Sorn

Monday,
June 19, 2006

Part II

Office of Personnel
Management

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Privacy Act of 1974; Publication of Notice
of Systems of Records, a Proposed New
Routine Use, New Category of Records
and an Amendment of a Current
Category of Records; Notice

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35342

Federal Register / Vol. 71, No. 117 / Monday, June 19, 2006 / Notices

OFFICE OF PERSONNEL
MANAGEMENT
Privacy Act of 1974; Publication of
Notice of Systems of Records, a
Proposed New Routine Use, New
Category of Records and an
Amendment of a Current Category of
Records
Office of Personnel
Management.
ACTION: Notice; publication of the eight
Governmentwide systems of records
managed by the Office of Personnel
Management (OPM).

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AGENCY:

SUMMARY: This notice provides in one
issue of the Federal Register an accurate
and complete text of the Office of
Personnel Management’s eight
Governmentwide systems of records
notices most widely used by individuals
and Privacy Act officers. This notice
proposes to add a new Category of
Records and a new Routine Use to one
system of records and amends a
Category of Records in the same system.
This notice will also make
administrative changes to reflect
changes in the name and location of
system managers for all
Governmentwide systems of records.
We are amending a Category of Records,
adding a new Category of Records and
adding a new Routine Use in OPM’s
Governmentwide-1 system of records. In
addition, we are making needed
administrative changes necessitated by
changes in office titles of system
managers for all eight systems of records
that have occurred in the OPM’s
reorganization since the last publication
of these notices on April 27, 2000.
DATES: The notice with the
administrative (non-substantive)
changes are effective on June 19, 2006.
The amendment of one Category of
Records, the addition of a new Category
of Records and a new Routine Use will
become effective without further notice,
on July 31, 2006 unless otherwise
revised pursuant to comments received.
ADDRESSES: Written comments may be
delivered to: Deputy Associate Director,
Center for HR Systems Requirements
and Strategies , Room 6H31, U.S. Office
of Personnel Management, 1900 E
Street, NW., Washington, DC 20415.
FOR FURTHER INFORMATION CONTACT:
Mickey Trinite, Personnel Records
Management Specialist, Personnel
Systems Group, (202) 606–2016.
SUPPLEMENTARY INFORMATION: The Office
of Personnel Management (OPM) last
published its Governmentwide systems
notices on April 27, 2000. This notice
reflects revised internal designation of

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the system managers and their
respective offices in accordance with an
agencywide reorganization. In addition,
we propose to amend a Category of
Records ‘‘g’’, add a Category of Records
‘‘n’’ and a new Routine Use ‘‘oo’’, and
reinstate ‘‘Note 6’’ (which was
inadvertently deleted during the last
publication of this notice) to
Governmentwide-1 system of records.
These changes will not affect any
Privacy Act rights afforded individuals
who are the subject of such records.
The Enterprise Human Resources
Integration initiative (EHRI) is a new
Category of Records ‘‘n’’
(Governmentwide—1) OPM has
developed to conform with and support
the E-Government Act of 2002. This Act
provides the authority to expand the use
of internet and computer resources in
the delivery of Government services.
The Act authorizes the President’s
Management Agenda e-Government
initiatives, and endorses and requires
Federal agencies to support these
initiatives, including EHRI. EHRI will
improve the internal efficiency and
effectiveness of the Federal Government
by streamlining and automating the
exchange of Federal employee HR
information.
Category of Records ‘‘g’’ of
Governmentwide—1 is being amended
to more clearly identify data elements in
the Central Personnel Data File and
their sources.
A new Routine Use ‘‘oo’’ for
Governmentwide—1 is being proposed
to provide pertinent workforce
information to appropriate Federal
officials for use in national or homeland
security emergency/disaster response.
‘‘Note 6’’ is reinstated to clarify that
home addresses will generally not be
released to labor organizations from
Governmentwide—1 as it is not the
most accurate or up-to-date reposting of
this information. Instead, the
information should be released from an
accurate internal system.
The system report, as required by 5
U.S.C. 552a(r), has been submitted to
the Committee on Homeland Security
and 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.

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Dated: May 24, 2006.
Linda M. Springer,
Director.
OPM/GOVT–1
SYSTEM NAME:

General Personnel Records.
SYSTEM LOCATION:

Records on current Federal employees
are located at OPM and with Personnel
Officers, electronically maintained, or
are at other designated offices of the
local installation of the department or
agency that currently employs the
individual. When agencies determine
that duplicates of these records need to
be located in a second office, e.g., an
administrative office closer to where the
employee actually works, such copies
are covered by this system. Former
Federal employees’ Official Personnel
Folders (OPFs) are located at the
National Personnel Records Center,
National Archives and Records
Administration, 111 Winnebago Street,
St. Louis, Missouri 63118. Records not
considered long-term records, but which
may be retained in the OPF or elsewhere
during employment, and which are also
included in this system, may be retained
by agencies for a period of time after the
employee leaves service.
The use of the phrase ‘‘long-term’’ to
describe those records filed on the righthand-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 lefthand-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 (OPM) and must be provided to
those OPM employees who have an official
need or use for those records. Therefore, if an
employing agency is asked by an OPM
employee to access the records within this
system, such a request must be honored.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former Federal
employees as defined in 5 U.S.C. 2105.
(Volunteers, grantees, and contract
employees on whom the agency
maintains records may also be covered
by this system).
CATEGORIES OF RECORDS IN THE SYSTEM:

All categories of records may include
identifying information, such as
name(s), date of birth, home address,
mailing address, social security number,
and home telephone. This system
includes, but is not limited to, contents
of the OPF as specified in OPM’s

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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, OPM approval
of disability retirement applications,
retirement, and removals.
c. Records on participation in the
Federal Employees’ Group Life
Insurance Program and Federal
Employees Health Benefits Program.
d. Records relating to an
Intergovernmental Personnel Act
assignment or Federal-private sector
exchange program.
Note 2: Some of these records may also
become part of the OPM/CENTRAL–5,
Intergovernmental Personnel Act Assignment
Record system.

e. Records relating to participation in
an agency Federal Executive or SES
Candidate Development Program.

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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 Governmentsponsored 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,
pay, and performance information from
other OPM and agency systems of
records. A definitive list of CPDF data
elements is contained in OPM’s
Operating Manuals, The Guide to
Central Personnel Data File Reporting
Requirements and The Guide to
Personnel Data Standards.
h. Records on the Senior Executive
Service (SES) maintained by agencies
for use in making decisions affecting

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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.

Intelligence file that provide resources
to obtain career summaries, and the
electronic Official Personnel Folder
(eOPF)) 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 additional human
resources information such as training,
payroll and performance information
from other OPM and agencies systems of
records. A definitive list of EHRI data
elements is contained in OPM’s Guide
to Human Resources Reporting and The
Guide to Personnel Data Standards.

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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM
INCLUDES THE FOLLOWING WITH ANY REVISIONS
OR AMENDMENTS:

j. To the extent that the records listed
here are also maintained in an agency
electronic personnel or microform
records system, those versions of these
records are considered to be covered by
this system notice. Any additional
copies of these records (excluding
performance ratings of record and
conduct-related documents maintained
by first line supervisors and managers
covered by the OPM/GOVT–2 system)
maintained by agencies at field/
administrative offices remote from
where the original records exist are
considered part of this system.
Note 5: It is not the intent of OPM to limit
this system of records only to those records
physically within the OPF. Records may be
filed in other folders located in offices other
than where the OPF is located. Further, as
indicated in the records location section,
some of these records may be duplicated for
maintenance at a site closer to where the
employee works (e.g., in an administrative
office or supervisors work folder) and still be
covered by this system. In addition, a
working file that a supervisor or other agency
official is using that is derived from OPM/
GOVT–1 is covered by this system notice.
This system also includes working files
derived from this notice that management is
using in its personnel management capacity.

k. Records relating to designations for
lump sum death benefits.
l. Records relating to classified
information nondisclosure agreements.
m. Records relating to the Thrift
Savings Plan (TSP) concerning the
starting, changing, or stopping of
contributions to the TSP as well as the
how the individual wants the
investments to be made in the various
TSP Funds.
n. Records contained in the Enterprise
Human Resources Integration (EHRI)
data warehouse (including the Central
Employee Record, the Business

