Privacy Act Issuances: 2011

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Office of Personnel Management

OPM Systems of Records

Systems of Records Published in the Federal Register Between January 4, 2010 and December 30, 2011

Prefatory Statement of Routine Uses for OPM's Internal and Central Systems of Records

OPM/Internal–2 Negotiated Grievance Procedure Records.

OPM/Internal–3 Security Officer Control Files.

OPM/Internal–4 Health Program Records.

OPM/Internal–5 Pay, Leave, and Travel Records.

OPM/Internal–6 Appeal and Administrative Review Records.

OPM/Internal–7 Complaints and Inquiries Records.

OPM/Internal–8 Employee Counseling Services Program Records.

OPM/Internal–9 Employee Locator Card Files.

OPM/Internal–10 Motor Vehicle Operator and Accident Report Records.

OPM/Internal–11 Administrative Grievance Records.

OPM/Internal–12 Telephone Call Detail Records.

OPM/Internal–13 Parking Program Records.

OPM/Internal–14 Photo Identification and Visitor Access Control Records.

OPM/Internal–15 OPM Child Care Tuition Assistance Records.

OPM/Internal–16 Adjudications Officer Control Files.

OPM/Internal–17 Web-Enabled Voting Rights System (WEVRS).

OPM/Internal–18 Federal Cyber Service: Scholarship For Service (SFS).

OPM/Central–1 Civil Service Retirement and Insurance Records.

OPM/Central–2 Complaints and Inquiries Records.

OPM/Central–3 [Reserved]

OPM/Central–4 Inspector General Investigations Case Files.

OPM/Central–5 Intergovernmental Personnel Act Assignment Records.

OPM/Central–6 Administrative Law Judge Application Records.

OPM/Central–7 Litigation and Claims Records.

OPM/Central–8 Privacy Act/Freedom of Information Act (PA/FOIA) Case Records.

OPM/Central–9 Personnel Investigations Records.

OPM/Central–10 Federal Executive Institute Program Participant Records.

OPM/Central–11 Presidential Management Fellows (PMF) Program Records.

OPM/Central–12 [Reserved]

OPM/Central–13 Executive Personnel Records.

OPM/Central–14 Debarment of Suspension Records for Federal Employees Health Benefits Program (FEHPB).

OPM/Central–15 Health Claims Data Warehouse (HCDW).

Health Claims Disputes External Review Services

OPM/Central–X Federal Competency Assessment Tool.

Federal Employees Health Benefits Program Claims Data Warehouse.

OPM/GOVT–1 General Personnel Records.

OPM/GOVT–2 Employee Performance File System Records.

OPM/GOVT–3 Records of Adverse Actions, Performance Based Reduction in Grade and Removal Actions, and Termination of Probationers.

OPM/GOVT–4 [Reserved].

OPM/GOVT–5 Recruiting, Examining and Placement Records.

OPM/GOVT–6 Personnel Research and Test Validation Records.

OPM/GOVT–7 Applicant Race, Sex, National Origin, and Disability Status Records.

OPM/GOVT–8 [Reserved].

OPM/GOVT–9 File on Position Classification Appeals, Job Grading Appeals, Retained Grade or Pay Appeals, and Fair Labor Standard Act (FLSA) Claims and Complaints.

OPM/GOVT–10 Employee Medical File System Records.

Privacy Act Regulations

Federal Acquisition Regulation (FAR)

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Systems of Records Published Between January 4, 2010 and December 30, 2011

2010

OPM/Central–9, Personnel Investigations Records: May 20

Health Claims Disputes External Review Services: September 16

OPM/CENTRAL–15, Health Claims Data Warehouse: October 5

OPM/Central–15, Health Claims Data Warehouse—Extention of Comment Period: November 15

OPM/GOVT–10, Employee Medical File System Records: June 21

OPM/Central–15, Health Claims Data Warehouse—Projected Publication Date of Updated System of Records: December 15

2011

OPM/GOVT–1, General Personnel Records: June 7

OPM/CENTRAL–15, Health Claims Data Warehouse (HCDW): June 15

OPM CENTRAL–18, Federal Employees Health Benefits Program Claims Data Warehouse: June 15

OPM CENTRAL–16, Health Claims Disputes External Review Services: November 14

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Prefatory Statement of Routine Uses for OPM's Internal and Central Systems of Records

Certain established routine uses have been found to be applicable to the majority of OPM's Internal and Central systems of records. These repetitive routine uses will be published in their entirety once, in this Prefatory Statement. Each Internal and Central system notice will note which of these routine uses are applicable to that notice, and will also include the full text of any routine uses unique to that system of records.

1. For Law Enforcement Purposes—To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where OPM becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

2. For Certain Disclosures to Other Federal Agencies—To disclose information to a Federal agency, in response to its request in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a suitability or security investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

3. For Congressional Inquiry—To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of that individual.

4. For Judicial/Administrative Proceedings—To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a judge.

5. For National Archives and Records Administration—To disclose information to the National Archives and Records Administration for use in records management inspections.

6. Within OPM for Statistical/Analytical Studies—By OPM in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

7. For Litigation—To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which OPM is authorized to appear, when:

(1) OPM, or any component thereof; or

(2) Any employee of OPM in his or her official capacity; or

(3) Any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or

(4) The United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected.

8. For the Merit Systems Protection Board—To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may be authorized by law.

9. For the Equal Employment Opportunity Commission—To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures or other functions vested in the Commission and to otherwise ensure compliance with the provisions of 5 U.S.C. 7201.

10. For the Federal Labor Relations Authority—To disclose information to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.

11. For Non-Federal Personnel—To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government.

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OPM/INTERNAL–2

System name:

Negotiated Grievance Procedure Records.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

Categories of individuals covered by the system:

Current and former Office employees who have filed grievances under a negotiated grievance procedure.

Categories of records in the system:

This system contains a variety of records relating to an employee's grievance filed under procedures established by labor-management negotiations. The records may include information such as: Employee's name, Social Security number, grade, job title, employment history, arbitrator's decision or report, record of appeal to the Federal Labor Relations Authority, and a variety of employment and personnel records associated with the grievance.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 U.S.C. 7121.

Purpose(s):

These records are used to process an employee's grievance filed under a negotiated grievance procedure.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 11 of the Prefatory Sttement at the beginning of OPM's system notices apply to the records maintained within this system. The rroutine uses listed below are specific to this system of records only.

a. By the Department of Labor in carrying out its functions regarding labor-management relations in the Federal service.

b. To disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

c. To disclose information to any source from which additional information is requested in the course of resolving a grievance, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.

Policies and practices of storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained in file folders.

Retrievability:

These records are retrieved by the names of the individuals on whom they are maintained.

Safeguards:

These records are located in lockable metal filing cabinets to which only authorized personnel have access.

Retention and disposal:

These records are disposed of three years after the close of the fiscal year in which a final decision was issued. Disposal is by shredding or burning.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

Individuals who file a grievance under a negotiated procedure are aware of that fact and have been provided access to the record. They may, however, contact the indicated system manager regarding the existence of such records about them. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Approximate date of closing of the grievance.

d. Organizational component involved.

Record access procedure:

Individuals who file a grievance under a negotiated grievance procedure are aware of that fact and have been provided access to the record. However, after the grievance has been closed, an individual may request access to the official copy of the grievance record by writing the indicated system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Approximate date of closing of the grievance.

d. Organizational component involved.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Review of requests from individuals seeking amendment of their records which have previously been or could have been the subject of an administrative, judicial, or quasi-judicial action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents the action of the agency or administrative body ruling on the case and will not include a review of the merits of the action, determination, or finding. Individuals wishing to request amendment of their records to correct factual errors should contact the appropriate system manager or OPM regional office indicated in the Notification Procedure section. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Approximate date of closing of the grievance.

d. Organizational component involved.

Individuals wishing to request amendment of their records to correct factual errors should contact the indicated system manager. Individuals must furnish the following information for their records to be located and identified:

Record source categories:

Information in this system of records is obtained from:

a. The individual on whom the record is maintained.

b. Testimony of witnesses.

c. Union officials.

d. Office of Personnel Management officials.

e. Department of Labor, Federal Labor Relations Authority, or arbitration officials involved in the grievance.

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OPM/INTERNAL–3

System name:

Security Officer Control Files.

System location:

U.S. Office of Personnel Management, Office of Contracting and Administrative Services, 1900 E Street NW., Washington, DC 20415–7100

Categories of individuals covered by the system:

This system contains records on active, inactive and pending OPM employees and contractors.

Categories of records in the system:

The records in the system contain date of birth; social security number; classification as to position sensitivity; types and dates of investigations; investigative reports, including those from Federal law enforcement agencies, Department of Defense and internal inquiries; dates and levels of clearances; names of agencies and the reasons why they were provided clearance information on OPM employees and contractors.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

Executive Orders 10450 and 12958.

Purpose(s):

These records are used exclusively by OPM Security Officers and the employees of other security offices to assist them in controlling position sensitivity and personnel clearances.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1, 3, 5 and 6, of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within the system. The routine uses listed below are specific to this system of records only.

a. To disclose information to an agency in the executive, legislative, or judicial branch, or the District of Columbia Government, in response to its request related to issuing a security clearance or conducting a security or suitability investigation of an individual. Only information that is relevant and necessary to the requesting agency's decision on the matter will be released.

b. To verify a security clearance in response to an inquiry from a security office of an agency in the executive legislative, or judicial branch, or the District of Columbia Government. Also, to provide OPM employees and contractors access to classified data or areas, when their official duties require such access.

Policies and practices for storing, retrieving, accessing, Retaining and Disposing of records in the system:

Storage:

These records are maintained in file folders and in an automated data base.

Retrievability:

These records are retrieved by name, social security number, and date of birth of the individual on whom they are maintained.

Safeguards:

The disks and file folders are stored in fire-resistant safes contained within a secured area, in lockable metal file cabinets, or in secured rooms. The file folders do not leave the Security Office.

Retention and disposal:

The Security Office automated data files are retained for five years after the individual leaves OPM. After five years the files are erased. The security folders are destroyed 90 days after the employee leave or contractor stop working for OPM.

System manager(s) and address:

Facility Services Division, Security Office, Office of Contracting and Administrative Services, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–7100.

Notification procedure:

Individuals wishing to determine whether this system of records contains information about them should contact the system manager indicated. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Social security number.

Record Access Procedures: Individuals wishing to request access to records about them should contact the system manager indicated. Individuals must furnish the following for their records to be located and identified.

a. Full name.

b. Date of birth.

c. Social security number.

An individual requesting access must also follow the OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Note:

Individuals must request access to background investigations through the Privacy Act regulations of the agency for which the investigation was conducted. Requests for background investigations maintained in the Security Office file will be denied.

Contesting record procedures:

Individuals wishing to request amendment of their records should contact the system manager indicated. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Social security number.

Individuals requesting amendment must also follow the OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individuals to whom the records applies.

b. OPM's investigative files maintained by Investigations Service.

c. Employment information maintained by OPM's Director of Personnel or regional personnel offices.

d. OPM Officials.

e. Federal law enforcement agencies, Department of Defense, and through external and internal inquiries.

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OPM/INTERNAL–4

System name:

Health Program Records.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415 for individuals receiving health services at the central office. Other OPM employees receive health services from other agencies, such as the Public Health Service or the General Services Administration.

Categories of individuals covered by the system:

Individuals who have received health services from OPM's Health Unit at 1900 E Street NW.

Categories of records in the system:

This system is comprised of records developed as a result of an individual's utilization of services provided by the OPM Health Unit. These records contain the following information:

a. Medical history and other biographical data on those individuals requesting employee health maintenance physical examinations.

b. Test reports and medical diagnoses based on employee health maintenance physical examinations or health screening programs (tests for medical conditions or diseases).

c. History of complaint(s), assessment, and treatment of injuries and illness presented to Health Unit staff.

d. Immunization records.

e. Medication administered by Health Unit staff. f. Referrals to other health care providers.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 7901, as further defined in OMB Circular No. A–72.

Purpose(s):

These records document utilization of health services provided by OPM's Health Unit.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 3, 4, and 7 of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To refer information required by applicable law to be disclosed to a Federal, State, or local public health service agency, concerning individuals who have contracted certain communicable diseases or conditions. Such information is used to prevent further outbreak of the disease or condition.

b. To disclose information to the appropriate Federal, State, or local agency responsible for investigation of an accident, disease, medical condition, or injury as required by pertinent legal authority.

c. To disclose to the Office of Workers' Compensation Programs in connection with a claim for benefits filed by an employee.

Note:

Disclosure of these records beyond officials of OPM having a bona fide need for them or to the person to whom they pertain, is rarely made, as disclosures of information pertaining to an individual with a history of alcohol or drug abuse must be limited in compliance with the restriction of the Confidentiality of Alcohol and Drug Abuse Patient Records regulations 42 CFR part 2. Records pertaining to the physical and mental fitness of employees are, as a matter of OPM policy, afforded the same degree of confidentiality and are generally not disclosed.

Policies and practices for storing, retrieving, retaining, and disposing of records in the system:

Storage:

These records are maintained as hard copy records.

Retrievability:

These records are retrieved by the name, date of birth, or Social Security Number of the individual to whom they pertain.

Safeguards:

These records are maintained in lockable file cabinets in a room with access limited to Health Unit personnel whose duties require access.

Retention and disposal:

Records of the central office Health Unit are maintained up to six years from the date of the last entry. Employees are given their records on request upon separation. Otherwise, the records are burned approximately three months after separation.

System manager(s) and address:

Chief, Health Unit, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

Notification procedure:

Individuals wishing to inquire whether this system of records contains information about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full Name.

b. Any former name.

c. Date of birth.

d. Social Security Number.

Record access procedures:

Individuals wishing to request access to records about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Any former name.

c. Date of birth.

d. Social Security Number.

Any individual requesting access must also follow OPM's Privacy Act regulation regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of their records should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Any former name.

c. Date of birth.

d. Social Security Number.

An individual requesting amendment must also follow OPM's Privacy Act regulation verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual to whom the information pertains.

b. Laboratory reports and test results.

c. OPM Health Unit physicians, nurses and other medical technicians who have examined, tested, or treated the individual.

d. The individual's coworkers or supervisors.

e. The individual's personal physician.

f. Other Federal employee health units.

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OPM/INTERNAL–5

System name:

Pay, Leave, and Travel Records.

System location:

Office of the Chief Financial Officer, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415, and in the office where the individual is currently employed for use by timekeeper, budget and finance, travel personnel, or fare subsidy program manager or coordinator.

Categories of individuals covered by the system:

Current and former OPM employees.

Categories of records in the system:

This system contains various records relating to pay, leave, and travel. This includes information such as: Name; date of birth; Social Security Number; home address; grade; employing organization; timekeeper number; salary; pay plan; number of hours worked; leave accrual rate, usage, and balances; Civil Service Retirement and Federal Retirement System contributions; FICA withholdings; Federal, State, and local tax withholdings; Federal Employee's Group Life Insurance withholdings; Federal Employee's Health Benefits withholdings; charitable deductions; allotments to financial organizations; garnishment documents; savings bonds allotments; union and management association dues withholding allotments; travel expenses; and information on the leave transfer program and fare subsidy program.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

31 U.S.C. 66a; 5 U.S.C. 5501 et seq., 5525 et seq., 5701 et seq., and 6301 et seq.; Executive Order 9397; Pub. L. 100–202, Pub. L. 100–440, and Pub. L. 101–509.

