

may also include transcripts of agency hearings and statements from

agency employees.

Note 1.--This system notice also covers agency files created

when: (a) An employee appeals a position classification or job

grading decision to OPM or within the agency regardless of whether

that agency appeal decision is further appealed to OPM; and (B) an

employee files a retained grade or pay appeal with OPM.

Authority for maintenance of the system

Includes the following with an revisions or amendments:

5 U.S.C. 5112, 5115, 5346, and 5366.

Purposes:

These records are primarily used to document the processing and

adjudication of a position classification appeal, job grading appeal,

or retained grade or pay appeal. Internally, OPM may use these records

to locate individuals for personnel research.

[[Page 36936]]

Routine uses of records maintained in the system, including categories

of users and the purpose of such uses:

These records and information in these records may be used:

a. To disclose pertinent information to the appropriate Federal,

State, or local government agency responsible for investigating,

prosecuting, enforcing, or implementing a statute, rule, regulation, or

order, when the disclosing agency becomes aware of an indication of a

violation or potential violation of civil or criminal law or

regulation.

b. To disclose information to the Office of Management and Budget

at any stage in the legislative coordination and clearance process in

connection with private relief legislation as set forth in OMB Circular

No. A-19.

c. To provide information to a congressional office from the record

of an individual in response to an iniquiry from that congressional

office made at the request of that individual.

d. To disclose information to any source from which additional

information is requested in the course of adjudicating a position

classification appeal, job grading appeal, or retained grade or pay

appeal to the extent necessary to identify the individual, inform the

source of the purpose(s) of the request, and identify the type of

information requested.

e. To disclose information to a Federal agency, in response to its

request, in connection with the hiring, retaining or assigning of an

employee, issuing a security clearance, conducting a security or

suitability investigation of an individual, and classifying positions,

to the extent that the information is relevant and necessary to the

requesting agency's decision on the matter.

f. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency, when the Government is

a party to the judicial or administrative proceeding.

g. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, or other administrative

body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, where the agency determines that litigation

is likely to affect the agency or any of its components, is a party to

litigation or has an interest in such litigation, and the use of such

records by the Department of Justice or the agency is deemed by the

agency to be relevant and necessary to the litigation, provided,

however, that in each case it has been determined that the disclosure

is compatible with the purpose for which the records were collected.

h. By the Office or an agency in the production of summary

descriptive statistics and analytical studies in support of the

function for which the records are collected and maintained, or for

related workforce studies. While published statistics and studies do

not contain individual identifiers, in some instances the selection of

elements of data included in the study may be structured in such a way

as to make the data individually identifiable by inference.

i. By the National Archives and Records Administration in records

management inspections and its role as Archivist.

j. To disclose, in response to a request for discovery or for

appearance of a witness, information that is relevant to the subject

matter involved in a pending judicial or administrative proceeding.

k. To disclose information to the Merit Systems Protection Board or

the Office of the Special Counsel in connection with appeals, special

studies of the civil service and other merit systems, review of Office

rules and regulations, investigations of alleged or possible prohibited

personnel practices, and such other functions; e.g., as promulgated in

5 U.S.C. 1205 and 1206, or as may be authorized by law.

l. To disclose information to the Equal Employment Opportunity

Commission when requested in connection with investigations into

alleged or possible discrimination practices in the Federal sector,

examination of Federal affirmative employment programs, compliance by

Federal agencies with the Uniform Guidelines on Employee Selection

Procedures, or other functions vested in the Commission, and to

otherwise ensure compliance with the provisions of 5 U.S.C. 7201.

m. To disclose information to the Federal Labor Relations Authority

or its General Counsel when requested in connection with investigations

of allegations of unfair labor practices or matters before the Federal

Service Impasses Panel.

n. To disclose information to contractors, grantees, or volunteers

performing or working on a contract, service, grant, cooperative

agreement, or job for the Federal Government.

Policies and practices for storage, retrieval, safeguards, and

retention and disposal of records in the system:

Storage:

These records are maintained in file folders and binders and on

index cards, magnetic tape, disks, and microfiche.

Retrieval:

These records are retrieved by the subject's name, and the name of

the employing agency of the individual on whom the record is

maintained.

Safeguards:

These records are located in lockable metal filing cabinets or

automated media in a secured room, with access limited to those persons

whose official duties require and such access.

Retention and disposal:

Records related to position classification appeal, job grading

appeal, and retained grade or pay appeal files are maintained for 7

years after closing action on the case. Records are destroyed by

shredding, burning, or erasing as appropriate.