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

The OPF and other general personnel
records files are the official repository of
the records, reports of personnel
actions, and the documentation 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 agencies for the
OPM in accordance with OPM
regulations and instructions. They
provide the basic source of factual data
about a person’s Federal employment
while in the service and after his or her
separation. Records in this system have
various uses by agency personnel
offices, including screening
qualifications of employees;
determining status, eligibility, and
employee’s rights and benefits under
pertinent laws and regulations
governing Federal employment;
computing length of service; and other
information needed to provide
personnel services. These records and
their automated or microform
equivalents may also be used to locate
individuals for personnel research.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEMS, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records and information in
these records may be used—
a. To disclose information to
Government training facilities (Federal,
State, and local) and to non-Government
training facilities (private vendors of

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Federal Register / Vol. 71, No. 117 / Monday, June 19, 2006 / Notices

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 OPM 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 information necessary
to the Office of Federal Employees
Group Life Insurance 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 OPM 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

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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 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

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maintaining the records, information in
connection with the hiring of an
employee, the issuance of a security
clearance, the conducting of a security
or suitability investigation of an
individual, the classifying of jobs, the
letting of a contract, the issuance of a
license, grant, or other benefits by the
requesting agency, or the lawful
statutory, administrative, or
investigative purpose of the agency to
the extent that the information is
relevant and necessary to the requesting
agency’s decision.
n. To disclose information to the
Office of Management and Budget at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation as set forth in
OMB Circular No. A–19.
o. To provide information to a
congressional office from the record of
an individual in response to an inquiry
from that congressional office made at
the request of the individual.
p. To disclose information to another
Federal agency, to a court, or a party in
litigation before a court or in an
administrative proceeding being
conducted by a Federal agency, when
the Government is a party to the judicial
or administrative proceeding.
q. To disclose information to the
Department of Justice, or in a
proceeding before a court, adjudicative
body, or other administrative body
before which the agency is authorized to
appear, when:
1. The agency, or any component
thereof; or
2. Any employee of the agency in his
or her official capacity; or
3. Any employee of the agency in his
or her individual capacity where the
Department of Justice or the agency has
agreed to represent the employee; or
4. The United States, when the agency
determines that litigation is likely to
affect the agency or any of its
components, is a party to litigation or
has an interest in such litigation, and
the use of such records by the
Department of Justice or the agency is
deemed by the agency to be relevant and
necessary to the litigation provided,
however, that in each case it has been
determined that the disclosure is
compatible with the purpose for which
the records were collected.
r. By the National Archives and
Records Administration in records
management inspections and its role as
Archivist.
s. By the agency maintaining the
records or by the OPM to locate
individuals for personnel research or
survey response, and in the production
of summary descriptive statistics and
analytical studies in support of the

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Federal Register / Vol. 71, No. 117 / Monday, June 19, 2006 / Notices
function for which the records are
collected and maintained, or for related
workforce studies. While published
statistics and studies do not contain
individual identifiers, in some
instances, the selection of elements of
data included in the study may be
structured in such a way as to make the
data individually identifiable by
inference.
t. To provide an official of another
Federal agency information needed in
the performance of official duties
related to reconciling or reconstructing
data files, in support of the functions for
which the records were collected and
maintained.
u. When an individual to whom a
record pertains is mentally incompetent
or under other legal disability,
information in the individual’s record
may be disclosed to any person who is
responsible for the care of the
individual, to the extent necessary to
assure payment of benefits to which the
individual is entitled.
v. To disclose to the agency-appointed
representative of an employee all
notices, determinations, decisions, or
other written communications issued to
the employee in connection with an
examination ordered by the agency
under fitness-for-duty examination
procedures.
w. To disclose, in response to a
request for discovery or for appearance
of a witness, information that is relevant
to the subject matter involved in a
pending judicial or administrative
proceeding.
x. To disclose to a requesting agency,
organization, or individual the home
address and other relevant information
on those individuals who it reasonably
believed might have contracted an
illness or might have been exposed to or
suffered from a health hazard while
employed in the Federal workforce.
y. To disclose specific civil service
employment information required under
law by the Department of Defense on
individuals identified as members of the
Ready Reserve to assure continuous
mobilization readiness of Ready Reserve
units and members, and to identify
demographic characteristics of civil
service retirees for national emergency
mobilization purposes.
z. To disclose information to the
Department of Defense, National
Oceanic and Atmospheric
Administration, U.S. Public Health
Service, Department of Veterans Affairs,
and the U.S. Coast Guard needed to
effect any adjustments in retired or
retained pay required by the dual
compensation provisions of section
5532 of title 5, United States Code.

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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 OPM rules and
regulations, investigation of alleged or
possible prohibited personnel practices,
and such other functions promulgated
in 5 U.S.C. chapter 12, or as may be
authorized by law.
bb. To disclose information to the
Equal Employment Opportunity
Commission when requested in
connection with investigations of
alleged or possible discrimination
practices in the Federal sector,
examination of Federal affirmative
employment programs, compliance by
Federal agencies with the Uniform
Guidelines on Employee Selection
Procedures, or other functions vested in
the Commission.
cc. To disclose information to the
Federal Labor Relations Authority
(including its General Counsel) when
requested in connection with
investigation and resolution of
allegations of unfair labor practices, in
connection with the resolution of
exceptions to arbitrator’s awards when a
question of material fact is raised, to
investigate representation petitions and
to conduct or supervise representation
elections, and in connection with
matters before the Federal Service
Impasses Panel.
dd. To disclose to prospective nonFederal 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

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made only to the extent that the
information disclosed is relevant and
necessary for that purpose.
ff. To disclose information to any
member of an agency’s Performance
Review Board or other panel when the
member is not an official of the
employing agency; information would
then be used for approving or
recommending selection of candidates
for executive development or SES
candidate programs, issuing a
performance rating of record, issuing
performance awards, nominating for
meritorious and distinguished executive
ranks, and removal, reduction-in-grade,
and other personnel actions based on
performance.
gg. To disclose, either to the Federal
Acquisition Institute (FAI) or its agent,
information about Federal employees in
procurement occupations and other
occupations whose incumbents spend
the predominant amount of their work
hours on procurement tasks; provided
that the information shall only be used
for such purposes and under such
conditions as prescribed by the notice of
the Federal Acquisition Personnel
Information System as published in the
Federal Register of February 7, 1980 (45
FR 8399).
hh. To disclose relevant information
with personal identifiers of Federal
civilian employees whose records are
contained in the Central Personnel Data
File to authorized Federal agencies and
non-Federal entities for use in computer
matching. The matches will be
performed to help eliminate waste,
fraud, and abuse in Governmental
programs; to help identify individuals
who are potentially in violation of civil
or criminal law or regulation; and to
collect debts and overpayments owed to
Federal, State, or local governments and
their components. The information
disclosed may include, but is not
limited to, the name, social security
number, date of birth, sex, annualized
salary rate, service computation date of
basic active service, veteran’s
preference, retirement status,
occupational series, health plan code,
position occupied, work schedule (full
time, part time, or intermittent), agency
identifier, geographic location (duty
station location), standard metropolitan
service area, special program identifier,
and submitting office number of Federal
employees.
ii. To disclose information to Federal,
State, local, and professional licensing
boards, Boards of Medical Examiners, or
to the Federation of State Medical
Boards or a similar non-government
entity which maintains records
concerning individuals’ employment
histories or concerning the issuance,

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retention or revocation of licenses,
certifications or registration necessary to
practice an occupation, profession or
specialty, to obtain information relevant
to an Agency decision concerning the
hiring, retention, or termination of an
employee or to inform a Federal agency
or licensing boards or the appropriate
non-government entities about the
health care practices of a terminated,
resigned or retired health care employee
whose professional health care activity
so significantly failed to conform to
generally accepted standards of
professional medical practice as to raise
reasonable concern for the health and
safety of patients in the private sector or
from another Federal agency.
jj. To disclose information to
contractors, grantees, or volunteers
performing or working on a contract,
service, grant, cooperative agreement, or
job for the Federal Government.
kk. To disclose information to a
Federal, State, or local governmental
entity or agency (or its agent) when
necessary to locate individuals who are
owed money or property either by a
Federal, State, or local agency, or by a
financial or similar institution.
ll. To disclose to a spouse or
dependent child (or court-appointed
guardian thereof) of a Federal employee
enrolled in the Federal Employees
Health Benefits Program, upon request,
whether the employee has changed from
a self-and-family to a self-only health
benefits enrollment.
mm. To disclose information to the
Office of Child Support Enforcement,
Administration for Children and
Families, Department of Health and
Human Services, Federal Parent Locator
System and Federal Offset System for
use in locating individuals, verifying
social security numbers, and identifying
their incomes sources to establish
paternity, establish and modify orders of
support and for enforcement action.
nn. To disclose records on former
Panama Canal Commission employees
to the Republic of Panama for use in
employment matters.
oo. To disclose to appropriate Federal
officials pertinent workforce
information for use in national or
homeland security emergency/disaster
response.
POLICIES AND PRACTICES OF STORING,
RETRIEVING, SAFEGUARDING, AND RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

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STORAGE:

These records are maintained in file
folders, on lists and forms, microfilm or
microfiche, and in computer
processable storage media such as
personnel system databases and PDF
forms.