Purpose(s):

These records are used to administer the pay, leave, and travel requirements of OPM and in the administration of the fare subsidy program. These records may also be used to locate individuals for personnel research.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 10 of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system. The following routine uses are specific to this system of records only:

a. By the Department of Labor in connection with a claim filed by an employee for compensation due to a job-connected injury or illness.

b. By the Department of the Treasury to issue checks and U.S. Savings Bonds.

c. By State offices of unemployment compensation with survivor annuity or health benefits claims or records reconciliations.

d. By Federal Employee's Group Life Insurance or Health Benefits carriers in connection with survivor annuity or health benefits claims or records reconciliations.

e. To disclose information to the Internal Revenue Service and State and local tax authorities.

f. To provide officials of labor organizations recognized under 5 U.S.C. Chapter 71 with information as to the identity of OPM employees contributing union dues each pay period and the amount of dues withheld from each contributor.

g. To disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

h. To disclose information to any source from which additional information is requested relevant to an OPM determination concerning an individual's pay, leave, or travel expenses, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.

i. To disclose information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

j. To disclose, annually, pay data to the Social Security Administration and the Department of the Treasury as required.

k. To disclose information to a Federal agency or Congressional inquiry from which additional or statistical information is requested relevant to the OPM Fare Subsidy Program.

l. To disclose information to the Department of Health and Human Services on new hires and quarterly wages as required under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996.

Disclosure to consumer reporting agencies:

Pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).

Policies and practices for storing, retrieving, retaining, and disposing of records in the system:

Storage:

These records are maintained in an automated data base, in file folders and loose leaf binders, and on cards and magnetic tapes.

Retrievability:

These records are retrieved by the names, Social Security Numbers, or OPM employee identification numbers of the individuals on whom they are maintained.

Safeguards:

These records are located in lockable metal filing cabinets or in a secured facility and are available only to authorized personnel whose duties require access.

Retention and disposal:

These records are maintained for varying periods of time, in accordance with NARA General Records Schedules 2 (pay and leave) and 9 (travel). Disposal of manual records is by shredding or burning; magnetic tapes are erased.

System manager(s) and address:

Chief Financial Officer, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–1200.

Notification procedure:

Individuals wishing to determine whether this system of records contains information on them should contact the system manager indicated, or the OPM regional office where the individual is or was employed. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Social Security Number.

d. OPM employment identification number.

Record access procedures:

Individuals wishing to request access to records about them should contact the system manager indicated, or the OPM regional office where the individual is or was employed. Individuals must provide the following information for their records to be located and identified:

a. Full name

b. Date of birth

c. Social Security Number

d. OPM employment identification number

Individuals requesting access must also follow the OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedures:

Individuals wishing to request amendment of records about them should contact the system manager indicated , or the OPM regional office where the individual is or was employed. Individuals must furnish the following information for their records to be located and identified:

a. Full name

b. Date of birth

c. Social Security Number

d. OPM employment identification number

Individuals requesting amendment must also follow the OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual to whom the record pertains.

b. OPM officials responsible for pay, leave, and travel requirements.

c. Other official personnel documents of OPM.

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OPM/INTERNAL–6

System name:

Appeal and Administrative Review Records.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

Categories of individuals covered by the system:

Current and former employees of the OPM.

Categories of records in the system:

This system contains records relating to various appeal or administrative review procedures available to OPM employees. These appeals or administrative review procedures include adverse action appeals initiated prior to September 9, 1974, which were processed under OPM's internal appeals system; reconsiderations of acceptable level of competence determinations for within-grade increases; impartial reviews of performance ratings; and internal appeals of position classification decisions. The system also contains records and documentation of the action upon which the appeal or review procedure was based (e.g., 90-day notices of warning of unsatisfactory performance rating).

Note:

The system does not include:

a. Appeal or complaint records covered by the Merit Systems Protection Board's system of Appeals Records; or

b. Records for grievances processed under OPM's administrative grievance procedure or under the grievance system negotiated by OPM and a recognized labor organization, which are covered under the OPM/INTERNAL–3 and OPM/INTERNAL–11 systems of records.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 U.S.C. 1302, 3301, 3302, 4305, 5115, 5335, 7501, 7512, and Executive Order 10577.

Purpose(s):

These records are used to process the various appeals or administrative reviews available to OPM employees.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 11 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To provide information to officials of labor organizations recognized under 5 U.S.C. Chapter 71, when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

b. To disclose information to any source from which additional information is requested in the course of processing an appeal or administrative review procedure, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested.

Policies and practices for storing, retrieving, retaining, accessing, and disposing of records in the system:

Storage:

These records are maintained in file folders.

Retrievability:

These records are retrieved by the name of the individuals on whom they are maintained.

Safeguards:

These records are maintained in lockable metal filing cabinets to which only authorized personnel have access.

Retention and disposal:

Adverse action appeals initiated prior to September 9, 1974, which were processed under OPM's internal appeals system are retained for 7 years after the closing of the case. Other records in the system are maintained for a maximum of 4 years after the closing of the case. Disposal is by shredding or burning.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

Individuals involved in appeals and administrative review procedures are aware of that fact and have been provided access to the records. They may, however, contact the system manager indicated regarding the existence of such records about them. They must furnish the following information for their records to be located and identified.

a. Name.

b. Date of birth.

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

d. Organizational component involved.

Record access procedure ;

Individuals involved in appeals and administrative review procedures are aware of that fact and have been provided access to the record. After the action has been closed, however, an individual may request access to the official copy of an appeal or administrative review procedure by contacting the system manager indicated. Individuals must provide the following information for their records to be located and identified. I20a. Name.

b. Date of birth.

c. Approximate date of closing of the case and kind of actions taken.

d. Organizational component involved.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Review of requests from individuals seeking amendment of their records which have previously been or could have been the subject of a judicial or quasi-judicial action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents the action of the agency or administrative body ruling on the case, and will not include a review of the merits of the action, determination, or finding.

Individuals wishing to request amendment of their records to correct factual errors should contact the system manager indicated. Individuals must furnish the following information for their records to be located and identified.

a. Name.

b. Date of birth.

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

d. Organizational component involved.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

The information in this system of records is obtained from:

a. The individual to whom the records pertain.

b. OPM officials involved in the appeal or administrative procedure.

c. Other official personnel records of OPM.

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OPM/INTERNAL–7

System name:

Complaints and Inquiries Records.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

Categories of individuals covered by the system:

Current OPM employees about whom complaints or inquiries have been received.

Categories of records in the system:

This system contains information or correspondence concerning an individual's employment status or conduct while employed by OPM. Examples of these records include: Correspondence from Federal employees, members of Congress, or members of the public alleging misconduct of an OPM employee; and miscellaneous complaints not covered by OPM's formal or negotiated grievance procedure.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

Executive Order 11222.

Purpose(s):

These records are used to take action on or respond to a complaint or inquiry concerning an OPM employee or to counsel the employee.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 11 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine use listed below is specific to this system of records only.

To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose of the request, and identify the type of information requested), where necessary to obtain information relevant to an OPM decision concerning the individual employee, e.g., on the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the issuance of a license, grant, or other benefit.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained on cards and in file folders which are separate from the employee's Official Personnel Folder.

Retrievability:

These records are retrieved by the name of the individual on whom they are maintained.

Safeguards:

These records are filed in lockable metal filing cabinets with access limited to personnel whose official duties require access.

Retention and disposal:

These records are disposed of upon the transfer or separation of the employee or after 1 year, whichever is earlier. Disposal is by shredding or burning.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

Individuals wishing to inquire whether this system contains information about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

Record access procedure:

OPM employees wishing to request access to their records should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

OPM employees wishing to request amendment of their records should contact the system manager indicated. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual to whom the information pertains.

b. Federal employees, Members of Congress, creditors, or members of the public who submitted the complaint or inquiry.

c. OPM officials.

d. Other source from whom information was requested regarding the complaint or inquiry.

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OPM/INTERNAL–8

System name:

Employee Counseling Services Program Records.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415, and OPM Regional Offices.

Note:

In order to meet the statutory requirement that agencies provide appropriate prevention, treatment, and rehabilitation programs and services for employees with alcohol or drug problems, and to better accommodate establishment of a health service program to promote employees' physical and mental fitness, it may be necessary for an agency to negotiate for use of the counseling staff of another Federal, State, or local government, or private sector agency or institution. This system also covers records on OPM employees that are maintained by another Federal, State, or local government, or private sector agency or institution under such a negotiated agreement. When one or more Federal agencies wish to jointly make similar arrangements for employees, in order to ensure compliance with the law and to promote the agency health service program, OPM may, on behalf of the participating agencies, negotiate an agreement that provides such services through another Federal, State, or local government, or private sector agency or institution. However, when such is the case, this system will not cover records pertaining to employees of other participating agencies. Such records are considered by OPM as being part of the employing agency's internal system of records covering agency employees.

Categories of individuals covered by the system:

Current and former OPM employees who have been counseled or otherwise treated regarding alcohol or drug abuse or for personal or emotional health problems.

Categories of records in the system:

Records in this system include documentation of visits to employee counselors (Federal, State, local government, or private) and the diagnosis, recommended treatment, results of treatment, and other notes or records of discussions held with the employee made by the counselor. Additionally, records in this system may include documentation of treatment by a private therapist or a therapist at a Federal, State, local government, or private institution.

Authority for maintenance of the system:Includes the following with any revisions or amendments:

5 U.S.C. 3301 and 7901, 21 U.S.C. 1101 and 1108, 42 U.S.C. 4541 and 4561, and 44 U.S.C. 3101.

Purpose(s):

These records are used to document the nature of the individual's problem and progress made and to record an individual's participation in and the results of community or private sector treatment or rehabilitation program.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

These records and information in these records may be used:

a. To disclose information to the Department of Justice or other appropriate Federal agencies in defending claims against the United States, when the claim is based upon an individual's mental or physical condition and is alleged to have arisen because of activities of OPM in connection with the individual.

b. To disclose information to qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation, but such personnel may not identify, directly or indirectly, any individual patient in any report or otherwise disclose patient identities in any manner (when such records are provided to qualified researchers employed by OPM, all patient identifying information shall be removed).

Note:

Disclosure of these records beyond officials of OPM having a bona fide need for them or to the person to whom they pertain, is rarely made as disclosures of information pertaining to an individual with a history of alcohol or drug abuse must be limited in compliance with the restriction of the Confidentiality of Alcohol and Drug Abuse Patient Records regulations, 42 CFR part 2. Records pertaining to the physical and mental fitness of employees are, as a matter of OPM policy, afforded the same degree of confidentiality and are generally not disclosed.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained in file folders.

Retrievability:

These records are retrieved by the name of the individual on whom they are maintained.

Safeguards:

These records are maintained in locked file cabinets labeled confidential with access strictly limited to employees directly involved in OPM's alcohol and drug abuse prevention function (as that term is defined in 42 CFR part 2).

Retention and disposal:

Records are maintained for three to five years after the employee's last contact with OPM's prevention function or, if the employee leaves the agency, until the Employee Counseling Service Program Annual Report for the fiscal year in which separation occurred is prepared. Records are destroyed by shredding or burning.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

OPM employees wishing to inquire whether this system of records contains information about them should contact the OPM Employee Counseling Services Program coordinator who arranged for counseling or treatment. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

Record access procedure:

OPM employees wishing to request access to records pertaining to them should contact the OPM Employee Counseling Services Program coordinator who arranged for counseling or treatment. Individuals must furnish the following information for their records to be located and identified.

a. Name.

b. Date of birth.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

OPM employees wishing to request amendment to these records should contact OPM's Employee Counseling Service Program coordinator who arranged for counseling or treatment. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment or records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual to whom the record applies.

b. The supervisor of the individual if the individual was referred by a supervisor.

c. The Employee Counseling Services Program staff member who records the counseling session.

d. Therapists or institutions providing treatment.

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OPM/INTERNAL–9

System name:

Employee Locator Card Files.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–0001.

Categories of individuals covered by the system:

Employees of OPM.

Categories of records in the system:

This system contains information regarding the organizational location and telephone extension of individual OPM employees. The system also contains the home address and telephone number of the employee and the name, address, and telephone number of an individual to contact in the event of a medical or other emergency involving the employee.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. 301.

Purpose(s):

Information is collected for this system in order to identify an individual for OPM officials to contact, should an emergency of a medical or other nature involving the employee occur while the employee is on the job. These records may be used to locate individuals for personnel research.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 11 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. There are no routine uses unique to this system of records.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

Records are maintained on cards or in an automated format.

Retrievability:

Records are retrieved by the name of the individual on whom they are maintained.

Safeguards:

Records are maintained in secured areas and are available only to authorized personnel whose duties require access.

Retention and disposal:

Records are maintained as long as the individual is an employee of OPM. Expired records are destroyed by burning, shredding, or erasure of tapes/disks.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

Notification procedure:

OPM employees wishing to inquire whether this system contains information about them should contact the system manager.

Individuals must furnish the following information for their records to be located and identified:

a. Full name.

Record access procedures:

OPM employees wishing to request access to records about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedures:

OPM employees may amend information in these records at any time by resubmitting updated information. Individuals wishing to request amendment of their records under the provisions of the Privacy Act should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information is provided by the individual who is the subject of the record.

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OPM/INTERNAL–10

System name:

Motor Vehicle Operator and Accident Report Records.

System location:

Office of Contracting and Administrative Services, Investigations Service; and the Office of the General Counsel; Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

Categories of individuals covered by the system:

Current and former employees of OPM.

Categories of records in the system:

The system contains documents related to the authorization of an individual to operate Government motor vehicle; and reports, correspondence, and fiscal documents concerning automobile accidents occurring in a Government-owned, leased, or rented vehicle or in a privately-owned vehicle while on official business.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

28 U.S.C. 171.

Purpose(s):

These records serve to document supervisor's verification of employee's license to operate a Government motor vehicle; authorization to use Government-owned, leased, or rented motot vehicle or private-owned vehicle to conduct official business; and information regarding motor vehicle accidents, including reports and related documents that may be used in settlement of claims and litigation resulting from an accident involving a Government-owned, leased, or rented motor vehicle or privately-owned vehicle used by employees to conduct official business.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 and 3 through 7, of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To disclose information any source from which additional information is requested (to extent necessary to identify the individual, inform the source of the purpose of the request, and identify the type of information requested), when necessary to obtain information relevant to an office decision concerning the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a grant or other benefit.

b. To disclose accident report record information to officials of labor organizations recognized under the Chapter 71, title 5, U.S.C. when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

h. To disclose information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation, the classifying of jobs, or the award of a contract, license, grant, or other benefit.

i. To disclose information to the General Services Administration about accidents involving Government owned or leased automobiles.

j. To disclose information to insurance carriers about accidents involving privately-owned vehicles.

Policies and practices of storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained in file folders and on indexed application cards.

Retrievability:

Records are retrieved by the name of the individual on whom they are maintained.