System manager(s) and address:

Assistant Director for Merit Systems Oversight, U.S. Office of

Personnel Management, 1900 E Street NW., Washington, DC 20415.

Notification procedure:

Individuals wishing to inquire whether this system of records

contains information about them should--

a. For records pertaining to retained grade or pay appeals, contact

the system manager or the appropriate OPM Oversight Division Office.

b. For records pertaining to a position classification appeal or

job grading appeal, where the appeal was made only to OPM, contact the

system manager or the OPM Oversight Division Office, as appropriate.

c. For records pertaining to a position classification appeal or a

job grading appeal filed with both the agency and OPM, contact the

agency personnel officer, other designated officer, or the system

manager, or the OPM Oversight Division Office, as appropriate.

Individuals must furnish the following information for their

records to be located and identified:

a. Full name.

b. Date of birth.

c. Agency in which employed when the appeal was filed and the

approximate date of the closing of the case.

d. Kind of action (e.g., position classification appeal, job

grading appeal, or retained grade or pay appeal).

[[Page 36937]]

Record access procedure:

Individuals who have filed a position classification appeal, job

grading appeal, or a retained grade or pay appeal, must be provided

access to the record. However, after the appeal has been closed, an

individual may request access to the official copy of the records by

writing the official indicated in the Notification Procedure section.

Individuals must furnish the following information for their records to

be located and identified:

a. Full name.

b. Date of birth.

c. Agency in which employed when appeal was filed and the

approximate date of the closing of the case.

d. Kind of action (e.g., position classification appeal, job

grading appeal, or retained grade or pay appeal).

Individuals requesting access must also follow OPM's Privacy Act

regulations on verification of identity and access to records

(5 CFR part 297).

Contesting record procedure:

Review of requests from individuals seeking amendment of their

records that have previously been or could have been the subject of a

judicial or quasi-judicial action will be limited in scope. Review of

amendment requests of these records will be restricted to determining

if the record accurately documents the action of the agency or

administrative body ruling on the case, and will not include a review

of the merits of the action, determination, or finding. Individuals

wishing to request an amendment to their records to correct factual

errors should contact the appropriate official indicated in the

Notification Procedure section. Individuals must furnish the following

information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Agency in which employed when the appeal was filed and the

approximate date of the closing of the case.

d. Kind of action (e.g., position classification appeal, job

grading appeal, or retained grade or pay appeal).

Individuals requesting amendment of their records must also follow

OPM's Privacy Act regulations on verification of identity and amendment

of records (5 CFR part 297).

Record source categories:

a. Individual to whom the record pertains.

b. Agency and/or OPM records relating to the action.

c. Statements from employees or testimony of witnesses.

d. Transcript of hearings.

OPM/GOVT-10

System name:

Employee Medical File System Records.

System location:

a. For current employees, records are located in agency medical,

personnel, dispensary, health, safety, or other designated offices

within the agency, or contractors performing a medical function for the

agency.

b. For former employees, most records will be located in an

Employee Medical Folder (EMF) stored at the National Personnel Records

Center operated by the National Archives and Records Administration

(NARA). In some cases, agencies may retain for a limited time (e.g., up

to 3 years) some records on former employees.

Note 1.--The records in this system of records are ``owned'' by

the Office of Personnel Management (Office) and should be provided

to those Office employees who have an official need or use for those

records. Therefore, if an employing agency is asked by an Office

employee to access the records within this system, such a request

should be honored.

Categories of individuals covered by the system:

Current and former Federal civilian employees as defined in 5

U.S.C. 2105.

Categories of records in the system:

Records maintained in this system include--

a. Medical records, forms, and reports completed or obtained when

an individual applies for a Federal job and is subsequently employed;

b. Medical records, forms and reports completed during employment

as a condition of employment, either by the employing agency or by

another agency, State or local government entity, or a private sector

entity under contract to the employing agency;

c. Records and pertaining and resulting from the testing of the

employee for use of illegal drugs under Executive Order 12564. Such

records may be retained by the agency (e.g., by the agency Medical

Review Official) or by a contractor laboratory. This includes records

of negative results, confirmed or unconfirmed positive test results,

and documents related to the reasons for testing or other aspects of

test results.

d. Reports of on-the-job injuries and medical records, forms, and

reports generated as a result of the filing of a claim for Workers'

Compensation, whether the claim is accepted or not. (The official

compensation claim file is not covered by this system; rather, it is

part of the Department of Labor's Office of Workers' Compensation

Program (OWCP) system of records.)

e. All other medical records, forms, and reports created on an

employee during his/her period of employment, including any retained on

a temporary basis (e.g., those designated to be retained only during

the period of service with a given agency) and those designated for

long-term retention (i.e., those retained for the entire duration of

Federal service and for some period of time after).