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RETRIEVABILITY:

These records are retrieved by various
combinations of name, agency, 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 are limited,
through use of user logins and
passwords, access codes, and entry logs,
to those whose official duties require
access. Computerized records systems
follow the National Institute of
Standards and Technology standards as
developed to comply with the Privacy
Act of 1974 (Pub. L. 93–579), Paperwork
Reduction Act of 1995 (Pub. L. 104–13),
Federal Information Security
Management Act of 2002 (Pub. L. 107–
347), and the Federal Information
Processing Standards 199, Standards for
Security Categorization of Federal
Information and Information Systems.
RETENTION AND DISPOSAL:

The OPF is maintained for the period
of the employee’s service in the agency
and is then transferred to the National
Personnel Records Center for storage or,
as appropriate, to the next employing
Federal agency. Other records are either
retained at the agency for various
lengths of time in accordance with the
National Archives and Records
Administration records schedules or
destroyed when they have served their
purpose or when the employee leaves
the agency.
a. Long-term records. The OPF is
maintained by the employing agency as
long as the individual is employed with
that agency.
Within 90 days after the individual
separates from the Federal service, the
OPF is sent to the National Personnel
Records Center for long-term storage. In
the case of administrative need, a retired
employee, or an employee who dies in
service, the OPF is sent to the Records
Center within 120 days.
Destruction of the OPF is in
accordance with General Records
Schedule–1 (GRS–1).
b. Other records. Other records are
retained for varying periods of time.
Generally they are maintained for a
minimum of 1 year or until the
employee transfers or separates.
c. Records contained on computer
processable media within the CPDF and
EHRI (and in agency’s automated
personnel records) may be retained
indefinitely as a basis for longitudinal

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work history statistical studies. After the
disposition date in GRS–1, such records
should not be used in making decisions
concerning employees.
SYSTEM MANAGER AND ADDRESS:

a. Deputy Associate Director, Center
for HR Systems Requirements and
Strategies, Room 6H31, 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
information about them should contact
the appropriate OPM or employing
agency office, as follows:
a. Current Federal employees should
contact the Personnel Officer or other
responsible official (as designated by the
employing agency), of the local agency
installation at which employed
regarding records in this system.
b. Former Federal employees who
want access to their Official Personnel
Folders should contact the National
Personnel Records Center (Civilian), 111
Winnebago Street, St. Louis, Missouri
63118, regarding the records in this
system. For other records covered by the
system notice, individuals should
contact their former employing agency.
Individuals must furnish the
following information for their records
to be located and identified:
a. Full name.
b. Date of birth.
c. Social security number.
d. Last employing agency (including
duty station) and approximate date(s) of
the employment (for former Federal
employees).
e. Signature.
RECORD ACCESS 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
employment (for former Federal
employees).
e. Signature.
Individuals requesting access must
also comply with the Office’s Privacy

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Act regulations on verification of
identity and access to records (5 CFR
part 297).
CONTESTING RECORD PROCEDURE:

Current employees wishing to request
amendment of their records should
contact their current agency. Former
employees should contact the system
manager. Individuals must furnish the
following information for their records
to be located and identified.
a. Full name(s).
b. Date of birth.
c. Social security number.
d. Last employing agency (including
duty station) and approximate date(s) of
employment (for former Federal
employees).
e. Signature.
Individuals requesting amendment
must also comply with the Office’s
Privacy Act regulations on verification
of identity and amendment of records (5
CFR part 297).
RECORD SOURCE CATEGORIES:

Information in this system of records
is provided by—
a. The individual on whom the record
is maintained.
b. Educational institutions.
c. Agency officials and other
individuals or entities.
d. Other sources of information for
long-term records maintained in an
employee’s OPF, in accordance with
Code of Federal Regulations part 293,
and OPM’s Operating Manual, ‘‘The
Guide to Personnel Recordkeeping.’’
OPM/GOVT–2
SYSTEM NAME:

Employee Performance File System
Records.

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SYSTEM LOCATION:

Records maintained in this system
may be located as follows:
a. In an Employee Performance File
(EPF) maintained in the agency office
responsible for maintenance of the
employee’s Official Personnel Folder
(OPF) or other agency-designated office.
This includes those instances where the
agency uses an envelope within the OPF
in lieu of a separate EPF folder.
b. In the EPF of Senior Executive
Service (SES) appointees where the
agency elects to have the file maintained
by the Performance Review Boards
required by 5 U.S.C. 4314(c)(1), or the
administrative office supporting the
Board.
c. In any supervisor/manager’s work
folder maintained in the office by the
employee’s immediate supervisor/
manager or, where agencies have
determined that records management is

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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 (OPM) 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 OPM 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.

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35347

f. Statements made (letter on or
appended to the performance rating
document) by the employee (e.g., a
statement of disagreement with the
rating or recommendation), in
accordance with agency performance
plans and implementing instructions,
regarding a rating given and any
recommendations made based on them.
Note 3: When a recommendation by a
supervisor/manager or a statement made by
the employee regarding the rating issued (or
a copy) becomes part of another
Governmentwide system or internal agency
file (e.g., an SF 52 when the action is effected
or when documents or statements of
disagreement are placed in a grievance file),
that document then becomes subject to that
system’s notice and appropriate OPM or
employing agency Privacy Act requirements,
respectively, for the system of records
covering that file.

g. Records created by Executive
Resource Boards regarding performance
of an individual in an executive
development program.
h. Records concerning performance
during the supervisory or managerial
probationary period, the SES
appointment probationary period, or the
employee’s initial period of probation
after appointment.
i. Notices of commendations,
recommendations for training, such as
an Individual Development Plan, and
advice and counseling records that are
based on work performance.
j. Copies of supervisory ratings used
in considering employees for promotion
or other position changes originated in
conjunction with agency merit
promotion programs when specifically
authorized for retention in the EPF or
work folder.
k. Performance-related material that
may be maintained in the work folder to
assist the supervisor/manager in
accurately assessing employee
performance. Such material may
include transcripts of employment and
training history, documentation of
special licenses, certificates, or
authorizations necessary in the
performance of the employee duties,
and other such records that agencies
determine to be appropriate for
retention in the work folder.
l. Standard Form 7B cards. (While the
use of the SF 7B Card system was
cancelled effective December 31, 1992,
this system notice will cover any of
those cards still in existence.)
Note 4: To the extent that performance
records covered by this system are
maintained in either an EPF, supervisor/
manager work folder, or an agency’s
electronic or microform record system, they
are considered covered under this system of
records. Further, when copies of records filed

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Federal Register / Vol. 71, No. 117 / Monday, June 19, 2006 / Notices

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:

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

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PURPOSE:

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 OPM
in connection with its personnel
management evaluation role in the
executive branch; and (5) to identify
individuals for personnel research.