Safeguards:

Records are maintained in a secured area with access limited to authorized personnel whose duties require access.

Retention and disposal:

Motor vehicle operator authorization records are maintained for three years after the separation of the employee (operator) and are destroyed by shredding. Accident reports are maintained for 6 years after the file is closed and are destroyed by shredding, except in cases involving litigation. In cases involving litigation, these records are to be maintained for seven years after the litigation is resolved.

System manager(s) and address:

Motor vehicle operator authorization records:

Director, Office of Contracting and Administrative Services, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001, or the Director of the appropriate field service office.

Accident report records: For reports involving femployees of the Investigations Service with judgements under $2,500: Associate Director, Investigations Service, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

For reports involving employees of Field Service Offices with no personal injury, and judgements under $2,500: Appropriate Field Service Office Director.

For reports involving other OPM employees, or of employees of the Investigations Service involving judgements over $2,500: Office of the General Counsel, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

Notification procedure:

Individuals wishing to inquire whether this system of records contains information about them should contact the appropriate system manager as indicated under SYSTEM MANAGER AND ADDRESS.

Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

Record access procedure:

Individuals wishing to request access to records about them should contact the appropriate system manager as indicated under SYSTEM MANAGER AND ADDRESS.

Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

An individual requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Note:

The Office of General Counsel, pursuant to 5 U.S.C. 552a (d)(5) reserves the right to refuse access to information compiled in reasonable anticipation of a civil action or proceeding.

Contesting record procedure:

Individuals wishing to request amendment of their records should contact the appropriate system manager indicated under SYSTEM MANAGER AND ADDRESS.

Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual to whom the record pertains.

b. OPM employees and other parties involved in the accident.

c. Witnesses to the accident.

d. Police reports and reports of investigations conducted by OPM investigators and other Federal agency investigators.

e. Officials of OPM.

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OPM/INTERNAL–11

System name:

Administrative Grievance Records.

System location:

Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street, NW, Washington, DC 20415-0001.

Categories of individuals covered by the system:

Current or former OPM employees who have filed grievances under OPM's administrative grievance procedures in accordance with part 771 of OPM's regulations (5 CFR part 771).

Categories of records in the system:

The system contains records relating to grievances filed by OPM employees under administrative procedures and in accordance with part 771 of OPM's regulations. These case files contain all documents related to the grievance including statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, a copy of the original decision, and related correspondence and exhibits. This system does not include files and records of any grievance filed under negotiated procedures with recognized labor organizations.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 CFR part 771.

Purpose(s):

These records are used to process grievances submitted by OPM employees for personal relief in a matter of concern of dissatisfaction which is subject to the control of agency management.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 11 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine use listed below is specific to this system of records only.

To disclose information to any source from which additional information is required in the course of processing a grievance, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained in file folders.

Retrievability:

These records are retrieved by the names of the individuals on whom they are maintained.

Safeguards:

These records are maintained in lockable metal filing cabinets to which only authorized personnel have access.

Retention and disposal:

These records are disposed of 3 years after closing of the case. Disposal is by shredding or burning.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

It is required that individuals submitting grievances be provided a copy of the record under the grievance process. They may, however, contact the personnel office regarding the existence of such records on them. They must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

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

d. Organizational component involved.

Record access procedure:

It is required that individuals submitting grievances be provided a copy of the record under the grievance process. After the action has been closed, an individual may request access to the official copy of the grievance file by contacting the personnel office. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

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

d. Organizational component involved.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Review of requests from individuals seeking amendment of their records which have been the subject of an administrative, judicial, or quasi-judicial action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents the ruling on the case, and will not include a review of the merits of the action, determination, or finding.

Individuals wishing to request amendment of their records to correct factual errors should contact the personnel office. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

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

d. Organizational component involved.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual on whom the record is maintained.

b. Testimony of witnesses.

c. Agency officials.

d. Related correspondence from organizations or persons.

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OPM/INTERNAL–12

System name:

Telephone Call Detail Records.

System location:

Employment Service, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–0001.

Categories of individuals covered by the system:

Persons who are assigned OPM telephone numbers or are authorized to use OPM telephone services, and persons who make or receive telephone calls billed to OPM.

Categories of records in the system:

Call detail records of long-distance telephone calls placed from OPM telephones or otherwise billed to OPM (including originating and destination telephone numbers, cities, and states; date; time; cost; and duration of each call); records indicating the assignment of telephone numbers to organizations and individuals; and the organizational location of telephones.

Authority for maintenance of the system:

Authority for maintenance of the system includes the following with any revisions or amendments:

31 U.S.C. 1348 and 44 U.S.C. 3101.

Purpose(s):

OPM uses call detail records to verify telephone usage and to resolve billing discrepancies so that telephone bills can be paid. OPM may also use these records to allocate the costs of telephone services to OPM organizational units; to identify unofficial telephone calls; to seek reimbursement for unofficial calls; and as a basis for taking action when Agency employees or other persons misuse or abuse OPM telephone services.

Routine uses of records maintained in the system, including categories of useers and the purposes of such uses:

Routine uses 1 through 7, and 11, of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. By OPM employees or other persons to determine their individual responsibility for telephone calls;

b. By another Federal agency or a telecommunications company providing telephone services to permit servicing the account;

c. By appropriate OPM employees to assist in the planning and effective management of OPM telephone services, and to determine that OPM telephone services are being used in an efficient and economical manner;

d. By auditors, investigators, and other employees authorized by the Inspector General, pursuant to sections 4 and 6 of the Inspector General Act of 1978.

Disclosure to consumer repordting agencies:

Pursuant to 5 U.S.C. 552a(b)(12), OPM may disclose records from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).

Policies and practices for stopring, retrieving, retaining and disposing of records in the system:

Storage:

OPM stores records on magnetic media, on optical media, and on paper.

Retrievability:

Records are retrieved by employee name; by OPM organization; or by originating telephone number, destination telephone number, date, time, cost, or duration of call.

Safeguards:

Records are stored in secure areas and are available only to those persons whose official duties require access.

Retention and disposal:

These records are maintained for varying periods of time, from 6 months to 3 years, in accordance with NARA General Records Schedule 12, items 2 and 3. Records are destroyed after the appropriate retention period.

System manager(s) and address:

Network Communications Services, Employment Service, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–0001.

Notification procedure:

Individuals wishing to inquire whether this system of records contains information about them should send written requests to the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name;

b. OPM-assigned telephone number or telephone service authorization number; and

c. Description of information being sought, including the time frame of information being sought.

Record access procedures:

Individuals wishing to request access to records about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name;

b. OPM-assigned telephone number or telephone service authorization number; and

c. Description of information being sought, including the time frame of information being sought.

Individuals requesting access must also follow the Agency's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of records about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name;

b. OPM-assigned telephone number or telephone service authorization number; and

c. Description of information being sought, including the time frame of information being sought.

Individuals requesting amendment must also follow the Agency's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

The information in this system of records is obtained from:

a. Local OPM telephone directories and other telephone assignment records;

b. Call detail reports provided by suppliers of telephone services; and

c. The individual on whom the record is maintained.

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OPM/INTERNAL–13

System name:

Parking Program Records.

System location:

U.S. Office of Personnel Management, Office of Contracting and Administrative Services, 1900 E Street NW., Washington, DC 20415–7100.

Categories of individuals covered by the system:

Current OPM employees and others who use OPM parking facilities.

Categories of records in the system:

This system contains records relating to the administration of the parking permit system for OPM's central office at the Theodore Roosevelt Office Building, 1900 E Street NW, Washington, DC. The records include information such as name; Social Security Number; employing organization; assigned permit number; home and office telephone numbers; home address; vehicle information; duty hours and location; and medical information when necessary.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

Federal Property and Administrative Services Act of 1949, as amended, and 5 U.S.C. 301.

Purpose(s):

The records are used to administer the parking program at OPM, collect information for tax purposes, and compare records with other Federal agencies to ensure parking privileges are not abused. These records may also be used to locate individuals for personnel research.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1, 3 through 7, and 11, of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within the system. The routine uses listed below are specific to this system of records only.

a. To disclose information to the Internal Revenue Service and State and local tax authorities.

b. To disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.

c. To disclose information in computer matching activities, including comparison of parking records with other Federal agencies, and for the purpose of assigning tax liabilities related to the fringe benefit accrual value of parking.

d. To disclose information to OPM's Medical Doctor for approving parking based on a person's disability.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

These records are maintained in file folders and in an automated data base.

Retrievability:

These records are retrieved by the names, Social Security Numbers, permit numbers, addresses, or vehicle information of the individuals on whom they are maintained.

Safeguards:

Access is only to authorized personnel whose duties require access.

Retention and disposal:

These records are maintained for varying periods of time, in accordance with NARA General Records Schedules 2 (pay) and 11 (parking permits). Disposal of manual records is by shredding or burning; electronic data is erased.

System manager(s) and address:

Facility Services Division, Security Office, Office of Contracting and Administrative Services, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–7100.

Notification procedure:

Individuals wishing to determine whether this system of records contains information on them should contact the system manager. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Parking permit number (if appropriate).

c. Vehicle license number (if appropriate).

d. Social Security Number.

Record access procedures:

Individuals wishing to request access to records about them should contact the system manager. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Parking permit number (if appropriate).

c. Vehicle license number (if appropriate).

d. Social Security Number.

Individuals requesting access must also follow the OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Contesting record procedures:

Individuals wishing to request amendment of records about them should contact the system manager. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Parking permit number (if appropriate).

c. Vehicle license number (if appropriate).

d. Social Security Number.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individuals to whom the records pertain.

b. Information taken from official OPM records.

c. Other Federal agency parking records.

d. OPM Medical Doctors when disability determinations are requested.

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OPM/INTERNAL–14

System name:

Photo Identification and Visitor Access Control Records.

System location:

U.S. Office of Personnel Management, Office of Contracting and Administrative Services, 1900 E Street NW., Washington, DC 20415–7100.

Categories of individuals covered by the system:

Individuals visiting OPM facilities, OPM employees, contractors, and retirees seeking access to OPM facilities and classified records.

Categories of records in the system:

Records of individuals visiting OPM and employees, contractors, and retirees identification files (including photographs) maintained for access purposes.

Authority for maintenance of the system:

Federal Property and Administrative Services of 1949, as amended, and 40 U.S.C. 486(c).

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine use 1 of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) applies to the records maintained within the system. The are no routine uses unique to this system of records.

Purpose(s):

OPM will use the records to issue official U.S. Government Identification cards to OPM employees and contract employees requiring access to OPM building and offices. The records will also be used to maintain a record of all holders of identification cards, for renewal and recovery of expired cards, and to identify lost or stolen cards.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Records are maintained in an automated database.

Retrievability:

By name.

Safeguards:

Access is limited to security and guard force personnel. Records are stored in guarded security areas.

Retention and disposal:

Records are destroyed 3 months after they are returned to the issuing office.

System manager(s) and address:

U.S. Office of Personnel Management, Office of Contracting & Administrative Services, Facilities Services Division, Security Office, Washington, DC 20415–7100.

Notification procedure:

OPM employees wishing to inquire whether this system of records contains information about them should contact the system manager indicated. Individuals must furnish their full names for their records to be located and identified.

Record access procedures:

OPM employees wishing to request access to records about them should contact the system manager indicated. Individuals must furnish their full names for their records to be located and identified.

Contesting record procedures:

OPM employees wishing to request amendment of their records should contact the system manager indicated. Individuals must furnish their full names for their records to be located and identified.

Record source categories:

Information in this system of records is obtained from:

a. The individual to whom the records pertain.

b. Information taken from official OPM records.

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OPM/Internal–15

System name:

OPM Child Care Tuition Assistance Records.

System location:

U. S. Office of Personnel Management, Office of Human Resources and EEO, 1900 E Street, NW., Room 1469, Washington, DC 20415.

Categories of individuals covered by the system:

Employees of the Office of Personnel Management who voluntarily apply for child care tuition assistance.

Categories of records in the system:

Application forms for child care tuition assistance containing personal information, including employee (parent) name, Social Security Number, grade, home and work numbers, addresses, telephone numbers, total family income, names of children on whose behalf the parent is applying for tuition assistance, child's date of birth; information on child care providers used, including name, address, provider license number and State where issued, tuition cost, and provider tax identification number; and copies of IRS Form 1040 and 1040A for verification purposes.

Authority for maintenance of the system:

Pub. L. 106–58, section 643 and E.O. 9397.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1, and 3 through 11 of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) applies to the records maintained within the system. There are no system unique routine uses.

Purpose(s):

To establish and verify OPM employees' eligibility for child care subsidies in order for OPM to provide monetary assistance to its employees.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage:

Information may be collected on paper or electronically and may be stored as paper forms or on computers.

Retrievability:

By name; may also be cross-referenced to Social Security Number.

Safeguards:

When not in use by an authorized person, paper records are stored in lockable file cabinets or secured rooms. Electronic records are protected by the use of passwords.

Retention and disposal:

Disposition of records is according to the National Archives and Records Administration (NARA) guidelines.

System manager(s) and address:

Director, Office of Human Resources and EEO, Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415.

Notification procedure:

Individuals may submit a request on whether a system contains records about them to the system manager indicated. Individuals must furnish the following for their records to be located and identified:

Full name.

Social Security Number.

Record access procedure:

Individuals wishing to request access to records about them should contact the system manager indicated. Individuals must provide the following information for their records to be located and identified:

Full name.

Social Security Number.

Individuals requesting access must also follow the OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of records about them should contact the system manager indicated. Individuals must furnish the following information for their records to be located and identified:

Full name.

Social Security Number.

Individuals requesting amendment must also follow the OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information is provided by OPM employees who apply for child care tuition assistance. Furnishing of the information is voluntary.

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OPM INTERNAL 16

System name:

Adjudications Officer Control Files.

System location:

Office of Personnel Management (OPM), Investigations Service (IS), Federal Investigations Processing Center, PO Box 618, Boyers, Pennsylvania 16018–0618.

Categories of individuals covered by the system:

This system contains records on individuals, other than OPM employees: (1) Who work on an OPM-Investigations Service (IS) contract; (2) who need to access IS facilities or use IS equipment; or (3) about whom OPM—IS has provided a suitability or security adjudication advisory opinion at the request of another Federal agency's adjudication or security office.

Categories of records in the system:

The records in the system may contain the following:

a. Documents completed by the individual.

b. Dates and types of investigations.

c. Investigative reports, including those from Federal investigative agencies, the Department of Defense, and internal and external inquiries.

d. Records of suitability or security determinations.

e. Dates and levels of security clearances and supporting documentation.

f. Records of disclosures of information. g.Information related to an individual's work performance on an OPM—IS contract.

h. Documents concerning an individual's conduct problems or security and policy violations related to an OPM—IS contract or use of OPM equipment or facilities.

i. Correspondence between OPM—IS and an agency or an individual.

j. Correspondence related to administrative review procedures.

Authority for maintenance of the system:

The authorities for maintenance of the system include the following, with any revisions or amendments: Executive Orders 10450, 12958 and 12968.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Information in these records may be used:

1. For Judicial/Administrative Proceedings—To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a judge.

2. For National Archives and Records Administration—To disclose information to the National Archives and Records Administration for use in records management inspections.