Note 2.--Records maintained by an agency dispensary are included

in this system only when they are the result of a condition of

employment or related to an on-the-job occurrence.

Note 3.--Records pertaining to employee drug or alcohol abuse

counseling or treatment, and those pertaining to other employee

counseling programs conducted under Health Service Program

established pursuant to 5 U.S.C. chapter 79, are not part of this

system of records.

Note 4.--Only Routine Use ``u'' identified for this system of

records is applicable to records relating to drug testing under

Executive Order 12564. Further, such records shall be disclosed only

to a very limited number of officials within the agency, generally

only to the agency Medical Review Official (MRO), the administrator

of the agency Employee Assistance Program, and any supervisory or

management official within the employee's agency having authority to

take the adverse personnel action against the employee.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

Executive Orders 12107, 12196, and 12564 and 5 U.S.C. chapters 11,

31, 33, 43, 61, 63, and 83.

Purpose(s):

Records in this system of records are maintained for a variety of

purposes, which include the following:

a. To ensure that records required to be retained on a long-term

basis to meet the mandates of law, Executive order, or regulations

(e.g., the Department of Labor's Occupational Safety and Health

Administration (OSHA) and OWCP regulations), are so maintained.

b. To provide data necessary for proper medical evaluations and

diagnoses, to ensure that proper treatment is administered, and to

maintain continuity of medical care.

c. To provide an accurate medical history of the total health care

and medical treatment received by the individual as well as job and/or

hazard exposure documentation and health monitoring in relation to

health status and claims of the individual.

[[Page 36938]]

d. To enable the planning for further care of the patient.

e. To provide a record of communications among members of the

health care team who contribute to the patient's care.

f. To provide a legal document describing the health care

administered and any exposure incident.

g. To provide a method for evaluating quality of health care

rendered and job-health-protection including engineering protection

provided, protective equipment worn, workplace monitoring, and medical

exam monitoring required by OSHA or by good practice.

h. To ensure that all relevant, necessary, accurate, and timely

data are available to support any medically-related employment

decisions affecting the subject of the records (e.g., in connection

with fitness-for-duty and disability retirement decisions).

i. To document claims filed with and the decisions reached by the

OWCP and the individual's possible reemployment rights under statutes

governing that program.

j. To document employee's reporting of on-the-job injuries or

unhealthy or unsafe working conditions, including the reporting of such

conditions to the OSHA and actions taken by that agency or by the

employing agency.

k. To ensure proper and accurate operation of the agency's employee

drug testing program under Executive Order 12564.

Routine uses of records maintained in the system, including categories

of users and the purpose of such uses:

Note 5.--With the exception of Routine Use ``u,'' none of the

other Routine Uses identified for this system of records are

applicable to records relating to drug testing under Executive Order

12564. Further, such records shall be disclosed only to a very

limited number of officials within the agency, generally only to the

agency Medical Review Official (MRO), the administrator of the

agency Employee Assistance Program, and the management official

empowered to recommend or take adverse action affecting the

individual.

These records and information in these records may be used--

a. To disclose information to the Department of Labor, Department

of Veterans Affairs, Social Security Administration, Federal Retirement

Thrift Investment Board, or a national, State, or local social security

type agency, when necessary to adjudicate a claim (filed by or on

behalf of the individual) under a retirement, insurance, or health

benefit program.

b. To disclose information to a Federal, State, or local agency to

the extent necessary to comply with laws governing reporting of

communicable disease.

c. To disclose information to another Federal agency, to a court,

or a party in litigation before a court or in an administrative

proceeding being conducted by a Federal agency when the Government is a

party to the judicial or administrative proceeding.

d. To disclose information to the Department of Justice, or in a

proceeding before a court, adjudicative body, other administrative body

before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity

where the Department of Justice or the agency has agreed to represent

the employee; or

4. The United States, where the agency determines that litigation

is likely to affect the agency or any of its components, is a party to

litigation or has an interest in such litigation, and the use of such

records by the Department of Justice or the agency is deemed by the

agency to be relevant and necessary to the litigation, provided,

however, that in each case it has been determined that the disclosure

is compatible with the purpose for which the records were collected.