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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

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relevant and necessary to the decision
on the matter.
g. To disclose, in response to a request
for discovery or for appearance of a
witness, information that is relevant to
the subject matter involved in a pending
judicial or administrative proceeding.
h. To disclose information to a
congressional office from the record or
an individual in response to an inquiry
from that congressional office made at
the request of the individual.
i. To disclose information to another
Federal agency, to a court, or a party in
litigation before a court or in an
administrative proceeding being
conducted by a Federal agency, when
the Government is a party to the judicial
or administrative proceeding.
j. To disclose information to the
Department of Justice, or in a
proceeding before a court, adjudicative
body, or other administrative body
before which the agency is authorized to
appear, when:
1. The agency, or any component
thereof; or
2. Any employee of the agency in his
or her official capacity; or
3. Any employee of the agency in his
or her individual capacity where the
Department of Justice or the agency has
agreed to represent the employee; or
4. The United States, when the agency
determines that litigation is likely to
affect the agency or any of its
components, is a party to litigation or
has an interest in such litigation, and
the use of such records by the
Department of Justice or the agency is
deemed by the agency to be relevant and
necessary to the litigation, provided,
however, that in each case it has been
determined that the disclosure is
compatible with the purpose for which
the records were collected.
k. By the National Archives and
Records Administration in records
management inspections and its role as
Archivist.
l. By the OPM or employing agency to
locate individuals for personnel
research or survey response and in
producing summary descriptive
statistics and analytical studies to
support the function for which the
records are collected and maintained, or
for related workforce studies. While
published statistics and studies do not
contain individual identifiers, in some
instances the selection of elements of
data included in the study may be
structured in such a way as to make the
data individually identifiable by
inference.
m. To disclose pertinent information
to the appropriate Federal, State, or
local government agency responsible for
investigating, prosecuting, enforcing, or

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Federal Register / Vol. 71, No. 117 / Monday, June 19, 2006 / Notices
implementing a statute, rule, regulation,
or order, where the agency maintaining
the record becomes aware of an
indication of a violation or potential
violation of civil or criminal law or
regulation.
n. To disclose information to any
member of an agency’s Performance
Review Board or other board or panel
when the member is not an official of
the employing agency. The information
would then be used for approving or
recommending performance awards,
nominating for meritorious and
distinguished executive ranks, and
removal, reduction-in-grade, and other
personnel actions based on
performance.
o. To disclose to Federal, State, local,
and professional licensing boards or
Boards of Medical Examiners, when
such records reflect on the
qualifications of individuals seeking to
be licensed.
p. To disclose to contractors, grantees,
or volunteers performing or working on
a contract, service, grant, cooperative
agreement, or job for the Federal
Government.
q. To disclose records on former
Panama Canal Commission employees
to the Republic of Panama for use in
employment matters.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, SAFEGUARDING, 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.

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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.

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a. Summary performance appraisals
(and related records as the agency
prescribes) on SES appointees are
retained for 5 years and ratings of record
on other employees for 4 years, except
as shown in paragraph b. below, and are
disposed of by shredding, burning,
erasing of disks, or in accordance with
agency procedures regarding destruction
of personnel records, including giving
them to the individual. When a non-SES
employee transfers to another agency or
leaves Federal employment, ratings of
record and subsequent ratings (4 years
old or less) are to be filed on the
temporary side of the OPF and
forwarded with the OPF.
b. Ratings of unacceptable
performance and related documents,
pursuant to 5 U.S.C. 4303(d), are
destroyed after the employee completes
1 year of acceptable performance from
the date of the proposed removal or
reduction-in-grade notice. (Destruction
to be no later than 30 days after the year
is up.)
c. When a career appointee in the SES
accepts a Presidential appointment
pursuant to 5 U.S.C. 3392(c), the
employee’s performance folder remains
active so long as the employee remains
employed under the Presidential
appointment and elects to have certain
provisions of 5 U.S.C. relating to the
Service apply.
d. When an incumbent of the SES
transfers to another position in the
Service, ratings and plans 5 years old or
less shall be forwarded to the gaining
agency with the individual’s OPF.
e. Some performance-related records
(e.g., documents maintained to assist
rating officials in appraising
performance or recommending remedial
actions or to show that the employee is
currently licensed or certified) may be
destroyed after 1 year.
f. Where any of these documents are
needed in connection with
administrative or negotiated grievance
procedures, or quasi-judicial or judicial
proceedings, they may be retained as
needed beyond the retention schedules
identified above.
g. Generally, agencies retain records
on former employees for no longer than
1 year after the employee leaves.
Note 5: When an agency retains an
electronic or microform version of any of the
above documents, retention of such records
longer than shown is permitted (except for
those records subject to 5 U.S.C. 4303(d)) for
agency use or for historical or statistical
analysis, but only so long as the record is not
used in a determination directly affecting the
individual about whom the record pertains
(after the manual record has been or should
have been destroyed).

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35349

SYSTEM MANAGER(S) AND ADDRESS:

a. Deputy Associate Director, Center
for HR Systems Requirements and
Strategies, Room 6H31, 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 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
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
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 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 OPM’s
Privacy Act regulations on verification
of identity and amendment of records (5
CFR part 297).

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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.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 3321, 4303, 7504, 7514, and
7543.
PURPOSE(S):

These records result from the
proposal, processing, and

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documentation of these actions taken
either by the OPM 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

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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 OPM to locate individuals
for personnel research or survey
response and in producing summary
descriptive statistics and analytical
studies in support of the function for
which the records are collected and
maintained, or for related workforce
studies. While published statistics and
studies do not contain individual
identifiers, in some instances the
selection of elements of data included in
the study may be structured in such a
way as to make the data individually
identifiable by inference.
j. To disclose, in response to a request
for discovery or for appearance of a
witness, information that is relevant to
the subject matter involved in a pending
judicial or administrative proceeding.
k. To disclose information to the
Merit Systems Protection Board or the
Office of the Special Counsel in
connection with appeals, special studies
of the civil service and other merit
systems, review of OPM 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.

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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 records are maintained in file
folders, in automated media, or on
microfiche or microfilm.
RETRIEVABILITY:

These records are retrieved by the
names and social security number of the
individuals on whom they are
maintained.
SAFEGUARDS:

These records are maintained in
locked metal filing cabinets or in
automated media to which only
authorized personnel have access.
RETENTION AND DISPOSAL:

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Records documenting an adverse
action, performance-based removal or
demotion action, or covered actions
against probationers are disposed of not
sooner than four years nor later than
seven years after the closing of the case
in accordance with each agency’s
records disposition manual. Disposal is
by shredding, or erasure of tapes (disks).
SYSTEM MANAGER AND ADDRESS:

Deputy Associate Director, Center for
HR Systems Requirements and
Strategies, U.S. Office of Personnel
Management, 1900 E Street, NW., Room
6H31, Washington, DC 20415.

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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 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 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.

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d. Organizational component
involved.
Individuals requesting amendment
must also follow the OPM’s Privacy Act
regulations on verification of identity
and amendment of records (5 CFR part
297).
RECORD SOURCE CATEGORIES:

Information in this system of records
is provided:
a. By supervisors/managers.
b. By the individual on whom the
record is maintained.
c. By testimony of witnesses.
d. By other agency officials.
e. By other agency records.
f. From related correspondence from
organizations or persons.
OPM/GOVT–4 [Reserved]
OPM/GOVT–5
SYSTEM NAME:

Recruiting, Examining, and Placement
Records.
SYSTEM LOCATION:

Division for Strategic Human
Resources Policy, 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

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for offenses against the law, military
service, and indications of specialized
training or receipt of awards or honors.
These records may also include copies
of correspondence between the
applicant and the Office or agency.
b. Results of written exams and
indications of how information in the
application was rated. These records
also contain information on the ranking
of an applicant, his or her placement on
a list of eligibles, what certificates
applicant’s names appeared on, an
agency’s request for Office approval of
the agency’s objection to an eligible’s
qualifications and the Office’s decision
in the matter, an agency’s request for
Office approval for the agency to pass
over an eligible and the Office’s
decision in the matter, and an agency’s
decision to object/pass over an eligible
when the agency has authority to make
such decisions under agreement with
the Office.
c. Records regarding the Office’s final
decision on an agency’s decision to
object/pass over an eligible for
suitability or medical reasons or when
the objection/pass over decision applies
to a compensable preference eligible
with 30 percent or more disability.
(Does not include a rating of ineligibility
for employment because of a confirmed
positive test result under Executive
Order 12564.)
d. Responses to and results of
approved personality or similar tests
administered by the Office or agency.
e. Records relating to rating appeals
filed with the Office or agency.
f. Registration sheets, control cards,
and related documents regarding
Federal employees requesting
placement assistance in view of pending
or realized displacement because of
reduction in force, transfer or
discontinuance of function, or
reorganization.
g. Records concerning noncompetitive 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