3. Within OPM for Statistical/Analytical Studies—By OPM in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

4. For Litigation—To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body or other administrative body before which OPM is authorized to appear, when: OPM, or any component thereof; or any employee of OPM in his or her official capacity; or any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or the United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected.

5. For the Merit Systems Protection Board—To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may be authorized by law.

6. For the Equal Employment Opportunity Commission—To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures or other functions vested in the Commission and to otherwise ensure compliance with the provisions of 5 U.S.C. 7201.

7. For the Federal Labor Relations Authority—To disclose information to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.

8. For Certain Disclosures to Other Federal Agencies—To disclose relevant and necessary information to designated officers and employees of agencies, offices and other establishments in all branches of the Federal Government for:

(a) Conducting suitability or security investigations,

(b) Classifying jobs,

(c) Hiring or retaining employees,

(d) Evaluating qualifications, suitability and loyalty to the United States Government,

(e) Granting access to classified information or restricted areas,

(f) Letting a contract, issuing a license, grant, or other benefit, or

(g) Providing a service performed under a contract or other agreement.

9. For Law Enforcement Purposes—To disclose information to the appropriate Federal, State, local, tribal, foreign or other public authority responsible for investigating, prosecuting, enforcing or implementing a statute, rule, regulation or order when OPM—IS becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

10. For Congressional Inquiry—To disclose information to a congressional office in response to an inquiry made on behalf of an individual. Information will only be released to a congressional office if OPM receives a notarized authorization from the individual.

11. For Non-Federal Personnel—To disclose information to contractors or volunteers performing or working on a contract, service or job for the Federal Government, regarding permission for an individual to work on an OPM—IS contract or use OPM—IS facilities or equipment, or be granted a security clearance.

Purpose(S)

OPM—IS Adjudications Officers and Contract Administrators, or designees, use these records for making suitability or security determinations, granting security clearances for access to classified information, determining the need and eligibility to use OPM—IS facilities or equipment, assigning position sensitivity and documenting an individual's performance and conduct on an OPM—IS contract.

Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system:

Storage:

OPM–IS maintains these records in file folders and in electronic databases.

Retrievability:

Records are retrieved by the name and date of birth or Social Security Number of the individual about whom they are maintained.

Safeguards:

OPM stores the file folders in locked, metal file cabinets in a secured room. OPM restricts access to the records on the databases to employees who have the appropriate clearance and need-to-know.

Retention and disposal:

We maintain the records 3 years (as authorized/prescribed by the National Archives and Records Administration's General Records Schedules) after the individual's contract status with OPM–IS ends, the need to use OPM–IS equipment or facilities has terminated or the Federal agency notifies OPM–IS that the person whose case OPM–IS adjudicated has separated from that agency. OPM maintains records of disclosures of information from this system for 5 years after the disclosure is made or the life of the record, whichever is longer. Classified Information Nondisclosure Agreements (Standard Form 312) signed by individuals are maintained for 70 years.

Contents of the file folders are destroyed by shredding and recycling and computer records are destroyed by electronic erasure.

System manager(s) and address:

Associate Director, Investigations Service, Office of Personnel Management, Room 5416, 1900 E Street, NW., Washington, DC 20415–4000.

Notification procedure:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(c)(3) and (d) regarding accounting of disclosures and access to and amendment of records. The section of this notice titled "System Exemptions" indicates the kinds of material exempted and the reasons for exempting them from access. Individuals wishing to ask if this system of records contains information about them or to request access to their record should write to FOI/P, OPM, Federal Investigations Processing Center, PO Box 618, Boyers, PA 16018–0618. Individuals must furnish the following information for their record to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5.Available information regarding the type of information requested.

6. The reason why the individual believes this system contains information about him/her.

7. The address to which the information should be sent.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Record access procedure:

See Notification procedure.

Contesting record procedure:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(d) regarding access to and amendment of records. The section of this notice titled "System Exemptions" indicates the kinds of material exempted and the reasons for exempting them from amendment. Individuals wishing to request amendment of their non-exempt records should write to the Federal Investigations Processing Center and furnish the following information for their record to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5.Precise identification of the information to be amended.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment to records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

1. The individual to whom the information applies.

2.OPM–IS investigative files.

3. Officials of OPM and OPM–IS contractors.

4. Federal agencies, the Department of Defense, and external and internal inquiries.

5. The public.

System exempted from certain provisions of the act:

All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6) or (7) is exempt from the requirements of the Privacy Act that relate to providing an accounting of disclosures to the data subject and access to and amendment of records (5 U.S.C. 552(c)(3) and (d)).

5 U.S.C. 552a(k)

1. Properly classified information obtained from another Federal agency during the course of a personnel investigation, which pertains to national defense and foreign policy.

2. Investigatory material compiled for law enforcement purposes other than material within the scope of this subsection.

3. Investigatory material maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18 of the U.S. Code.

4. Investigatory material that is required by statute to be maintained and used solely as a statistical record.

5. Investigatory material compiled solely for the purpose of determining suitability, eligibility or qualifications for Federal civilian employment and Federal contact or access to classified information. Materials may be exempted to the extent that release of the material to the individual whom the information is about would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence or, prior to September 27, 1975, furnished information to the Government under an implied promise that the identity of the source would be held in confidence.

6. Testing and examination materials, compiled during the course of a personnel investigation, that are used solely to determine individual qualifications for appointment or promotion in the Federal service, when disclosure of the material would compromise the objectivity or fairness of the testing or examination process.

7. Evaluation materials, compiled during the course of a personnel investigation, that are used solely to determine potential for promotion in the armed services can be exempted to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

[TOP]

OPM INTERNAL–17

System Name:

Web-Enabled Voting Rights System (WEVRS).

System Location:

The IT infrastructure of WEVRS is housed at Office of Personnel Management (OPM), 1900 E Street NW., Washington, DC 20415. Related original paperwork is housed at the Voting Rights Section, OPM, Room B1503, Building 20, Denver Federal Center, Denver, CO 80225.

Categories of Individuals Covered by the System:

This system contains records on certain citizens who were listed to vote by the Federal Government in order to ensure access to registration. The system currently contains information on approximately 112,000 Federally registered voters who live in certain counties and parishes (hereafter referred to as "covered jurisdictions") in five states: Alabama, Georgia, Louisiana, Mississippi, and South Carolina.

Categories of Records in the System:

The records in the database may contain the following on an individual voter:

a. Name.

b. Address, including state, county, and precinct.

c. Birth date.

d. Number and date of the Federal certificate (i.e., voting registration card).

e. The line number where the voter's name appears on original paper versions of the list of Federally registered voters ("the List").

The same information may also appear on the paper certificates and in the original List.

Authority for Maintenance of the System:

The Voting Rights Act of 1965 (42 U.S.C. 1973), as amended, gives OPM the authority for maintenance of the system.

Purpose:

In accordance with the Voting Rights Act of 1965, as amended, OPM maintains the List, keeping it as up-to-date as possible. If designated by Federal examiners, OPM can add voters to the List. If the appropriate jurisdictions provide proof to OPM that Federally listed voters have lost their eligibility to vote under state law, OPM will remove those voters' names from the List. Voters can become ineligible to vote under state laws for reasons such as death, loss of U.S. citizenship, conviction of a felony, legal declaration of insanity or incompetence, or change in residence outside of the certified county/parish where Federally registered. Also, when appropriate jurisdictions provide the specified documentation, OPM makes name, address, and precinct changes to the List as necessary.

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of Such Uses:

Information in these records may be used:

1. For maintaining the List.

2. For the National Archives and Records Administration—To disclose information to the National Archives and Records Administration for use in records management inspections.

3. For litigation—To disclose information to the Department of Justice (DOJ), or in a proceeding before a court, adjudicative body or other administrative body before which OPM is authorized to appear, when: OPM, or any component thereof; or any employee of OPM in his or her official capacity; or any employee of OPM in his or her individual capacity where DOJ or OPM has agreed to represent the employee; or the United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by DOJ or OPM is deemed by OPM to be arguably relevant and necessary to the litigation provided; however, that the disclosure is compatible with the purpose for which records were collected.

4. For Certain Disclosures to DOJ—To disclose relevant and necessary information to designated officers and employees of DOJ for:

(a) Providing information to covered jurisdictions upon their request.

(b) Reminding covered jurisdictions of the presence of Federally registered voters within their bounds.

(c) Comparing voters on the List to those on county/parish voter registration lists.

5. For Certain Disclosures to States and Covered Jurisdictions—To reference information on the List when they make requests for changes or removals from it, and to ensure the accuracy of the voter registration lists.

Policies and Practices of Storing, Retrieving, Safeguarding, Retaining, and Disposing of Records in the System:

Storage:

WEVRS maintains these records in an electronic database. OPM maintains the original List in press-board binders by date and jurisdiction in filing cabinets. It also maintains originals, or copies of originals, of Federal certificates (i.e., voter registration cards) in card files.

Retrievability:

Records in WEVRS may be retrieved by the name, address, state, county/parish, or precinct of the individual about whom they are maintained.

Safeguards:

OPM has adopted appropriate administrative, technical, and physical controls in accordance with its Automated Information Systems Security Program to protect information in the WEVRS database. OPM stores the List and certificates in locked, metal file cabinets in a secured room. OPM restricts access to all of these records to employees who have the appropriate clearance and need-to-know.

Retention and Disposal:

OPM maintains these records in accordance with OPM's Records Retention Schedule, Section 3.LEG.01.

System Manager and Address:

Associate Director, Human Resources Products and Services Division, Office of Personnel Management, Room 4310, 1900 E Street NW., Washington, DC 20415–4000.

Notification and Record Access Procedure:

Individuals wishing to determine whether this system of records contains information about them may do so by writing to FOI/P, OPM, ATTN: Mary Beth Smith-Toomey, Office of the Chief Information Officer, 1900 E Street NW., Room 5415, Washington, DC 20415–7900. Individuals must furnish the following information for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5. Available information regarding the type of information requested.

6. The reason why the individual believes this system contains information about him/her.

7. The address to which the information should be sent.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting Record Procedure:

Individuals wishing to request amendment of records about them should write to Nelldean Monroe, OPM Voting Rights Administrator, P.O. Box 25167, Denver, CO 80225–0167 and furnish the following information for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5. Precise identification of the information to be amended.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment to records (5 CFR part 297).

Record Source Categories:

Information in this system of records is obtained from:

1. The individual to whom the information applies.

2. Election commissioners and registrars of voters of covered jurisdictions.

System Exemptions:

None.

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OPM INTERNAL–18

SYSTEM NAME:

Federal Cyber Service: Scholarship For Service (SFS).

SYSTEM LOCATION:

The IT infrastructure of SFS is housed at the Center for Talent Service Technical Services Group at 4685 Log Cabin Drive, Macon, GA 31204.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on certain citizens who were selected for participation in the SFS program. The system currently contains information on approximately 1000 participating students, 39 participating university officials, and 400 agency officials.

CATEGORIES OF RECORDS IN THE SYSTEM:

The records in the database may contain the following on a participating student:

a. Name.

b. Address.

c. Phone number.

d. E-mail address.

e. Employment Information.

f. Education.

The records in the database may contain the following on participating university officials:

a. Name.

b. University address.

c. University phone number.

d. University e-mail address.

e. Fax number.

The records in the database may contain the following on registered agency officials:

a. Name.

b. Agency address.

c. Agency phone number.

d. Agency e-mail address.

e. Fax number.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Federal Cyber Service Training and Education Initiative as described in the President's National Plan for Information Systems Protection, gives OPM the authority to maintain the system.

PURPOSE:

The information is used by OPM's Center for Talent Services to register scholarship recipient's education and experience and to provide this information to potential Federal employers. Students are selected by participating universities/colleges to receive the scholarship. Once selected and approved by OPM, the student is provided instructions on how to register their resume on-line. Approved Federal agencies and approved university officials are then able to retrieve resumes of the scholarship recipients through a password protected website.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

Information in these records may be used by:

1. OPM—

(A) To maintain the database.

(B) To produce to another Federal agency 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, and such information is deemed by OPM to be arguably relevant and necessary to the litigation.

(C) To disclose information to the National Archives and Records Administration for use in records management inspections.

(D) To produce summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

(E) To disclose information to the Department of Justice (DOJ), or in a proceeding before a court, adjudicative body or other administrative body before which OPM is authorized to appear, when: OPM, or any component thereof; or any employee of OPM in his or her official capacity; or any employee of OPM in his or her individual capacity where DOJ or OPM has agreed to represent the employee; or the United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by DOJ or OPM is deemed by OPM to be arguably relevant and necessary to the litigation provided; however, that the disclosure is compatible with the purpose for which records were collected.

(F) To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may be authorized by law.

(G) To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures or other functions vested in the Commission and to otherwise ensure compliance with the provisions of 5 U.S.C. 7201.

(H) 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.

(I) To disclose relevant and necessary information to designated officers and employees of agencies, offices and other establishments in all branches of the Federal Government for:

(a) conducting suitability or security investigations,

(b) classifying jobs,

(c) hiring or retaining employees,

(d) evaluating qualifications, suitability and loyalty to the United States Government,

(e) granting access to classified information or restricted areas,

(f) letting a contract, issuing a license, grant, or other benefit, or

(g) providing a service performed under a contract or other agreement.

(J) To disclose information to the appropriate Federal, State, local, tribal, foreign or other public authority responsible for investigating, prosecuting, enforcing or implementing a statute, rule, regulation or order when OPM–CFIS becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

(K) To disclose information to a congressional office in response to an inquiry made on behalf of an individual. Information will only be released to a congressional office if OPM receives a notarized authorization or signed statement under 28 U.S.C. 1746 from the subject of the investigation.

3. Approved University Officials—To view resumes of their participating students to ensure the accuracy of the students resume.

4. Approved Federal agencies—To obtain names and resumes of participating students available for employment.

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

STORAGE:

SFS maintains these records in an electronic database.

RETRIEVABILITY:

Records in SFS may be retrieved by the name of the individual about whom they are maintained.

SAFEGUARDS:

OPM has adopted appropriate administrative, technical, and physical controls in accordance with its Automated Information Systems Security Program to protect information in the SFS database. OPM restricts access to all of these records to employees who have the appropriate clearance and need-to-know.

RETENTION AND DISPOSAL:

Service Agreements are destroyed (shredded) 180 days after the student has completed their obligation to the Federal Government. The Database consisting of name, university, degree information, and hiring agency, is maintained indefinitely by graduating class for reporting and statistical purposes. SFS is currently in the process of establishing a Records Retention Schedule with NARA.

SYSTEM MANAGER AND ADDRESS:

Associate Director, Human Resources Products and Services Division, Office of Personnel Management, Room 4310, 1900 E Street, NW., Washington, DC 20415–4000.

NOTIFICATION AND RECORD ACCESS PROCEDURE:

Individuals wishing to determine whether this system of records contains information about them may do so by writing to FOI/P, OPM, ATTN: FOIA Officer, 1900 E Street, NW., Room 5415, Washington, DC 20415–7900.

Individuals must furnish the following information for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5. Available information regarding the type of information requested.