e. To disclose in response to a request for discovery or for

appearance of a witness, information that is relevant to the subject

matter involved in a pending judicial or administrative proceeding.

f. To disclose pertinent information to the appropriate Federal,

State, or local agency responsible for investigating, prosecuting,

enforcing, or implementing a statute, rule, regulation, or order when

the disclosing agency becomes aware of an indication of a violation or

potential violation of civil or criminal law or regulation.

g. To disclose information to the Office of Management and Budget

at any stage in the legislative coordination and clearance process in

connection with private relief legislation as set forth in OMB Circular

No. A-19.

h. To disclose information to a congressional office from the

record of an individual in response to an inquiry from the

congressional office made at the request of that individual.

i. To disclose information to the Merit System Protection Board or

the Office of the Special Counsel, the Federal Labor Relations

Authority and its General Counsel, the Equal Employment Opportunity

Commission, arbitrators, and hearing examiners to the extent necessary

to carry out their authorized duties.

j. To disclose information to survey team members from the Joint

Commission on Accreditation of Hospitals (JCAH) when requested in

connection with an accreditation review, but only to the extent that

the information is relevant and necessary to meet the JCAH standards.

k. To disclose information to the National Archives and Records

Administration in records management inspections and its role as

Archivist.

l. To disclose information to health insurance carriers contracting

with the Office to provide a health benefits plan under the Federal

Employees Health Benefits Program information necessary to verify

eligibility for payment of a claim for health benefits.

m. By the agency maintaining or responsible for generating the

records to locate individuals for health research or survey response

and in the production of summary descriptive statistics and analytical

studies (e.g., epidemiological studies) in support of the function for

which the records are collected and maintained. While published

statistics and studies do not contain individual identifiers, in some

instances the selection of elements of data included in the study might

be structured in such a way as to make the data individually

identifiable by inference.

n. To disclose information to the Office of Federal Employees Group

Life Insurance or Federal Retirement Thrift Investment Board that is

relevant and necessary to adjudicate claims.

o. To disclose information, when an individual to whom a record

pertains is mentally incompetent or under other legal disability, to

any person who is responsible for the care of the individual, to the

extent necessary.

p. To disclose to the agency-appointed representative of an

employee, all notices, determinations, decisions, or other written

communications issued to the employee, in connection with an

examination ordered by the agency under--

(1) Medical evaluation (formerly Fitness for Duty) examinations

procedures; or

(2) Agency-filed disability retirement procedures.

q. To disclose to a requesting agency, organization, or individual

the home address and other information concerning those individuals who

it is reasonably believed might have contracted an illness or been

exposed to or suffered from a health hazard while employed in the

Federal workforce.

[[Page 36939]]

r. To disclose information to a Federal agency, in response to its

request or at the initiation of the agency maintaining the records, in

connection with the retention of an employee, the issuance of a

security clearance, the conducting of a suitability or security

investigation of an individual, the classifying of jobs, the letting of

a contract, or the issuance of a license, grant, or other benefit by

the requesting agency; or the lawful, statutory, administrative, or

investigative purpose of the agency, to the extent that the information

is relevant and necessary to the requesting agency's decision on the

matter.

s. To disclose to any Federal, State, or local government agency,

in response to its request or at the initiation of the agency

maintaining the records, information relevant and necessary to the

lawful, statutory, administrative, or investigatory purpose of that

agency as it relates to the conduct of job related epidemiological

research or the insurance of compliance with Federal, State, or local

government laws on health and safety in the work environment.

t. To disclose to officials of labor organizations recognized under

5 U.S.C. chapter 71, analyses using exposure or medical records and

employee exposure records, in accordance with the records access rules

of the Department of Labor's OSHA, and subject to the limitations at 29

CFR 1910.20(e)(2)(iii)(B).

u. To disclose the results of a drug test of a Federal employee

pursuant to an order of a court of competent jurisdiction where

required by the United States Government to defend against any

challenge against any adverse personnel action.

v. To disclose information to contractors, grantees, or volunteers

performing or working on a contract, service, grant, cooperative

agreement or job for the Federal Government.

Policies and practices of storing, retrieving, safeguarding, and

retaining and disposing of records in the system:

Storage:

Records are stored in file folders, on microfiche, in electronic

record systems, and on file cards, x-rays, or other medical reports and

forms.

Retrievability:

Records are retrieved by the employee's name, date of birth, social

security number, or any combination of those identifiers.

Safeguards:

Records are stored in locked file cabinets or locked rooms.