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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 Officedeveloped or agency-developed
assessment center exercises.
k. Case files related to medical
suitability determinations and appeals.
l. Records related to an applicant’s
examination for use of illegal drugs
under provisions of Executive Order
12564. Such records may be retained by
the agency (e.g., evidence of confirmed
positive test results) or by a contractor
laboratory (e.g., the record of the testing
of an applicant, whether negative, or
confirmed or unconfirmed positive test
result).
Note 1: Only Routine Use ‘p’ identified for
this system of records is applicable to records
relating to drug testing under Executive
Order 12564. Further, such records shall be
disclosed only to a very limited number of
officials within the agency, generally only to
the agency Medical Review Official (MRO),
the administrator of the agency Employee
Assistance Program, and any supervisory or
management official within the employee’s
agency having authority to take the adverse
personnel action against the employee.
Note 2: OPM does not intend that records
created by agencies in connection with the
agency’s Merit Promotion Plan program be
included in the term ‘Applicant Supply File’
as used within this notice. It is OPM’s
position that Merit Promotion Plan records
are not a system of records within the
meaning of the Privacy Act as such records
are usually filed by a vacancy announcement
number or some other key that is not a
unique personnel identifier. Agencies may
choose to consider such records as within the
meaning of a system of records as used in the
Privacy Act, but if they do so, they are solely
responsible for implementing Privacy Act
requirements, including establishment and
notice of a system of records pertaining to
such records.
Note 3: To the extent that an agency
utilizes an automated medium in connection
with maintenance of records in this system,
the automated versions of these records are
considered covered by this system of records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

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PURPOSE(S):

The records are used in considering
individuals who have applied for
positions in the Federal service by
making determinations of qualifications
including medical qualifications, for
positions applied for, and to rate and
rank applicants applying for the same or
similar positions. They are also used to
refer candidates to Federal agencies for
employment consideration, including
appointment, transfer, reinstatement,
reassignment, or promotion. Records
derived from the Office-developed or
agency-developed assessment center
exercises may be used to determine
training needs of participants. These
records may also be used to locate
individuals for personnel research.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Note 4: With the exception of Routine Use
‘p,’ none of the Other Routine Uses identified
for this system of records are applicable to
records relating to drug testing under
Executive Order 12564. Further, such records
shall be disclosed only to a very limited
number of officials within that agency,
generally only to the agency Medical Review
Officer (MRO), the administrator of the
agency’s Employee Assistance Program, and
the management official empowered to
recommend or take adverse action affecting
the individual.

a. To refer applicants, including
current and former Federal employees
to Federal agencies for consideration for
employment, transfer, reassignment,
reinstatement, or promotion.
b. With the permission of the
applicant, to refer applicants to State
and local governments, congressional
offices, international organizations, and
other public offices for employment
consideration.
c. To disclose pertinent information to
the appropriate Federal, State, or local
agency responsible for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order,
when the disclosing agency becomes
aware of an indication of a violation or
potential violation of civil or criminal
law or regulation.
d. To disclose information to any
source from which additional
information is requested (to the extent
necessary to identify the individual,
inform the source of the purposes of the
request, and to identify the type of
information requested), when necessary
to obtain information relevant to an
agency decision concerning hiring or
retaining an employee, issuing a
security clearance, conducting a
security or suitability investigation of an
individual, classifying positions, letting

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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

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function for which the records are
collected and maintained, or for related
workforce studies. While published
statistics and studies do not contain
individual identifiers, in some instances
the selection of elements of data
included in the study may be structured
in such a way as to make the data
individually identifiable by inference.
l. To disclose information to the Merit
Systems Protection Board or the Office
of the Special Counsel in connection
with appeals, special studies of the civil
service and other merit systems, review
of Office rules and rules and
regulations, investigations of alleged or
possible prohibited personnel practices,
and such other functions; e.g., as
prescribed in 5 U.S.C. chapter 12, or as
may be authorized by law.
m. To disclose information to the
Equal Employment Opportunity
Commission when requested in
connection with investigations into
alleged or possible discrimination
practices in the Federal sector,
examination of Federal affirmative
employment programs, compliance by
Federal agencies with the Uniform
Guidelines or Employee Selection
Procedures, or other functions vested in
the Commission.
n. To disclose information to the
Federal Labor Relations Authority or its
General Counsel when requested in
connection with investigations of
allegations of unfair labor practices or
matters before the Federal Service
Impasses Panel.
o. To disclose, in response to a
request for discovery or for an
appearance of a witness, information
that is relevant to the subject matter
involved in a pending judicial or
administrative proceeding.
p. To disclose the results of a drug test
of a Federal employee pursuant to an
order of a court of competent
jurisdiction where required by the
United States Government to defend
against any challenge against any
adverse personnel action.
q. To disclose information to Federal,
State, local, and professional licensing
boards, Boards of Medical Examiners, or
to the Federation of State Medical
Boards or a similar non-government
entity which maintains records
concerning the issuance, retention, or
revocation of licenses, certifications, or
registration necessary to practice an
occupation, profession, or specialty, in
order to obtain information relevant to
an agency decision concerning the
hiring, retention, or termination of an
employee or to inform a Federal agency
or licensing board or the appropriate
non-government entity about the health
care practice of a terminated, resigned,

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35353

or retired health care employee whose
professional health care activity so
significantly failed to conform to
generally accepted standards of
professional medical practice as to raise
reasonable concern for the health and
safety of patients in the private sector or
from another Federal agency.
r. To disclose information to
contractors, grantees, or volunteers
performing or working on a contract,
service, grant, cooperative agreement, or
job for the Federal Government.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, SAFEGUARDING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are maintained on magnetic
tapes, disk, punched cards, microfiche,
cards, lists, and forms.
RETRIEVABILITY:

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

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

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

Deputy Associate Director, Center for
HR Systems Requirements and
Strategies, U.S. Office of Personnel
Management, 1900 E Street, NW., Room
6H31, Washington, DC 20415.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the agency or OPM where application
was made or examination was taken.
Individuals must provide the following
information for their records to be
located and identified:

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a. Name.
b. Date of birth.
c. Social security number.
d. Identification number (if known).
e. Approximate date of record.
f. Title of examination or
announcement with which concerned.
g. Geographic area in which
consideration was requested.
RECORD ACCESS PROCEDURE:

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

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CONTESTING RECORD PROCEDURE:

Specific materials in this system have
been exempted from Privacy Act
provisions at 5 U.S.C. 552a(d), regarding
amendment of records. The section of
this notice titled ‘Systems Exempted
from Certain Provisions of the Act’
indicates the kinds of material
exempted and the reasons for exempting
them from amendment. An individual
may contact the agency or the Office
where the application is filed at any
time to update qualifications, education,
experience, or other data maintained in
the system.
Such regular administrative updating
of records should not be requested
under the provisions of the Privacy Act.
However, individuals wishing to request
amendment of other records under the
provisions of the Privacy Act should
contact the agency or the OPM where
the application was made or the
examination was taken. Individuals
must provide the following information
for their records to be located and
identified:
a. Name.

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b. Date of birth.
c. Social security number.
d. Identification number (if known).
e. Approximate date of record.
f. Title of examination or
announcement with which concerned.
g. Geographic area in which
consideration was requested.
Individuals requesting amendment
must also comply with the OPM’s
Privacy Act regulations on verification
of identity and amendment of records (5
CFR part 297).
Note 5: In responding to an inquiry or a
request for access or amendment, resource
specialists may contact the OPM’s area office
that provides examining and rating assistance
for help in processing the request.
RECORD SOURCE CATEGORIES:

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

This system contains investigative
materials that are used solely to
determine the appropriateness of a
request for approval of an objection to
an eligible’s qualifications for Federal
civilian employment or vouchers
received during the processing of an
application. The Privacy Act, at 5 U.S.C.
552a(k)(5), permits an agency to exempt
such investigative material from certain
provisions of the Act, to the extent that
release of the material to the individual
whom the information is about would—
a. Reveal the identity of a source who
furnished information to the
Government under an express promise
(granted on or after September 27, 1975)
that the identity of the source would be
held in confidence; or
b. Reveal the identity of a source who,
prior to September 27, 1975, furnished
information to the Government under an
implied promise that the identity of the
source would be held in confidence.
This system contains testing and
examination materials used solely to
determine individual qualifications for
appointment or promotion in the
Federal service. The Privacy Act, at 5
U.S.C. 552a(k)(6), permits an agency to
exempt all such testing or examination
material and information from certain
provisions of the Act, when disclosure
of the material would compromise the
objectivity or fairness of the testing or