6. The reason why the individual believes this system contains information about him/her.

7. The address to which the information should be sent.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

CONTESTING RECORD PROCEDURE:

Individuals wishing to request amendment of records about them should write to Kathryn Roberson, Manager, SFS, 8610 Broadway, Rm 305, San Antonio, TX 78217 and furnish the following information for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5. Precise identification of the information to be amended.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment to records (5 CFR part 297).

RECORD SOURCE CATEGORIES:

Information in this system of records is obtained from:

1. The individual to whom the information applies.

SYSTEM EXEMPTIONS:

None. [TOP]

OPM/CENTRAL–1

System name:

Civil Service Retirement and Insurance Records.

System location:

Deputy Associate Director, Center for Retirement and Insurance Services, Office of Personnel Management (OPM), 1900 E Street, NW., Washington, DC 20415–0001. Certain records pertaining to State income tax withholdings from annuitant payments are located with State Taxing Offices. Certain information concerning enrollment/change in enrollment in a health plan under the Federal Employees Health Benefits Program (FEHBP) may be located at other agencies. Certain records pertaining to overpayments must be forwarded to the Department of the Treasury for collection activity. Certain records pertaining to enrollment in a Preauthorized Debit Program (PAD) for sending recurring remittances to OPM for service credit and voluntary contributions accounts are maintained with a lockbox bank, which operates the PAD program for OPM.

Categories of individuals covered by the system:

a. Former Federal employees and members of Congress who performed service subject to the Civil Service Retirement System (CSRS) or Federal Employees' Retirement System (FERS).

b. Current Federal employees who have:

1. Performed Federal service subject to the CSRS or FERS other than with their present agency; or

2. Had data converted to the OPM Retirement Systems Modernization Program; or

3. Filed a designation of beneficiary for benefits payable under the CSRS; or

4. Requested OPM to review a claim for health benefits made under the FEHBP; or

5. Enrolled/changed enrollment in a plan under the FEHBP; or

6. Filed a service credit application in connection with former Federal service; or

7. Filed an application for disability retirement with OPM and are awaiting final decision, or whose disability retirement application has been disapproved by OPM.

c. Former Federal employees who died subject to or who retired under the CSRS or FERS, or their surviving spouses, and/or children who have received or are receiving CSRS or FERS benefits and/or benefits under the Federal Employees' Group Life Insurance (FEGLI) Program, or Federal Employees Health Benefits Program (FEHBP).

d. Former Federal employees who died subject to or who retired under a Federal Government retirement system other than CSRS or FERS, or their surviving spouses and/or children, who have received or are receiving benefits from FEGLI and/or FEHBP.

e. Applicants for Federal employment found unsuitable for employment on medical grounds.

f. Former spouses of Federal employees who have received or are receiving CSRS or FERS benefits, or who have filed a court order awarding future benefits.

Categories of records in the system:

This system comprises those retirement service history records of employee's service in the Federal Government from their current employing agency if the employee has been converted to the Retirement Systems Modernization Program and/or an agency other than for the agency in which they may presently be employed. Also included in the system are current personnel data pertaining to active United States Postal Service employees who, by virtue of the provisions set forth in 5 U.S.C. 2105(e), are not considered civil service employees. It also contains information concerning health benefit enrollment/change in enrollment, and information developed in support of claims for benefits made under the retirement, health benefits, and life insurance programs for Federal employees that OPM administers. Also included are medical records and supporting evidence on those individuals whose application for disability retirement has been rejected. Consent forms and other records related to the withholding of State income tax from annuitant payments, whether physically maintained by the State or OPM, are included in this system. Consent forms and other records related to enrollment in the Preauthorized Debit Program, whether physically maintained by the authorized lockbox bank or OPM, are included in the system.

These records contain the following information:

a. Documentation of Federal service subject to the CSRS or FERS.

b. Documentation of service credit and refund claims made under the CSRS or FERS.

c. Documentation of voluntary contributions made by eligible individuals.

d. Retirement and death claims files, including documents supporting the retirement application, health benefits, and life insurance eligibility, medical records supporting disability claims (after receipt by OPM), and designations of beneficiary.

e. Claim review files pertaining to requests made under the FEHBP reviewed by OPM.

f. Enrollment and change in enrollment information under the FEHBP.

g. Documentation of continuing coverage for life insurance and health benefits for annuitants and their survivors under a Federal Government retirement system other than the CSRS or FERS, or for compensationers and their survivors under the Office of Workers' Compensation programs.

h. The system also maintains a file of court orders submitted by former spouses of Federal employees. These court orders are submitted to support claims to apportion funds/benefits due to a Federal employee at some point in the future.

i. Records relating to overpayments made to annuitants, survivor annuitants, spouses and/or dependents. These records may be retained in OPM or provided to the Department of the Treasury, pursuant to the Debt Collection Act of 1996. There are two different systems applicable to overpayments. The OPM financial management system uses the Social Security Number (SSN) as part of the identifying information in the record. The Debt Collection Act of 1996 requires agencies to turn over all receivables more than 180 days past due to the Department of the Treasury for all further collection activity. The SSN is one of the required fields for transferring the record to the Department of the Treasury. OPM may obtain the SSN from case files or requests made to credit bureaus.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

Section 3301 and chapters 83, 84, 87, 89 of title 5, United States Code, Pub. L. 83–598, 84–356, 86–724, and 94–455; and Executive Order 9397.

Purpose(s):

These records provide information and verification on which to base entitlement and computation of CSRS and FERS benefits, CSRS and FERS and survivors' benefits, FEHBP and enrollments, and FEGLI benefits, and to withhold State income taxes from annuitant payments. These records may also be used to compute CSRS and FERS benefit estimates. These records also serve to review rejection of applicants for Federal employment on medical suitability grounds. These records also may be used to locate individuals for personnel research. These records also provide information and verification concerning enrollment/change in enrollment in a plan under the FEHBP

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

a. For Law Enforcement Purposes—To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where OPM becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

b. For Certain Disclosures to Other Federal Agencies—To disclose information to a Federal agency, in response to its request in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a suitability or security investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

c. For Congressional Inquiry—To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of that individual.

d. For Judicial/Administrative Proceedings—To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a judge.

e. For National Archives and Records Administration—To disclose information to the National Archives and Records Administration for use in records management inspections.

f. Within OPM for Statistical/Analytical Studies—By OPM in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

g. For Litigation—To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which OPM is authorized to appear, when:

(1) OPM, or any component thereof; or

(2) Any employee of OPM in his or her official capacity; or

(3) Any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or

(4) The United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected.

h. For the Merit Systems Protection Board—To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may be authorized by law.

i. For the Equal Employment Opportunity Commission (EEOC)—To disclose information to the EEOC when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures or other functions vested in the Commission and to otherwise ensure compliance with the provisions of 5 U.S.C. 7201.

j. For the Federal Labor Relations Authority (FLRA)—To disclose information to the FLRA or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.

k. For Non-Federal Personnel—To disclose information to private organizations, contractors, grantees, volunteers, or other non-Federal personnel performing or working on a project, contract, service, grant, cooperative agreement, or job for, to the benefit of, or consistent with the interests of the Federal Government when OPM has determined that the use of that information is compatible with proper disclosure and will benefit Federal employees, annuitants or their dependents, survivors, and beneficiaries. To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government.

l. To disclose, to the following recipients, information needed to adjudicate a claim for benefits under OPM's or the recipient's benefits program(s), or information needed to conduct an analytical study of benefits being paid under such programs: Office of Workers' Compensation Programs; Department of Veterans Affairs Pension Benefit Program; Social Security Administration's Old Age, Survivor and Disability Insurance and Medical Programs and Supplemental Security Income Program; Center for Medicare and Medicaid Services; Department of Defense; Railroad Retirement Board; military retired pay programs; Federal civilian employee retirement programs (other than the CSRS or FERS); or other national, State, county, municipal, or other publicly recognized charitable or social security administrative agencies;

m. To disclose to the Office of Federal Employees Group Life Insurance (OFEGLI) information necessary to verify the election, declination, or waiver of regular and/or optional life insurance coverage or eligibility for payment of a claim for life insurance.

n. To disclose to health insurance carriers contracting with OPM to provide a health benefits plan under the FEHB, SSN, and other information necessary to identify enrollment in a plan, to verify eligibility for payment of a claim for health benefits, or to carry out the coordination for benefits provisions of such contracts.

o. To disclose to any inquirer, if sufficient information is provided to assure positive identification of an individual on whom a department or agency maintains retirement or insurance records, the fact that an individual is or is not on the retirement rolls, and if so, the type of annuity (employment or survivor, but not retirement on disability) being paid, or if not, whether a refund has been paid.

p. When an individual to whom a record pertains dies, to disclose to any person possibly entitled in the order of precedence for lump-sum benefits, information in the individual's record that might properly be disclosed to the individual, and the name and relationship of any other person whose claim for benefits takes precedence or who is entitled to share the benefits payable. When a representative of the estate has not been appointed, the individual's next of kin may be recognized as the representative of the estate.

q. To disclose to the Internal Revenue Service, Department of the Treasury, information as required by the Internal Revenue Code of 1954, as amended.

r. To disclose to the Department of Treasury information necessary to issue benefit checks or savings bonds.

s. To disclose information to any person who is responsible for the care of the individual to whom a record pertains, and who is found by a court or OPM Contract Doctors to be incompetent or under other legal disability, information necessary to assure payment of benefits to which the individual is entitled.

t. To disclose to the Parent Locator Service of the Department of Health and Human Services, upon its request, the present address of an annuitant, or former employee, for enforcing child support obligations against such individual.

u. In connection with an examination ordered by the agency under:

(1) Medical examination procedures; or

(2) Agency-filed disability retirement procedures.

To disclose to the agency-appointed representative of an employee all notices, decisions, other written communications, or any pertinent medical evidence other than medical evidence that a prudent physician would hesitate to inform the individual of; such medical evidence will be disclosed only to a licensed physician, designated in writing for that purpose by the individual or his or her representative.

v. To disclose information to any source from which additional information is requested relevant to OPM determination on an individual's eligibility for or entitlement to coverage under the retirement, life insurance, and health benefits program, to the extent necessary to identify the individual and the type of information requested.

w. To disclose information to the Office of Management and Budget (OMB) at any stage of the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB circular No. A–19.

x. To provide an official of another Federal agency information needed in the performance of official duties related to reconciling or reconstructing data files; compiling descriptive statistics; and making analytical studies to support the function for which the records were collected and maintained.

y. To disclose to a Federal agency, in response to its request, the address of any annuitant or applicant for refund of retirement deductions, if the agency requires that information to provide consideration in connection with the collection of a debt due the United States.

z. To disclose to an allottee, as defined in 5 CFR 831.1501, the name, address, and the amount withheld from an annuitant's benefits, pursuant to 5 CFR 831.1501 et seq. as an allotment to that allottee to implement the program of voluntary allotments authorized by 5 U.S.C. 8345(h) or 8465.

aa. To disclose to a State agency responsible for the collection of State income taxes the information required by an Agreement to Implement State Income Tax Withholdings from Civil Service Annuities entered pursuant to section 1705 of Pub. L. 97–35 or 5 U.S.C. 8469 to implement the program of voluntary State income tax withholding required by 5 U.S.C. 8345(k) or 8469.

bb. To disclose to the Social Security Administration the SSN of civil service annuitants to determine:

(1) Their vital status as shown in the Social Security Master Records;

(2) Whether recipients of the minimum annuity are receiving at least the Special Primary Insurance Amount benefit from the Social Security Administration; and

(3) Whether civil service retirees with post-1956 military service credit are receiving benefits from the Social Security Administration.

cc. To disclose information contained in the Retirement Annuity Master File; including the name, SSN, date of birth, sex, OPM's claim number, health benefit enrollment code, retirement date, retirement code (type of retirement), annuity rate, pay status of case, correspondence address, and ZIP code, of all Federal retirees and their survivors to Federal agencies and requesting States to help eliminate fraud and abuse in the benefit programs administered by the Federal agencies and States (and those States to local governments) and to collect debts and overpayments owed to the Federal Government, and to State Governments and their components.

dd. To disclose to a Federal agency, a person or an organization contracting with a Federal agency for rendering collection services within the purview of section 13 of the Debt Collection Act of 1982, in response to a written request from the head of the agency or his other designee, or from the debt collection contractor, the following data concerning an individual owing a debt to the Federal Government:

(1) The debtor's name, address, SSN, and other information necessary to establish the identity of the individual;

(2) the amount, status, and history of the claim; and

(3) the agency or program under which the claim arose.

ee. To disclose information contained in the Retirement Annuity Master File, upon written request, to State tax administration agencies, for the express purpose of ensuring compliance with State tax obligations by persons receiving benefits under the CSRS or the FERS and to prevent fraud and abuse, but only the following data elements: Name, correspondence address, date of birth, sex, SSN, annuity rate, commencing date of benefits, and retirement code (type of retirement).

ff. To disclose information to a State court or administrative agency in connection with a garnishment, attachment, or similar proceeding to enforce an alimony or child support obligation.

gg. To disclose to a former spouse when necessary to explain how that former spouse's benefit under 5 U.S.C. 8341(h), 8345(j), 8445, or 8467 was computed.

hh. To disclose to a Federal or State agency (or its agent) when necessary to locate individuals who are owed money or property either by a Federal agency, State or local agency, or by a financial institution or similar institution.

ii. To disclose to a health plan participating in the FEHBP and to an FEHBP enrollee or covered family member or an enrollee or covered family member's authorized representative, in connection with the review of a disputed claim for health benefits, from information maintained within this system of records, the decision of OPM regarding the disputed claim review.

jj. To disclose to a State or local government, or private individual or association engaged in volunteer work, identifying and address information and other pertinent facts, for the purpose of developing an application as representative payee for an annuitant or survivor annuitant who is mentally incompetent or under other legal disability.

kk. To disclose on request to a spouse or dependent child (or court-appointed guardian thereof) of a CSRS or FERS annuitant or an annuitant of any other Federal retirement system enrolled in the FEHBP whether the annuitant has changed from a self-and-family to a self-only health benefits enrollment.

ll. To the Defense Manpower Data Center, Department of Defense, and the U.S. Postal Service to conduct computer matching programs for the purpose of identifying and locating individuals who are receiving Federal salaries or benefit payments and are past due in their repayment of debts owed to the U.S. Government under certain programs administered by the OPM in order to collect the debts under the provisions of the Debt Collection Act of 1982 (Pub. L. 97–365) by voluntary repayment, or by administrative or salary offset procedures.

mm. To any other Federal agency for the purpose of effecting administrative or salary offset procedures against a person employed by that agency or receiving or eligible to receive some benefit payments from the agency when OPM as a creditor has a claim against that person.

nn. To disclose information concerning past due receivables to the U.S. Department of the Treasury, Financial Management Service, and to any other debt collection center designated by the Secretary of the Treasury, or any debt collection contractor for the purpose of collecting the receivable by cross servicing in accordance with 31 U.S.C. 3711(M).

oo. To disclose information concerning past due receivables to the Department of Justice for the purpose of litigating to enforce collection of a past due account or to obtain the Department of Justice's concurrence in a decision to compromise, suspend, or terminate collection action on an overpayment with the principal amount in excess of $100,000 or such higher amount as the Attorney General may, from time to time, prescribe in accordance with 31 U.S.C. 3711(a).

pp. To disclose information concerning past due receivables to the U.S. Department of the Treasury, Financial Management Service, or to any other debt collection center designated by the Secretary of the Treasury, or any other Federal agency for the purpose of collecting the receivable through offset under 31 U.S.C. 3716 (administrative offset), 31 U.S.C. 3720A (Tax refund offset), 5 U.S.C. 5514 (Salary offset), or offset under any other statutory or common law authority.

qq. To disclose information concerning overpayees in arrears to other Federal agencies for the purpose of implementing 31 U.S.C. 3720B, which prohibits persons who are past due on Federal debts from obtaining Federal financial assistance in the form of loans or loan insurance or guaranties.

rr. To disclose information concerning past due receivables to any employer of the debtor for the purpose of conducting administrative wage garnishment pursuant to 31 U.S.C. 3720D.

ss. To disclose information or publicly disseminate information concerning overpayees in arrears and the debt to the public for the purpose of publicly disseminating information regarding the identity of the debtor pursuant to 31 U.S.C. 3720B.

tt. To disclose information concerning past due receivables to State and local governments in an effort to collect monies owed the Federal government.

uu. To disclose information concerning past due receivables to the Internal Revenue Service for the purpose of: Effecting an administrative offset against the individual's income tax refund to recover monies owed the Federal government by the individual, or obtaining the mailing address of a taxpayer in order to locate the individual to collect or compromise a Federal receivable against the taxpayer in accordance with 31 U.S.C. 3711, 3717, 3728, and 3718 and 26 U.S.C. 6103(m)(2) and 6402.

vv. To disclose information concerning past due receivables to any person or for any debt collection purpose authorized by statue not specifically enumerated here.

ww. To provide an official of another Federal agency information needed in the performance of official duties related to retirement, federal employee health, and/or federal employee life insurance benefits counseling.

xx. To authorized agencies, entities, and persons when:

(1) OPM suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;

(2) OPM has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by OPM or another agency or entity) that rely upon the compromised information; and

(3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with OPM's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

Disclosures to consumer reporting agencies:

Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)) Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained on secured LAN drives, databases, mainframes, magnetic tapes, disks, microfiche, and in folders.