Electronic records are protected by restricted access procedures and

audit trails. Access to records is strictly limited to agency or

contractor officials with a bona need for the records.

Retention and disposal:

The EMF is maintained for the period of the employee's service in

the agency and is then transferred to the National Personnel Records

Center for storage, or as appropriate, to the next employing Federal

agency. Other medical records are either retained at the agency for

various lengths of time in accordance with the National Archives and

Records Administration's records schedules or destroyed when they have

served their purpose or when the employee leaves the agency. Within 30

days after the individual separates from the Federal service, the EMF

is sent to the National Personnel Records Center for storage.

Destruction of the EMF is in accordance with General Records Schedule-

1(21). Records arising in connection with employee drug testing under

Executive Order 12564 are generally retained for up to 3 years. Records

are destroyed by shredding, burning, or by erasing the disk.

System manager(s) and address:

a. Assistant Director for Workforce Information, Human Resources

Systems Service, U.S. Office of Personnel Management, 1900 E Street,

NW., Washington, DC 20415.

b. For current Federal employees, OPM has delegated to the

employing agency the Privacy Act responsibilities concerning access,

amendment, and disclosure of the records within this system notice.

Notification procedure:

Individuals wishing to inquire whether this system of records

contains records on them should follow the appropriate procedure listed

below.

a. Current Employees. Current employees should contact their

employing agency's personnel, dispensary, health, safety, medical, or

other designated office responsible for maintaining the records, as

identified in the agency's internal issuance covering this system.

Individuals must furnish such identifying information as required by

the agency for their records to be located and identified.

b. Former employees. Former employees should contact their former

agency's personnel, dispensary, health, safety, medical, or other

designated office responsible for maintaining the records, as

identified in the agency's internal issuance covering this system.

Additionally, for access to their EMF, they should submit a request to:

OPF/EMF Access Unit, Office of Personnel Management, P.O. Box 18673,

St. Louis, Missouri 63118.

Requests to the Office's OPF/EMF Access Unit in St. Louis,

Missouri, must submit the following information for their records to be

located and identified:

1. Full name.

2. Date of birth.

3. Social security number.

4. Agency name, dates, and location of last Federal service.

5. Signature.

Records access procedure:

a. Current employees should contact the appropriate agency office

as indicated in the Notification Procedure section and furnish such

identifying information as required by the agency to locate and

identify the records sought.

b. Former employees should contact the appropriate agency office as

indicated in the Notification Procedure section and furnish such

identifying information as required by the agency to locate and

identify the records sought. Former employees may also submit a request

to the Office's OPF/EMF Access Unit in St. Louis, Missouri, for access

to their EMF. When submitting a request to the Office's OPF/EMF Access

Unit in St. Louis, Missouri, the individual must furnish the following

information to locate and identify the record sought:

1. Full name.

2. Date of birth.

3. Social security number.

4. Agency name, dates, and location of last Federal service.

5. Signature.

c. Individuals requesting access must also comply with the Office's

Privacy Act regulations on verification of identity and access to

records (5 CFR part 297).

Contesting records procedure:

Because medical practitioners often provide differing, but equally

valid medical judgments and opinions when making medical evaluations of

an individual's health status, review of requests from individuals

seeking amendment of their medical records, beyond correction and

updating of the records, will be limited to consideration of including

the differing opinion in the record rather than attempting to determine

whether the original opinion is accurate.

Individuals wishing to amend their records should--

a. For a current employee, contact the appropriate agency office

identified in the Notification Procedure section and furnish such

identifying information as

[[Page 36940]]

required by the agency to locate and identify the records to be

amended.

b. For a former employee, contact the appropriate agency office

identified in the Notification Procedure section and furnish such

identifying information as required by the agency to locate and

identify the record to be amended. Former employees may also submit a

request to amend records in their EMF to the system manager. When

submitting a request to the system manager, the individual must furnish

the following information to locate and identify the records to be

amended:

1. Full name.

2. Date of birth.

3. Social security number.

4. Agency name, dates, and location of last Federal service.

5. Signature.

c. Individuals seeking amendment of their records must also follow

the Office's Privacy Act regulations on verification of identity and

amendment of records (5 CFR part 297).

Records source categories:

Records in this system are obtained from--

a. The individual to whom the records pertain.

b. Agency employee health unit staff.

c. Federal and private sector medical practitioners and treatment

facilities.

d. Supervisors/managers and other agency officials.

e. Other agency records.

[FR Doc. 93-17425 Filed 7-12-96; 8:45 am]

BILLING CODE 6325-01-M