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examination process. OPM has claimed
exemptions from the requirements of 5
U.S.C. 552a(d), which relate to access to
and amendment of records.
The specific material exempted
include, but are not limited to, the
following
a. Answer keys.
b. Assessment center exercises.
c. Assessment center exercise reports.
d. Assessor guidance material.
e. Assessment center observation
reports.
f. Assessment center summary
reports.
g. Other applicant appraisal methods,
such as performance tests, work samples
and simulations, miniature training and
evaluation exercises, structured
interviews, and their associated
evaluation guides and reports.
h. Item analyses and similar data that
contain test keys and item response
data.
i. Ratings given for validating
examinations.
j. Rating schedules, including
crediting plans and scoring formulas for
other selection procedures.
k. Rating sheets.
l. Test booklets, including the written
instructions for their preparation and
automated versions of tests and related
selection materials and their complete
documentation.
m. Test item files.
n. Test answer sheets.
OPM/GOVT–6
SYSTEM NAME:

Personnel Research and Test
Validation Records.
SYSTEM LOCATION:

Division for Human Resources
Products & Services, Center for Talent
Services, Room 6500, Office of
Personnel Management, 1900 E Street,
NW., Washington, DC 20415–9200;
OPM’s Service Centers, and agency
personnel offices (or other designated
offices) conducting personnel research.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former Federal
employees, applicants for Federal
employment, current and former State
and local government employees, and
applicants for State and local
government employment, selected
private sector employees, and
applicants for sample comparison
groups.
CATEGORIES OF RECORDS IN THE SYSTEM:

These records include information on
education and employment history, test
scores, responses to test items and

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questionnaires, interview data, and
ratings of supervisors regarding the
individuals to whom the records
pertain. Additional information (race,
national origin, disability status, and
background) is collected from
applicants for certain examinations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1303, 3301, and 4702.
PURPOSE(S):

These records are collected,
maintained, and used by the OPM 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 OPM 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 OPM 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 OPM 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.

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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:

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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

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35355

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 nonFederal organizations participating in
workforce studies. These data will be
limited to individuals associated with
the organization requesting the data or
to data aggregated for all organizations
in a study.
i. To disclose information to
contractors, grantees, or volunteers
performing or working on a contract,
service, grant, cooperative agreement, or
job for the Federal Government.
j. To disclose research records to a
court or other body in camera when
tests and other assessment instruments
are involved.
POLICIES AND PRACTICES FOR STORING,
RETAINING, SAFEGUARDING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

These records are maintained in file
folders, disks, magnetic tape, CD Rom,
and optical disks.
RETRIEVABILITY:

Records are generally maintained by
project. Personal information can be
retrieved by name or personal identifier
only for certain research projects such
as those involving longitudinal studies.
SAFEGUARDS:

Records are kept in locked files in a
locked room with access limited to
authorized staff. Access to tape, disk,
and other files used in data processing
will be only by authorized staff.
RETENTION AND DISPOSAL:

Records are retained for 2 years after
completion of the project unless needed
in the course of litigation or other
administrative actions involving a
research or test validation survey.
Records collected for longitudinal
studies will be maintained indefinitely.
Manual records are destroyed by
shredding or burning and magnetic
tapes and disks are erased.
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Associate Director, Center for
HR Systems Requirements and
Strategies, U.S. Office of Personnel
Management, 1900 E Street, Room
6H31, NW., Washington, DC 20415.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains

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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 OPM’s Privacy Act
regulations on verification of identity
and access to records (5 CFR part 297).

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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 OPM’s

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Privacy Act regulations on verification
of identity and amendment of records (5
CFR part 297).
RECORD SOURCE CATEGORIES:

Individual applicants and employees;
supervisors; assessment center
assessors; and agency or Office
personnel files and records (e.g., race,
sex, national origin, and disability status
data from OPM/GOVT–1 and OPM/
GOVT–7 systems of records).
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

This system contains testing and
examination materials that are used
solely to determine individual
qualifications for appointment, career
development, or promotion in the
Federal service. The Privacy Act, at 5
U.S.C. 552a(k)(6), permits an agency to
exempt all such testing and examination
material and information from certain
provisions of the Act, when the
disclosure of the material would
compromise the objectivity or fairness
of the testing or examination process.
OPM 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. OPM has claimed
exemptions from the requirements of 5
U.S.C. 552a(d), which relates to access
to and amendment of records.
The specific materials exempted
include, but are not limited to, the
following:
a. Answer keys.
b. Assessment center and interview
exercises.
c. Assessment center and interview
exercise reports.
d. Assessor guidance material.
e. Assessment center observation
reports.
f. Assessment center and interview
summary reports.
g. Other applicant appraisal methods,
such as performance tests, work samples
and simulations, miniature training and
evaluation exercises, interviews, and
reports.
h. Item analyses and similar data that
contain test keys and item response
data.
i. Ratings given for validating
examinations.
j. Rating schedules, including
crediting plans and scoring formulas for
other selection procedures.

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k. Ratings sheets.
l. Test booklets, including the written
instructions for their preparation and
automated versions of tests and related
selection materials and their complete
documentation.
m. Test item files.
n. Test answer sheets.
o. Those portions of research and
development files that could
specifically reveal the contents of the
above exempt documents.
p. Performance appraisals for research
purposes.
OPM/GOVT–7
SYSTEM NAME:

Applicant Race, Sex, National Origin,
and Disability Status Records:
SYSTEM LOCATION:

Records in this system may be located
in the following offices:
a. Division for Strategic Human
Resources Policy, Office of Personnel
Management, 1900 E Street, NW.,
Washington, DC 20415.
b. Division for Management and Chief
Financial Officer, Center for Equal
Employment Opportunity, 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 OPM or by
employing agencies.
b. Applicants on registers or in
inventories by OPM and subject to its
regulations.
c. Applicants for positions in agencies
having direct hiring authority and using
their own examining procedures in
compliance with OPM regulations.
d. Applicants whose records are
retained in an agency’s Equal
Opportunity Recruitment file (including
any file an agency maintains on current
employees from under-represented
groups).
e. Applicants (including current and
former Federal employees) who apply
for vacancies announced under an
agency’s merit promotion plan.
CATEGORIES OF RECORDS IN THE SYSTEM:

The records include the individual’s
name; social security number; date of
birth; statement of major field of study;
type of current or former Federal
employment status (e.g., career or

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Federal Register / Vol. 71, No. 117 / Monday, June 19, 2006 / Notices
temporary); applications showing work
and education experience; and race, sex,
national origin, and disability status
data.
Note: The race and national origin
information in this system is obtained by
three alternative methods: (1) Use of an
agency’s OMB approved form on which
individuals identify themselves as to race
and national origin; (2) by visual
observation(race) or knowledge of an
individual’s background (national origin); or
(3) at the agency’s option, from the OPM/
GOVT–1 system in the case of applicants
who are current Federal employees.
Disability status is obtained by use of
Standard Form 256, ‘‘Self Identification of
Medical Disability,’’ which allows for a
description by self-identification of the
handicap.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 7201, sections 4A, 4B, 15A(1)
and (2), 15B(11), and 15D(11); Uniform
Guidelines on Employee Selection
Procedures (1978); 43 FR 38297 et seq.
(August 25, 1978); 29 CFR 720.301; and
29 CFR 1613.301.
PURPOSE(S):

These records are used by OPM and
agencies to:
a. Evaluate personnel/organizational
measurement and selection methods.
b. Implement and evaluate agency
affirmative employment programs.
c. Implement and evaluate agency
Federal Equal Opportunity Recruitment
Programs (including establishment of
minority recruitment files).
d. Enable OPM 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.

sroberts on PROD1PC70 with NOTICES

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

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Jkt 208001

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 OPM 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

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35357

Department of Justice or the agency has
agreed to represent the employee; or
4. The United States, where the
agency determines that litigation is
likely to affect the agency or any of its
components, is a party to litigation or
has an interest in such litigation, and
the use of such records by the
Department of Justice or the agency is
deemed by the agency to be relevant and
necessary to the litigation, provided,
however, that in each case it has been
determined that the disclosure is
compatible with the purpose for which
the records were collected.
h. To disclose, in response to a
request for discovery or for appearance
of a witness, information that is relevant
to the subject matter involved in a
pending judicial or administrative
proceeding.
i. To disclose information to
contractors, grantees, or volunteers
performing or working on a contract,
service, grant cooperative agreement, or
job for the Federal Government.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, SAFEGUARDING, 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.