Retrievability:

These records are retrieved by the name, SSN, date of birth and/or claim number of the individual to whom they pertain.

Safeguards:

Records are kept in lockable metal file cabinets or in a secured facility with access limited to those whose official duties require access. Systems storing electronic data undergo system certification & accreditation processes and follow other appropriate federal security standards. Transfer of data to and from this system of record occurs over secure connections using encryption when appropriate. Personnel screening is employed to prevent unauthorized disclosure.

Retention and disposal:

All records on a claim for retirement, life insurance, health benefits, and tax withholdings are maintained permanently in paper and/or electronic imaged format. Medical suitability records are maintained for 18 months. Requests for review of health benefits claims are maintained up to 3 years. Disposal of manual records is by shredding or burning; magnetic tapes and discs are erased.

System manager(s) and address:

Deputy Associate Director, Center for Retirement and Insurance Services, Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415–0001.

Records Access Procedures:

Individuals wishing to access their own records online through Your Benefits Resource (YBR) must follow a two-step identification and authorization process. Individuals must provide personal identifiers and/or a system user id for identification followed by a system password and/or personal indicative data for authentication.

OPM and Other Agency Access Procedures:

Designated OPM, agency, and shared service center employees may be granted a defined level of access to other participants' records in this system for the purpose of performing official duties related to retirement, federal employee health, and/or federal employee life insurance benefits counseling. Those granted access to other participants' records must furnish their user identifying information and authentication information to obtain access.

Individual Access Procedures:

Individuals wishing to request access to their records in this system should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Name, including all former names.

b. Date of birth.

c. SSN.

d. Name and address of office in which currently and/or formerly employed in the Federal service.

e. Annuity, service credit, or voluntary contributions account number, if assigned.

Individuals requesting access must also follow OPM's Privacy Act regulations on verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of their records in this system that are originated by OPM should contact the system manager.

Individuals must furnish the following information for their records to be located and identified:

a. Name, including all former names.

b. Date of birth.

c. SSN.

d. Name and address of office in which currently and/or formerly employed in the Federal service.

e. Annuity, service credit, or voluntary contributions account number, if assigned.

Individuals requesting amendment of their records must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Individuals requesting amendment of records that were not originated by OPM must contact the agency that established the record in accordance with (5 CFR 831.102 and 841.106).

Record source categories:

The information in this system is obtained from:

a. The individual to whom the information pertains.

b. Agency pay, leave, and allowance records.

c. National Personnel Records Center.

d. Federal civilian retirement systems other than the CSRS/FERS.

e. Military retired pay system records.

f. Office of Workers' Compensation Benefits Program.

g. Veteran's Administration Pension Benefits Program.

h. Social Security Old Age, Survivor, and Disability Insurance and Medicare Programs.

i. Health insurance carriers and plans participating in the FEHBP.

j. OFEGLI.

k. Official Personnel Folders.

l. The individual's co-workers and supervisors.

m. Physicians who have examined or treated the individual.

n. Former spouse of the individual.

o. State courts or support enforcement agencies.

p. Credit bureaus.

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OPM/CENTRAL–2

System name: Complaints and Inquiries Records.

System location:

Office of Merit Systems Oversight and Effectiveness, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415, and OPM regional offices.

Categories of individuals covered by the system:

a. Current and former Federal employees who have filed complaints or submitted an inquiry about conditions in the agency or agency personnel actions affecting the individual, e.g., allegations or improper promotion actions, reduction-in-force procedures, or Fair Labor Standards Act (FLSA) procedures.

b. Persons who are not current or former Federal employees who have complained or inquired about an agency decision or action related to the general area of personnel management.

Categories of records in the system:

This system of records contains information or documents relating to the processing and adjudication of a complaint made to OPM under its regulations. The records may include information and documents regarding the actual personnel action of the agency in question and the decision or determination rendered by an agency regarding the issue raised.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 U.S.C. 1302 and 3502; Executive Orders 9830, 10577, and 11491; and Pub. L. 93–259.

Purpose(s):

The principal purpose for which these records are established is to retain a record of correspondence with an individual, over a complaint or inquiry, as a reference should that individual again contact OPM.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1, 3 through 5, and 7 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To disclose information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

b. To disclose information to any source from which additional information is requested in the course of adjudicating an appeal or complaint, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained in an automated system and in file folders.

Retrievability:

These records are retrieved by the names of the individuals on whom they are maintained.

Safeguards:

The records are located in lockable metal filing cabinets or in a secured room, with access limited to those persons whose official duties require such access.

Retention and disposal:

a. Records related to most complaints or inquiries about conditions at an agency, or an agency's personnel actions affecting an individual, are maintained until the second calendar year following closing action on the complaint.

b. Records related to Fair Labor Standard Act complaints are maintained indefinitely.

c. All records are destroyed by shredding or burning.

System manager(s) and address:

Associate Director, Office of Merit Systems Oversight and Effectiveness, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

Notification procedure:

Individuals wishing to inquire whether this system of records contains information about them should contact the system manager, with the following exception:

Individuals who have filed or answered complaints or inquiries with an OPM field service office should contact the field service office. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. If appropriate, the agency in which employed when the complaint or inquiry was filed and the approximate date.

c. Kind of response received.

Record access procedure:

Individuals who have filed a complaint or inquiry about an agency personnel action or about conditions existing in an agency will receive a response and, if necessary, be provided access to any other pertinent record. After a response to a complaint or inquiry has been received, an individual may request access to the official copy of the correspondence record by writing the system manager or OPM field service office indicated in the Notification Procedure section. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. If appropriate, the agency in which employed when complaint or inquiry was filed and the approximate date.

c. Kind of response received.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Review of requests from individuals seeking amendment of their correspondence file records will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents the nature of the complaint or inquiry, the identity of the individual, and the response furnished. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. If appropriate, the agency in which employed when the complaint or inquiry was filed and the approximate date.

c. Kind of response received.

Individuals requesting amendment of their records must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. Individuals to whom the record pertains.

b. Agency and/or OPM offices.

c. Official documents relating to the complaint or inquiry.

d. Related correspondence from organizations or individuals.

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OPM/CENTRAL–3

[Reserved]

OPM/CENTRAL–4

System name: Inspector General Investigations Case Files.

System location:

Office of the Inspector General, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Categories of individuals covered by the system:

Current and former OPM employees, certain current and former employees of other Federal agencies, annuitants, and contractors with OPM.

Categories of records in the system:

Case files contain individual identifiers such as name, date of birth, Social Security Number, employee number, civil service retirement case file number, and related personal information. Case files are created pertaining to matters including the following: (1) Fraud against the Government; (2) Theft of Government property; (3) Misuse of Government property; (4) Improper personal conduct; (5) Irregularities in awarding contracts; (6) Improper personnel practices; and (7) Initiatives arising from the President's Council on Integrity and Efficiency.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 U.S.C. 301 and Pub. L. 100–504.

Purpose(s):

Information in case files serves to document the outcome of investigations, reporting the results of investigations to other OPM components or agencies for their use in evaluating their programs and imposition of any civil or administrative sanctions, and, if appropriate, reporting the results of the investigations to other agencies for any action deemed appropriate, and for retaining sufficient information to fulfill the reporting requirements of Pub. L. 95–452, section 5.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1, 3 through 5, and 7 through 10, of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To designated officers and employees of agencies, offices, and other establishments in the executive, legislative, and judicial branches of the Federal Government having an interest in the individual for employment purposes, including a security clearance or access determination, and the need to evaluate qualifications, suitability, and loyalty to the United States Government.

b. To designated officers and employees of agencies, offices, and judicial branches of the Federal Government when such agency, office, or establishment conducts an investigation of the individual for granting a security clearance, or for making a determination of qualifications, suitability, or loyalty to the United States Government, or access to classified information or restricted areas.

c. To any source from which information is requested in the course of an investigation, to the extent necessary to identify the individual, inform the source of the nature and purpose of the investigation, and to identify the type of information requested.

d. To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

Policies and practices for storing, retrieving, retaining, and disposing of records in the system:

Storage:

Records are maintained in file folders, on index cards, on microfilm, or disks.

Retrievability:

Records are retrieved by the name, date of birth, Social Security Number, employee number, case file number, or other unique identifying number, or by a combination of such identifiers.

Safeguards:

Records are maintained in file cabinets secured by combination locks, secured microfilm storage cabinets, and in computers with access limited to only certain employees through the use of individual identifiers and passwords.

Retention and disposal:

Case files are retained while the person is under investigation and for 10 years after final disposition of the case or any litigation of the matter is completed.

System manager(s) and address:

Inspector General, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

Individuals wishing to learn whether this system contains information about them should contact the system manager. So that the record can be located and identified, the requester must furnish the following information:

a. Full name.

b. Date of birth and Social Security Number.

c. Signature.

d. Any additional information (e.g., type of investigation conducted, employee number or annuitant CSR number) that the requester believes might be helpful.

Record access procedure:

Specific records in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(c)(3) and (d) regarding access to records. The section of this notice titled Systems Exempted from Certain Provisions of the Act indicates the kinds of records exempted. Individuals wishing to request access to any records pertaining to them should contact the system manager. Requesters must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth and Social Security Number.

c. Signature.

d. Any additional information (e.g., type of investigation conducted, employee number or annuitant CSR number) that the requester believes may be helpful.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Specific records in this system have been exempted from the Privacy Act provisions at 5 U.S.C. 552a(d) regarding amendment of records. The section of this notice titled Systems Exempted from Certain Provisions of the Act indicates the kinds of records exempted. Individuals seeking to amend their records should contact the system manager. Requesters must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth and Social Security Number.

c. Signature.

d. Any additional information (e.g., type of investigation conducted, or employee number or annuitant CSR number) that the requester believes may be helpful.

Individuals requesting amendment must also comply with OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system is obtained from:

a. The individual who is the subject of the case file.

b. The individual's supervisor and co-workers.

c. Other Federal and non-Federal sources who have information relevant to the case.

d. Official records of OPM or another Federal agency.

e. Non-Government record sources.

Systems exempted from certain provisions of the act:

OPM has claimed exemptions from the access (including access to an accounting of disclosure) and amendment provisions of the Privacy Act (5 U.S.C. 552a(c)(3) and (d)) for several of its other systems of records under 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6), and (7). During the course of developing a case file covered under this system, copies of the exempt records from these other systems may become part of the file. To the extent that this occurs, OPM has claimed the same exemptions for these copies as they have for the original documents. Additionally, information within the scope of these exemptions may be developed by the Inspector General's staff during an investigation. These same exemptions are claimed for this developed information when the information is—

a. Properly classified information, obtained from another Federal agency during the course of an investigation which pertains to national defense and foreign policy. 5 U.S.C. 552a(k)(1) permits an agency to exempt such material from certain provisions of the Act.

b. Investigatory material compiled for law enforcement purposes in connection with the administration of the merit system.

5 U.S.C. 552a(k)(2) permits an agency to exempt such material from certain provisions of the Act.

c. Investigatory material maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18. 5 U.S.C. 552a(k)(3) permits an agency to exempt such material from certain provisions of the Act.

d. Investigatory material that is required by statute to be maintained and used solely as a statistical record. 5 U.S.C. 552a(k)(4) permits an agency to exempt such material from certain provisions of the Act.

e. Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civil service employment. 5 U.S.C. 552a(k)(5) permits an agency to exempt such material from certain provisions of the Act. Materials may be exempted to the extent that release of the material to the individual whom the information is about would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, furnished information to the Government under an implied promise that the identity of the source would be held in confidence.

f. Testing and examination materials, compiled during the course of a personnel investigation, that are used solely to determine individual qualifications for appointment or promotion in the Federal service. 5 U.S.C. 552a(k)(6) permits an agency to exempt all such testing or examination material and information from certain provisions of the Act, when disclosure of the material would compromise the objectivity or fairness of the testing or examination process.

g. Evaluation materials, compiled during the course of a personnel investigation, that are used solely to determine potential for promotion in the armed services. 5 U.S.C. 552a(k)(7) permits an agency to exempt such evaluation material to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

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OPM/CENTRAL–5

System name:

Intergovernmental Personnel Act Assignment Records.

System location:

Office of Merit Systems Oversight and Effectiveness, Office of Personnel Management, 1900 E Street NW., Washington DC 20415–0001.

Categories of individuals covered by the system:

a. Current and former Federal employees who have completed or are presently on an assignment in a State or local government agency, an educational institution, or in Indian tribal government, or other organizations under the provisions of the Intergovernmental Personnel Act (IPA).

b. Current or former State or local government or educational institution employees, employees of Indian tribal governments, or other organizations who have completed or are presently on an assignment in a Federal agency under the provisions of the Intergovernmental Personnel Act (IPA).

Categories of records in the system:

These records consist of the name of the IPA assignee and the name of his/her permanent organization and IPA assignment organization, type of IPA assignment, salary, percentage of salary funded by the Federal Government, title of the IPA position, and beginning and ending dates of the IPA assignment.