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SYSTEM MANAGER(S) AND ADDRESS:

Deputy Associate Director, Center for
HR Systems Requirements and
Strategies, U.S. Office of Personnel
Management, 1900 E Street, NW., Room
6H31, 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).

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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.

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Jkt 208001

d. The OPM or employing agency
office where they are employed or
submitted the information.
e. Signature.
An individual requesting amendment
must also follow OPM’s Privacy Act
regulations on verification of identity
and amendment of records (5 CFR part
297).
RECORD SOURCE CATEGORIES:

Information is provided by the
individual to whom the record pertains,
on forms approved by the Office of
Management and Budget or is obtained
directly from other agency or OPM
records (e.g., race, sex, national origin,
and disability status data may be
obtained from the OPM/GOVT–1,
General Personnel Records system).
OPM/GOVT–8—[Reserved]
OPM/GOVT–9

File on Position Classification
Appeals, Job Grading Appeals, Retained
Grade or Pay Appeals, and Fair Labor
Standard Act (FLSA) Claims and
Complaints.
SYSTEM LOCATION:

These records are located at the Office
of Personnel Management, 1900 E
Street, NW., Washington, DC 20415,
Center for Merit System Accountability,
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, Center for Merit System
Accountability 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, Center for
Merit System Accountability.
c. Current and former Federal
employees who have filed a claim or
complaints under the Fair Labor
Standards Act (FLSA) with a U.S. Office
of Personnel Management, Center for
Merit System Accountability.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system of records contains
information or documents relating to the
processing and adjudication of a
position classification appeal, job
grading appeal, retained grade or pay
appeal, or FLSA claim or complaint.
The records may include information
and documents regarding a personnel
action of the agency involved and the

Frm 00018

Note 1: This system notice also covers
agency files created when: (a) An employee
appeals a position classification or job
grading decision to OPM or within the
agency regardless of whether that agency
appeal decision is further appealed to OPM;
and (b) an employee files a retained grade or
pay appeal with OPM, and (c) FLSA claims
or complaints submitted to OPM or to the
agency regardless of whether the agency
decision is the subject of an FLSA claim or
complaints submitted to OPM.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM NAME:

PO 00000

decision or determination rendered by
an agency regarding the classifying or
grading of a position, whether an
employee is to remain in a retained
grade or pay category, the FLSA
exemption status of an employee, or
other FLSA claims or complaints. This
system may also include transcripts of
agency hearings and statements from
agency employees.

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Sfmt 4703

5 U.S.C. 5112, 5115, 5346, and 5366,
for position classification appeals, job
grading appeals, and retained grade or
pay appeals. 29 U.S.C. 204(f) for FLSA
claims and complaints.
PURPOSE:

These records are primarily used to
document the processing and
adjudication of a position classification
appeal, job grading appeal, retained
grade or pay appeal, or FLSA claim or
complaint. Internally, OPM may use
these records to locate individuals for
personnel research.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

These records and information in
these records may be used:
a. To disclose pertinent information to
the appropriate Federal, State, or local
government agency responsible for
investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation,
or order, when the disclosing agency
becomes aware of an indication of a
violation or potential violation of civil
or criminal law or regulation.
b. To disclose information to the
Office of Management and Budget at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation as set forth in
OMB Circular No. A–19.
c. To provide information to a
congressional office from the record of
an individual in response to an inquiry
from that congressional office made at
the request of that individual.
d. To disclose information to any
source from which additional
information is requested in the course of
adjudicating a position classification
appeal, job grading appeal, retained

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grade or pay appeal, or FLSA claim or
complaint to the extent necessary to
identify the individual, inform the
source of the purpose(s) of the request,
and identify the type of information
requested.
e. To disclose information to a Federal
agency, in response to its request, in
connection with the hiring, retaining or
assigning of an employee, issuing a
security clearance, conducting a
security or suitability investigation of an
individual, classifying positions, and
making FLSA exemption status
determinations, or adjudicating FLSA
claims and complaints to the extent that
the information is relevant and
necessary to the requesting agency’s
decision on the matter.
f. To disclose information to another
Federal agency, to a court, or a party in
litigation before a court or in an
administrative proceeding being
conducted by a Federal agency, when
the Government is a party to the judicial
or administrative proceeding.
g. To disclose information to the
Department of Justice, or in a
proceeding before a court, adjudicative
body, or other administrative body
before which the agency is authorized to
appear, when:
1. The agency, or any component
thereof; or
2. Any employee of the agency in his
or her official capacity; or
3. Any employee of the agency in his
or her individual capacity where the
Department of Justice or the agency has
agreed to represent the employee; or
4. The United States, where the
agency determines that litigation is
likely to affect the agency or any of its
components, is a party to litigation or
has an interest in such litigation, and
the use of such records by the
Department of Justice or the agency is
deemed by the agency to be relevant and
necessary to the litigation, provided,
however, that in each case it has been
determined that the disclosure is
compatible with the purpose for which
the records were collected.
h. By OPM 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

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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, RETAINING 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,
retained grade or pay appeal files, and

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FLSA claims or complaints are
maintained for 7 years after closing
action on the case. Records are
destroyed by shredding, burning, or
erasing as appropriate.
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Associate Director, Center for
Merit System Accountability, U.S.
Office of Personnel Management, 1900 E
Street, NW., Room 6484, 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 Center
for Merit System Accountability.
b. For records pertaining to a position
classification appeal, job grading appeal,
or FLSA claim or complaint where the
appeal was made only to OPM, contact
the system manager or the OPM Center
for Merit System Accountability as
appropriate.
c. For records pertaining to a position
classification appeal, a job grading
appeal, or FLSA claim or complaint
filed with both the agency and OPM,
contact the agency personnel officer,
other designated officer, or the system
manager, or the OPM Center for Merit
System Accountability as appropriate.
Individuals must furnish the
following information for their records
to be located and identified:
a. Full name.
b. Date of birth.
c. Agency in which employed when
the appeal, or FLSA claim or complaint
was filed and the approximate date of
the closing of the case.
d. Kind of action (e.g., position
classification appeal, job grading appeal,
retained grade or pay appeal, or FLSA
claim or complaint).
RECORD ACCESS PROCEDURE:

Individuals who have filed a position
classification appeal, job grading appeal,
a retained grade or pay appeal, or FLSA
claim or complaint, must be provided
access to the record. However, after the
appeal or FLSA claim or complaint has
been closed, an individual may request
access to the official copy of the records
by writing the official indicated in the
Notification Procedure section.
Individuals must furnish the following
information for their records to be
located and identified:
a. Full name.
b. Date of birth.
c. Agency in which employed when
appeal or FLSA claim or complaint was
filed and the approximate date of the
closing of the case.

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d. Kind of action (e.g., position
classification appeal, job grading appeal,
retained grade or pay appeal, or FLSA
claim or complaint).
Individuals requesting access must
also follow OPM’s Privacy Act
regulations on verification of identity
and access to records (5 CFR part 297).
CONTESTING RECORD PROCEDURE:

Review of requests from individuals
seeking amendment of their records that
have previously been or could have
been the subject of a judicial or quasiJudicial action will be limited in scope.
Review of amendment requests of these
records will be restricted to determining
if the record accurately documents the
action of the agency or administrative
body ruling on the case, and will not
include a review of the merits of the
action, determination, or finding.
Individuals wishing to request an
amendment to their records to correct
factual errors should contact the
appropriate official indicated in the
Notification Procedure section.
Individuals must furnish the following
information for their records to be
located and identified:
a. Full name.
b. Date of birth.
c. Agency in which employed when
the appeal or FLSA claim or complaint
was filed and the approximate date of
the closing of the case.
d. Kind of action (e.g., position
classification appeal, job grading appeal,
retained grade or pay appeal, or FLSA
claim or complaint).
Individuals requesting amendment of
their records must also follow OPM’s
Privacy Act regulations on verification
of identity and amendment of records (5
CFR part 297).
RECORD SOURCE CATEGORIES:

a. Individual to whom the record
pertains.
b. Agency and/or OPM records
relating to the action.
c. Statements from employees or
testimony of witnesses.
d. Transcript of hearings.
OPM/GOVT–10
SYSTEM NAME:

Employee Medical File System
Records:

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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

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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 (OPM) and should be
provided to those OPM employees who have
an official need or use for those records.
Therefore, if an employing agency is asked by
an OPM 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

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when they are the result of a condition of
employment or related to an on-the-job
occurrence.
Note 3: Records pertaining to employee
drug or alcohol abuse counseling or
treatment, and those pertaining to other
employee counseling programs conducted
under Health Service Program established
pursuant to 5 U.S.C. chapter 79, are not part
of this system of records.
Note 4: Only Routine Use ‘u’ identified for
this system of records is applicable to records
relating to drug testing under Executive
Order 12564. Further, such records shall be
disclosed only to a very limited number of
officials within the agency, generally only to
the agency Medical Review Official (MRO),
the administrator of the agency Employee
Assistance Program, and any supervisory or
management official within the employee’s
agency having authority to take the adverse
personnel action against the employee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Orders 12107, 12196, and
12564 and 5 U.S.C. chapters 11, 31, 33,
43, 61, 63, and 83.
PURPOSE(S):

Records in this system of records are
maintained for a variety of purposes,
which include the following:
a. To ensure that records required to
be retained on a long-term basis to meet
the mandates of law, Executive order, or
regulations (e.g., the Department of
Labor’s Occupational Safety and Health
Administration (OSHA) and OWCP
regulations), are so maintained.
b. To provide data necessary for
proper medical evaluations and
diagnoses, to ensure that proper
treatment is administered, and to
maintain continuity of medical care.
c. To provide an accurate medical
history of the total health care and
medical treatment received by the
individual as well as job and/or hazard
exposure documentation and health
monitoring in relation to health status
and claims of the individual.
d. To enable the planning for further
care of the patient.
e. To provide a record of
communications among members of the
health care team who contribute to the
patient’s care.
f. To provide a legal document
describing the health care administered
and any exposure incident.
g. To provide a method for evaluating
quality of health care rendered and jobhealth-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

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available to support any medicallyrelated 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:

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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

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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

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35361

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 agencyappointed representative of an
employee, all notices, determinations,
decisions, or other written
communications issued to the
employee, in connection with an
examination ordered by the agency
under medical evaluation (formerly
Fitness for Duty) examinations
procedures.
q. To disclose to a requesting agency,
organization, or individual the home
address and other information
concerning those individuals who it is
reasonably believed might have
contracted an illness or been exposed to
or suffered from a health hazard while
employed in the Federal workforce.
r. To disclose information to a Federal
agency, in response to its request or at
the initiation of the agency maintaining
the records, in connection with the
retention of an employee, the issuance
of a security clearance, the conducting
of a suitability or security investigation
of an individual, the classifying of jobs,
the letting of a contract, or the issuance
of a license, grant, or other benefit by
the requesting agency, or the lawful,
statutory, administrative, or
investigative purpose of the agency, to
the extent that the information is
relevant and necessary to the requesting
agency’s decision on the matter.
s. To disclose to any Federal, State, or
local government agency, in response to
its request or at the initiation of the
agency maintaining the records,
information relevant and necessary to
the lawful, statutory, administrative, or

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investigatory purpose of that agency as
it relates to the conduct of job related
epidemiological research or the
insurance of compliance with Federal,
State, or local government laws on
health and safety in the work
environment.
t. To disclose to officials of labor
organizations recognized under 5 U.S.C.
chapter 71, analyses using exposure or
medical records and employee exposure
records, in accordance with the records
access rules of the Department of
Labor’s OSHA, and subject to the
limitations at 29 CFR
1910.20(e)(2)(iii)(B).
u. To disclose the results of a drug test
of a Federal employee pursuant to an
order of a court of competent
jurisdiction where required by the
United States Government to defend
against any challenge against any
adverse personnel action.
v. To disclose information to
contractors, grantees, or volunteers
performing or working on a contract,
service, grant, cooperative agreement or
job for the Federal Government.
w. To disclose records on former
Panama Canal Commission employees
to the Republic of Panama for use in
employment matters.
x. To disclose to a requesting agency,
organization, or individual the home
address and other relevant information
on those individuals who it reasonably
believed might have contracted an
illness or might have been exposed to or
suffered from a health hazard while
employed in the Federal workforce.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, 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.

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SAFEGUARDS:

Records are stored in locked file
cabinets or locked rooms. Electronic
records are protected by restricted
access procedures and audit trails.
Access to records is strictly limited to
agency or contractor officials with a
bona fide need for the records.
The EMF is maintained for the period
of the employee’s service in the agency
and is then transferred to the National

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SYSTEM MANAGER(S) AND ADDRESS:

a. Deputy Associate Director, Center
for HR Systems Requirements and
Strategies, Room 6H31, U.S. Office of
Personnel Management, 1900 E Street,
NW., Washington, DC 20415.
b. For current Federal employees,
OPM has delegated to the employing
agency the Privacy Act responsibilities
concerning access, amendment, and
disclosure of the records within this
system notice.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
records on them should follow the
appropriate procedure listed below.
a. Current Employees. Current
employees should contact their
employing agency’s personnel,
dispensary, health, safety, medical, or
other designated office responsible for
maintaining the records, as identified in
the agency’s internal issuance covering
this system. Individuals must furnish
such identifying information as required
by the agency for their records to be
located and identified.
b. Former employees. Former
employees should contact their former
agency’s personnel, dispensary, health,
safety, medical, or other designated
office responsible for maintaining the
records, as identified in the agency’s
internal issuance covering this system.
Additionally, for access to their EMF,
they should submit a request to the
National Personnel Records Center
(Civilian), 111 Winnebago Street, St.
Louis, Missouri 63118.
RECORDS ACCESS PROCEDURE:

RETENTION AND DISPOSAL:

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Personnel Records Center for storage, or
as appropriate, to the next employing
Federal agency. Other medical records
are either retained at the agency for
various lengths of time in accordance
with the National Archives and Records
Administration’s records schedules or
destroyed when they have served their
purpose or when the employee leaves
the agency. Within 90 days after the
individual separates from the Federal
service, the EMF is sent to the National
Personnel Records Center for storage.
Destruction of the EMF is in accordance
with General Records Schedule-1(21).
Records arising in connection with
employee drug testing under Executive
Order 12564 are generally retained for
up to 3 years. Records are destroyed by
shredding, burning, or by erasing the
disk.

a. Current employees should contact
the appropriate agency office as
indicated in the Notification Procedure
section and furnish such identifying

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information as required by the agency to
locate and identify the records sought.
b. Former employees should contact
the appropriate agency office as
indicated in the Notification Procedure
section and furnish such identifying
information as required by the agency to
locate and identify the records sought.
Former employees may also submit a
request to the National Personnel
Records Center (Civilian), 111
Winnebago Street, St. Louis, Missouri,
for access to their EMF. When
submitting a request to the National
Personnel Records Center, the
individual must furnish the following
information to locate and identify the
record sought:
1. Full name.
2. Date of birth.
3. Social security number.
4. Agency name, date, and location of
last Federal service.
5. Signature.
c. Individuals requesting access must
also comply with the OPM’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
required by the agency to locate and
identify the records to be amended.
b. For a former employee, contact the
appropriate agency office identified in
the Notification Procedure section and
furnish such identifying information as
required by the agency to locate and
identify the record to be amended.
Former employees may also submit a
request to amend records in their EMF
to the system manager. When
submitting a request to the system
manager, the individual must furnish
the following information to locate and
identify the records to be amended:
1. Full name.
2. Date of birth.
3. Social security number.
4. Agency name, date, and location of
last Federal service.

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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).

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RECORDS SOURCE CATEGORIES:

Records in this system are obtained
from:
a. The individual to whom the records
pertain.
b. Agency employee health unit staff.

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c. Federal and private sector medical
practitioners and treatment facilities.
d. Supervisors/managers and other
agency officials.
e. Other agency records.
[FR Doc. 06–5459 Filed 6–16–06; 8:45 am]
BILLING CODE 6325–39–P

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