Authority for maintenance of the system:

Includes the following with any revisions and amendments:

The Intergovernmental Personnel Act of 1970 (84 Stat. 1909), 5 U.S.C. 3371–3376, and E.O. 11589.

Purpose(s):

These records are maintained to document and track mobility assignments (including extensions, modifications, and terminations thereof) made under the Intergovernmental Personnel Act. Internally, OPM may use these records to locate individuals for personnel research.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 6 of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system. The routine use listed below is specific to this system of records only:

a. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested), where necessary to obtain information relevant to an OPM decision regarding possible termination of an assignment.

Policies and practices for storing, retrieving, safeguarding, retaining, and disposing of records in the system:

Storage:

Records are maintained in an electronic database on a personal computer, floppy disks, and in file folders.

Retrievability:

Records are retrieved by the name of the individual on whom they are maintained or any of the data elements in the database.

Safeguards:

Records are maintained in a secured area with access limited to authorized personnel whose duties require access. Confidential passwords are required for access to automated records.

Retention and disposal:

Records are retained for 5 years from the signing of the agreement. Manual records are destroyed by shredding or burning, electronic records are destroyed by erasure.

System manager(s) and address:

Assistant Director, Office of Merit Systems Effectiveness, Office of Merit Systems Oversight and Effectiveness, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–0001.

Notification procedure:

Individuals wishing to inquire whether this system contains information about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Federal agency involved in the assignment.

c. Non-Federal organization involved in the assignment.

d. Date of each assignment.

Record access procedures:

Individuals wishing to request access to records about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Federal agency involved in the assignment.

c. Non-Federal organization involved in the assignment.

d. Date of each assignment.

An individual requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals seeking to amend their records should contact the system manager. Requesters must furnish the following information for their records to be located and identified:

a. Full name.

b. Federal agency involved in the assignment.

c. Non-Federal organization involved in the assignment.

d. Date of each assignment.

Individuals requesting amendment of their records must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in these records is obtained from:

a. The individual subject of the records.

b. Officials in the agencies, educational institutions, Indian tribal governments or other organizations where the individual is employed and where the individual is serving on the IPA assignment.

c. Agency personnel files and records.

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OPM/CENTRAL–6

System name: Administrative Law Judge Application Records.

System location:

Administrative Law Judges Office, Employment Service, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Categories of individuals covered by the system:

Persons who have applied for Administrative Law Judge positions in the Federal service or who are employees or former employees in Administrative Law Judge positions in the Federal service.

Categories of records in the system:

These records contain information on the education and training, employment history and earnings, appraisals of past performance, convictions for offenses against the law, results of written tests, appraisals of potential, rating and ranking determinations and appeals of such determinations, honors, awards, or fellowships, and other background and biographical data on persons who are or were applicants for Administrative Law Judge positions in the Federal service.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 U.S.C. 1305, 3105, and 3344.

Purpose(s):

These records serve as a basis for rating and ranking applicants for Administrative Law Judge positions in the Federal service, documenting the rating and ranking assigned, processing an appeal of a rating or ranking determination, and referring the ranked candidates to Federal agencies for employment consideration. OPM may use these records to locate individuals for personnel research.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 10 of the Prefatory Sttement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To refer applicants to Federal agencies for employment consideration for Administrative Law Judge positions.

b. To refer current and former Administrative Law Judges to Federal agencies for consideration for detail, transfer, reassignment, reinstatement, or reemployment, as applicable.

c. To disclose information to any source (e.g., references, employers, educational institutions or applicant/appellant review panel members) from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of informtion requested), when necessary to obtain information relevant to an agency decision concerning the hiring or decision concerning the hiring or retention of an employee, the issuance of a security clearance, the conducting of security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license grant, or other benefit.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

Records are maintained on computer disks, cards, lists, forms, and in file folders.

Retrievability:

Records are retrieved by the name and Social Security Number of the individual to whom they pertain.

Safeguards:

Records are maintained in a secured area and are available only to authorized personnel whose duties require access.

Retention and disposal:

Records are maintained for 7 years. Expired records are shredded or burned.

System manager(s) and address:

Director, Administrative Law Judges Office, Employment Serviceo Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

Individuals wishing to inquire whether this system contains information about them should contact the system manager indicated. Individuals must furnish the following information for their records to be located and identified.

a. Full name and date of birth.

b. Social security number.

Record access procedure:

Specific materials in this system have been exempted from Privacy Act requirements at 5 U.S.C. 552a(c)(3) and (d), regarding access to records. The section of this notice titled Systems Exempted from Certain Provisions of the Act indicates the kinds of materials exempted and the reasons for exempting them from access. Individuals wishing to request access to non-exempt records about them should contact the system manager indicated. Individuals must furnish the following information for their records to be located and identified.

a. Full name and date of birth.

b. Social Security Number.

c. Date of application for examination.

An individual requesting access must also follow OPM's Privacy Act regulations on verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Specific materials in this system have been exempted from Privacy Act requirements regarding amendment of records at 5 U.S.C. 552a(d). The section of this notice titled Systems Exempted from Certain Provisions of the Act indicates the kinds of materials exempted and the reasons for exempting them from amendment. Individuals wishing to request amendment of non-exempt records should contact the system manager indicated. Individuals must furnish the following information for their records to be located and identified.

a. Full name and date of birth.

b. Social Security Number.

c. Date of application for examination.

An individual requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records comes from the individual to whom it applies or is derived from information he or she supplied, except for information on vouchers or otherwise provided that is:

a. Supplied by references, employers, or educational institutions listed by the applicant; or

b. Supplied by references, employers, or educational institutions listed by the appellant.

Systems exempted from certain provisions of the act:

All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirement of 5 U.S.C. 552a(c)(3) and (d) concerning accounting of disclosures, and access to or amendment of records. The exemptions are claimed because this system contains investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment. To the extent that the release of such material would reveal the identity of a source who furnished information to the government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, furnished information to the Government under an implied promise that the identity of the source would be held in confidence.

All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirement of 5 U.S.C. 552a(d) concerning access to or amendment of records. This exemption is claimed because portions of this system relate to testing and examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.

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OPM/CENTRAL–7

System name: Litigation and Claims Records.

Security classification:

No security classification is assigned to the system as a whole; however, items of record within the system may bear a national defense/foreign policy classification of Confidential or Secret.

System location:

Office of the General Counsel, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Categories of individuals covered by the system:

a. Individuals who make claims under the Military Personnel and Civilian Employees Claims Act of 1964, as amended.

b. Individuals who file civil actions, administrative claims or appeals, or other actions against or concerning OPM, its officials, and employees.

c. Individuals who are parties to actions in which the Government is involved, but in which OPM's role is advisory to another agency.

d. Individuals who filed claims with OPM under the Federal Tort Claims Act, as amended.

Categories of records in the system:

This system includes the following kinds of records: Garnishment documents, administrative appeals; investigative reports; retirement records; official personnel records; documentation of litigation including complaints, answers, motions, briefs, orders, and decisions; claims and supporting documentation submitted under the Federal Tort Claims Act and the Military Personnel and Civilian Employees Claims Act, together with correspondence and records of settlement; and final administrative and judicial determinations.

Authority for maintenance of the system: Includes the following with any revisions or amendments:

5 U.S.C. 301; 5 U.S.C. 1103; 5 U.S.C. 1301–1308; 28 U.S.C. 522; 28 U.S.C. 2672; 31 U.S.C. 3721; and Executive Order 10577.

Purpose(s):

These records are maintained to defend OPM against lawsuits and to settle administrative claims brought against OPM or OPM employees..

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 10 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To any source where necessary to obtain information relevant to an OPM decision or action involved in one of the purposes for maintenance of the system.

h. To the insurance carrier of an employee, or a claimant against OPM under the Federal Tort Claims Act or the Military Personnel and Civilian Employees Claims Act in order to determine the proper assignment of any liability.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

Records are maintained in file folders.

Retrievability:

Records are retrieved by the name of the individual on whom they are maintained, by case name, by civil action number, or other case number.

Safeguards:

Records are maintained in a locked file cabinet with limited access only to authorized personnel whose duties require access.

Retention and disposal:

These records are maintained for 7 years after the final disposition or resolution of the litigation or claim. The records are destroyed by shredding or burning after the seven-year retention period.

System manager(s) and address:

Office of the General Counsel, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415.

Notification procedure:

Individuals wishing to inquire whether this system contains a record about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Description of type of record.

d. Court action number if applicable.

Record access procedure:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(c)(3) and (d), regarding access to records. The section of this notice titled Systems Exempted from Certain Provisions of the Act, indicates the kinds of materials exempted and the reasons for exempting them from access.

Individuals who wish to obtain access to their records must contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Description of type of record.

d. Court action number if applicable.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(d), regarding amendment of records. The section of this notice titled Systems Exempted from Certain Provisions of the Act, indicate the kinds of materials exempted and the reasons for exempting them from amendment.

Review of requests from individuals seeking amendment of their records which have previously been the subject of a judicial or quasi-judicial action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents the action of the agency or administrative body ruling on the case, and will not include a review of the merits of the action, determination, or finding.

Individuals wishing to request amendment of their records to correct factual errors should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Description of type of record.

d. Court action number if applicable.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual on whom the record is maintained.

b. Agency officials and records.

c. Records of administrative and court proceedings including statements of witnesses and documents.

d. Law enforcement agencies.

e. Witnesses.

Systems exempted from certain provisions of the act:

When litigation or claim cases occur, information from other systems of records may be incorporated into the case file. In certain instances, the incorporated information may be material for which exemptions have been claimed by OPM under the Privacy Act. To the extent that such exempt material is incorporated into a litigation or claim file, the appropriate exemption 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6) or (7) shall also apply to the material as it appears in this system. The exemptions will be only from those provisions of the Act that were claimed for the systems from which the records originated.

The Office of the General Counsel, pursuant to 5 U.S.C. 552a(d)(5), reserves the right to refuse access to information compiled in reasonable anticipation of civil action or proceeding.

This system may contain the following types of information:

a. Properly classified information, obtained from another Federal agency during the course of an investigation which pertains to national defense and foreign policy. 5 U.S.C. 552a(k)(1) permits an agency to exempt such material from certain provisions of the Act.

b. Investigatory material compiled for law enforcement purposes in connection with the administration of the merit system. 5 U.S.C. 552a(k)(2) permits an agency to exempt such material from certain provisions of the Act.

c. Investigatory material maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18. 5 U.S.C. 552a(k)(3) permits an agency to exempt such material from certain provisions of the Act.

d. Investigatory material that is required by statute to be maintained and used solely as a statistical record. 5 U.S.C. 552a(k)(4) permits an agency to exempt such material from certain provisions of the Act.

e. Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civil service employment. 5 U.S.C. 552a(k)(5) permits an agency to exempt such material from certain provisions of the Act. Materials may be exempted to the extent that release of the material to the individual whom the information is about would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to 9/27/75, furnished information to the Government under an implied promise that the identity of the source would be held in confidence.

f. Testing and examination materials, compiled during the course of a personnel investigation, that are used solely to determine individual qualifications for appointment or promotion in the Federal service. 5 U.S.C. 552a(k)(6) permits an agency to exempt all such testing or examination material and information from certain provisions of the Act, when disclosure of the material would compromise the objectivity or fairness of the testing or examination process.

g. Evaluation materials, compiled during the course of a personnel investigation, that are used solely to determine potential for promotion in the armed services. 5 U.S.C. 552a(k)(7) permits an agency to exempt such evaluation material to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

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OPM/CENTRAL–8

System name:

Privacy Act/Freedom of Information Act (PA/FOIA) Case Records

System location:

Offices of the Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–0001 and OPM field service centers.

Categories of individuals covered by the system:

This system contains records and related correspondence on individuals who have filed with OPM:

a. Requests for information under the provisions of the Freedom of Information Act (5 U.S.C. 552), including requests for review of initial denials of such requests.

b. Requests under the provisions of the Privacy Act (5 U.S.C. 552a) for records about themselves, including:

(1) Requests for notification of the existence of records about them.

(2) Requests for access to these records.

(3) Requests for amendment of these records.

(4) Requests for review of initial denials of such requests for notification, access, and amendment.

(5) Requests for an accounting of disclosure of records about them.

Note:

Since these PA/FOIA case records contain inquiries and requests regarding any of OPM's other systems of records subject to the Privacy Act, information about individuals from any of these other systems may become part of this PA/FOIA Case Records system.

Categories of records in the system:

This system contains correspondence and other documents related to requests made by individuals to OPM for:

a. Information under the provisions of the Freedom of Information Act (5 U.S.C. 552), including requests for review of initial denials of such requests.

b. Information under provisions of the Privacy Act (5 U.S.C. 552a) and requests for review of initial denials of such requests made under OPM's Privacy Act regulations including requests for:

(1) Notification of the existence of records about them.

(2) Access to records about them.

(3) Amendment of records about them.

(4) Review of initial denials of such requests for notification, access, or amendment.

(5) Requests for an accounting of disclosure of records about them.

Authority for maintenance of the system:

Includes the Following with any Revisions and Amendments:

The Privacy Act of 1974 (5 U.S.C. 552a), the Freedom of Information Act, as amended (5 U.S.C. 552), and 5 U.S.C. 301.

Purpose(s):

These records are maintained to process an individual's request made under the provisions of the Freedom of Information and Privacy Acts. The records are also used by OPM to prepare its reports to the Office of Management and Budget and the Department of Justice required by the Privacy and Freedom of Information Acts.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 and 3 through 10 of the Prefatory Statement of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system. The following routine uses are specific to this system of records only:

a. To disclose information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

b. To disclose information to an agency, subject to law, rule, or regulation enforced by OPM having been found in violation of such law, rule, or regulation, in order to achieve compliance with OPM instructions.

c. To disclose information to Federal agencies (e.g., Department of Justice) in order to obtain advice and recommendations concerning matters on which the agency has specialized experience or particular competence, for use by OPM in making required determinations under the Freedom of Information Act or the Privacy Act of 1974.

d. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose of the request, and to identify the type of information requested), where necessary to obtain information relevant to an OPM decision concerning a Privacy or Freedom of Information Act request.

e. To disclose to the Federal agency involved, an OPM decision on an appeal from an initial denial of a request involving OPM-controlled records.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

These records are maintained on one of the following: paper copies in file folders, electronic copies on Local Area Network (LAN) servers or diskettes, or microfilm.

Retrievability:

Records are retrieved by the name of the individual on whom they are maintained and year of the request.

Safeguards:

The records maintained on paper and microfilm are located in lockable metal filing cabinets or in a secured room, with access limited to personnel whose duties require access. Only authorized personnel have access to the records on the LAN and diskettes.

Retention and disposal:

These records are maintained for varying periods of time, in accordance with NARA General Records Schedule 14. Paper records are destroyed by shredding or burning; microfilm and electronic records are erased or deleted.

System manager(s) and address:

The system manager for PA/FOIA requests is: FOIA/PA Officer, Office of the Chief Information Officer, Office of Personnel Management, 1900 E Street NW., Washington DC 20415–7900.

The system manager for PA/FOIA appeals is: Office of the General Counsel, Office of Personnel Management, 1900 E Street NW., Washington, DC 20415–1300.

Notification procedure:

Individuals wishing to inquire whether this system of records contains information about them should contact the system manager or the program office where their original Privacy Act or Freedom of Information Act requests were sent, or from where they received responses to such requests. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

c. Approximate dates of Privacy Act or Freedom of Information Act correspondence between OPM and the individual.

Record access procedures:

Material from other OPM systems of records which are exempt from certain Privacy Act requirements may be included in this system as part of a PA/FOIA case record. Such material retains its exemption if it is included in this system of records. The section of this notice titled Systems Exempted from Certain Provisions of the Act explains the exemptions for this system.

Individuals wishing to request access to their records should contact the system manager or the program office where their original Privacy Act or Freedom of Information Act request was sent or from which they received responses to such requests. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

c. Approximate dates of Privacy Act or Freedom of Information Act correspondence between OPM and the individual.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedures:

Material from other OPM systems of records which are exempt from certain Privacy Act requirements may be included in this system as part of a PA/FOIA case record. Such material retains its exemption if it is included in this system of records. The section of this notice titled Systems Exempted from Certain Provisions of the Act explains the exemptions for this system. Individuals wishing to request amendment to their records should contact the system manager or the program office where their original Privacy Act or Freedom of Information Act requests were sent or from which they received responses to such requests.

Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Date of birth.

c. Appropriate dates of Privacy Act or Freedom of Information Act correspondence between OPM and the individual.

Individuals requesting amendment must also comply with OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Note:

The amendment provisions of this system are not intended to permit an individual a second opportunity to request amendment of a record which was the subject of the initial Privacy Act amendment request which created the record in this system. That is, after an individual has requested amendment of a specific record in an OPM system under provisions of the Privacy Act, that specific record may itself become part of this system of PA/FOIA Case Records. An individual may not subsequently request amendment of that specific record again, simply because a copy of the record has become part of this second system of PA/FOIA Case Records.

Record source categories:

Information in this system of records is obtained from—

a. The individual to whom the information applies.

b. Officials of OPM.

c. Official documents of OPM.

Systems exempted from certain provisions of the act:

OPM has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a (k)(1), (2), (3), (4), (5), (6), and (7). During the course of a PA/FOIA action, exempt materials from those other systems may become part of the case records in this system. To the extent that copies of exempt records from those other systems are entered into these PA/FOIA case records, the office has claimed the same exemptions for the records as they have in the original primary systems of records which they are a part.

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OPM/CENTRAL–9

System name:

Personnel Investigations Records.

Security classification:

None for the system. However, items or records within the system may have national security/foreign policy classifications up through Secret.

System location:

a. Federal Investigative Services (FIS), U.S. Office of Personnel Management, PO Box 618, 1137 Branchton Road, Boyers, PA 16018–0618.

b. Records may be maintained in various FIS field offices, including the Personnel Investigations Center, 601 10th Street, Fort Meade, MD, for limited periods of time. These records would include investigative and administrative records, including files and duplicate records or records which extract information from the main files. This is necessary to assist field offices in their day to day operations. Investigative activities conducted by field offices are reported to FIS headquarters at one or more stages of the background investigation process. Upon completion of activities to include fieldwork, quality review, and/or adjudicative action, documents are returned to FIS headquarters or destroyed in accordance with the published retention schedule.

c. Decentralized segments: Copies of these records may exist temporarily in agencies on current employees, former employees, or on contractor employees. These copies may be located in the personnel security office or other designated offices responsible for making suitability, fitness, security clearance, access, HSPD 12 credentialing decisions, or hiring determinations on an individual. (“Agency” as used throughout this system is deemed to include Legislative and Judicial branch establishments as well as those in the Executive Branch).

Categories of individuals covered by the system:

a. Civilian and military applicants and employees or government contractors, experts, instructors, and consultants to Federal programs who undergo a personnel background investigation for the purpose of determining suitability for government employment, contractor employee fitness, eligibility for access to classified information, credentialing for HSPD 12, and/or access to a federal facility or information technology system.

b. American citizens who are current or former employees or applicants for employment with International Organizations.

c. Individuals considered for assignments as representatives of the Federal Government in volunteer programs.

d. Individuals who are neither applicants nor employees of the Federal Government, but who are or were involved in Federal programs under a co-operative assignment or under a similar agreement.

e. Individuals who are neither applicants nor employees of the Federal Government, but who are or were involved in matters related to the administration of the merit system.

f. State, Local, Tribal and Private Sector partners identified by Federal sponsors for eligibility to access classified information in support of Homeland Defense initiatives.

Categories of records in the system:

a. Applicable records containing the following information about the individual investigated may be maintained: Name, former names, and aliases; date and place of birth; social security number; height; weight; hair and eye color; gender; mother's maiden name; current and former home addresses, phone numbers, and e-mail addresses; employment history; military record information; selective service registration record; residential history; education and degrees earned; names of associates and references with their contact information; citizenship; passport information; criminal history; civil court actions; prior security clearance and investigative information; mental health history; records related to drug and/or alcohol use; financial record information; information from the Internal Revenue Service pertaining to income tax returns; credit reports; the name, date and place of birth, social security number, and citizenship information for spouse or cohabitant; the name and marriage information for current and former spouse(s); the citizenship, name, date and place of birth, and address for relatives; information on foreign contacts and activities; association records; information on loyalty to the United States; and other agency reports furnished to OPM in connection with the background investigation process, and other information developed from above.

b. Summaries of personal and third party interviews conducted during the course of the background investigation.

c. Correspondence relating to adjudication matters and results of suitability decisions in cases adjudicated by the OPM, FIS in accordance with 5 CFR 731.

d. Records of personnel background investigations conducted by other Federal agencies.

e. Records of adjudicative and HSPD 12 decisions by other Federal agencies, including clearance determinations and/or polygraph results.

Note:

This system does not include agency records of a personnel investigative nature that do not come to OPM.

Authority for maintenance of the system:

Depending on the purpose of the investigation, Executive Orders 9397, as amended by 13478, 10450, 10577, 10865, 12968, and 13470; Section 2, Civil Service Act of 1883; Public Laws 82–298 and 92–261; Title 5, U.S.C., sections 1303, 1304, 3301, 7301, and 9101; Title 22, U.S.C., section 2519; Title 42 U.S.C. sections 1874 (b)(3), 2165, 2201, and 2455; Title 50 U.S.C. section 435b(e); Title 5 CFR sections 731, 732 and 736; Homeland Security Presidential Directive 12 (HSPD 12) and OMB Circular No. A–130. In addition to the authorities cited, there are various acts of Congress that contain implied authority for OPM to investigate, such as laws prohibiting the purchase and sale of office, holding of two offices, conspiracy and other prohibited practices.

Purpose(s):

The records in this system may be used to provide investigatory information for determinations concerning whether an individual is suitable or fit for Government employment; eligible for logical and physical access to federally controlled facilities and information systems; eligible to hold sensitive positions (including but not limited to eligibility for access to classified information); fit to perform work for or on behalf of the Government as a contractor employee; qualified for Government service; qualified to perform contractual services for the Government; and loyal to the United States. The system is also used to document such determinations.

To otherwise comply with mandates and Executive Orders.

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

The records may be used to help streamline and make more efficient the investigations and adjudications processes generally.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be disclosed outside OPM as a routine use pursuant to 5 U.S.C. 552a(b)(3). Routine uses 4 through 10 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To designated officers and employees of agencies, offices, and other establishments in the executive, legislative, and judicial branches of the Federal Government, having a need to evaluate qualifications, suitability, and loyalty to the United States Government and/or a security clearance or access determination.

b. To designated officers and employees of agencies, offices, and other establishments in the executive, legislative, and judicial branches of the Federal Government, when such agency, office, or establishment conducts an investigation of the individual for purposes of granting a security clearance, or for the purpose of making a determination of qualifications, suitability, or loyalty to the United States Government, or access to classified information or restricted areas.

c. To designated officers and employees of agencies, offices, and other establishments in the executive, judicial, or legislative branches of the Federal Government, having the responsibility to grant clearances to make a determination regarding access to classified information or restricted areas, or to evaluate qualifications, suitability, or loyalty to the United States Government, in connection with performance of a service to the Federal Government under a contract or other agreement.

d. To the intelligence agencies of the Department of Defense, the National Security Agency, the Central Intelligence Agency, and the Federal Bureau of Investigation for use in intelligence activities.

e. To any source from which information is requested in the course of an investigation, to the extent necessary to identify the individual, inform the source of the nature and purpose of the investigation, and to identify the type of information requested.

f. To the appropriate Federal, State, local, tribal, foriegn, or other public authority responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order where OPM becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

g. To an agency, office, or other establishment in the executive, legislative, or judicial branches of the Federal Government, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

h. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. However, the investigative file, or perts thereof, will only be released to a congressional office if OPM receives a notarized authorization or signed statement under 28 U.S.C. 1746 from the subject of the investigation.

i. To the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

j. To disclose information to contractors, grantees, experts, consultants, or volunteers performing or working on a contract, service, or job for the Federal Government.

k. For agencies that use adjudicative support services of another agency, at the request of the original agency, the results will be furnished to the agency providing the adjudicative support.

l. To provide criminal history record information to the FBI, to help ensure the accuracy and completeness of FBI and OPM records.” to the end of this section.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

Records are maintained in paper format in file folders, on microfilm, as digital images, on computer tapes, and in electronic databases such as the Personnel Investigations Processing System, the Clearance Verification System, and the e-QIP system.

Retrievability:

Records are retrieved by the name, Social Security Number, unique case serial number and/or other unique identifier of the individual on whom they are maintained.

Safeguards:

Paper files are stored in a locked filing cabinet or a secure facility with an intrusion alarm system. Microfilm is secured in a facility with an intrusion system. Electronic records are maintained in computer databases in a limited access room with a keyless cipher lock. All employees are required to have an appropriate background investigation before they are allowed access to the records. The U.S. Postal Service and other postal providers are used to transmit hard copy records sent to and from field offices. Information that is transmitted electronically from field offices is encrypted.

Retention and disposal:

Investigative files (if any) and the computerized data base which shows the scheduling or completion of an investigation are retained for 16 years from the date of closing or the date of the most recent investigative activity, whichever is later, except for investigations involving potentially actionable issue(s) which will be maintained for 25 years from the date of closing or the date of the most recent investigative activity.

Hard copy records are destroyed by shredding and recycling, and computerized records are destroyed by electronic erasure.

Digital capture of fingerprint card set is forwarded to the Federal Bureau of Investigation and the card is destroyed when it is verified that the digital copy was accurately captured and transferred.

System manager(s) and address:

Associate Director, Federal Investigative Services, U.S. Office of Personnel Management, PO Box 618, 1137 Branchton Road, Boyers, PA 16018.

Notification procedure:

Individuals wishing to learn whether this system contains information about them should contact the FOI/PA, Office of Personnel Management, Federal Investigative Services, PO Box 618, 1137 Branchton Road, Boyers, PA 16018–0618, in writing. Written requests must contain the following information:

a. Full name, former name, and any other names used.

b. Date and place of birth.

c. Social Security Number.

d. Any available information regarding the type of record involved.

e. The address to which the record information should be sent.

f. You must sign your request.

Attorneys or other persons acting on behalf of an individual must provide written authorization from that individual for the representative to act on their behalf. The written authorization must also include an original notarized statement or an unsworn declaration in accordance with 28 U.S.C. 1746, in the following format: I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature).

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Record access procedure:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(c)(3) and (d), regarding accounting of disclosures, and access to and amendment of records. The section of this notice titled Systems Exempted from Certain Provisions of the Act indicates the kinds of material exempted and the reasons for exempting them from access.

Individuals wishing to request access to their records should contact the OPM Federal Investigative Services in writing. Requests should be directed only to the Federal Investigative Services whether the record sought is in the primary system or in an agency's decentralized segment. Individuals must furnish the following information for their records to be located and identified:

a. Full name, former name, and any other names used.

b. Date and place of birth.

c. Social Security Number.

d. Any available information regarding the type of record involved.

e. The address to which the record information should be sent.

f. You must sign your request.

Attorneys or other persons acting on behalf of an individual must provide written authorization from that individual for the representative to act on their behalf. The written authorization must also include an original notarized statement or an unsworn declaration in accordance with 28 U.S.C. 1746, in the following format: I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature).

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(d), regarding access to and amendment of records. The section of this notice titled Systems Exempted from Certain Provisions of the Act indicates the kinds of material exempted and the reasons for exempting them from amendment.

Individuals wishing to request amendment to their non-exempt records should contact the Federal Investigations Processing Center in writing. Requests should be directed only to the OPM Federal Investigative Services, whether the record sought is in the primary system or in agency's decentralized segment. Individuals must furnish the following information for their records to be located and identified:

a. Full name, former name, and any other names used.

b. Date and place of birth.

c. Social Security Number.

d. Any available information regarding the type of record involved.

e. The address to which the record information should be sent.

f. You must sign your request.

Attorneys or other persons acting on behalf of an individual must provide written authorization from that individual for the representative to act on their behalf. The written authorization must also include an original notarized statement or an unsworn declaration in accordance with 28 U.S.C. 1746, in the following format: I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature).

Individuals requesting amendment must also comply with OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Note:

Where an agency retains the decentralized copy of the investigative report provided by OPM, requests for access to or amendment of such reports will be forwarded to the OPM Federal Investigative Services for processing.

Record source categories:

Information contained in this system of records is obtained from:

a. Electronic and paper applications, personnel and security forms or other information completed or supplied by the individual, and the results of personal contacts with the individual.

b. Investigative and other record material furnished by Federal agencies, including notices of personnel actions.

c. By personal investigation, written inquiry, or computer linkage from sources such as employers, educational institutions, references, neighbors, associates, police departments, courts, credit bureaus, medical records, probation officials, prison officials, newspapers, magazines, periodicals, and other publications.

d. By personal investigation, written inquiry, or computer linkage from sources such as employers, educational institutions, references, neighbors, associates, police departments, courts, credit bureau, medical records, probation officials, prison officials, newspapers, magazines, periodicals, and other publications.

Systems exempted from certain provisions of the act:

OPM has claimed that all information in these records that meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), or (7) is exempt from the requirements of the Privacy Act that relate to providing an accounting of disclosures to the data subject, and access to and amendment of records (5 U.S.C. 552a(c)(3) and (d)). This system may contain the following types of information:

1. Properly classified information subject to the provisions of section 552(b)(1), which states as follows: (A) Specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy and (B) are in fact properly classified pursuant to such Executive order.

2. Investigatory material compiled for law enforcement purposes, other than material within the scope of subsection (j)(2) of this section: Provided, however, that if any individual is denied any right, privilege, or benefit that he would otherwise be entitled by Federal law, or for which he would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to such individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence.

3. Information maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18 of the U.S. Code.

4. Material that is required by statute to be maintained and used solely as a statistical record.

5. Investigatory material compiled solely for the purpose of determining suitability, eligibility or qualifications for Federal civilian employment and Federal contact or access to classified information. Materials may be exempted to the extent that release of the material to the individual whom the information is about would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence or, prior to September 27, 1975, furnished information to the Government under an implied promise that the identity of the source would be held in confidence.

6. Testing and examination materials, compiled during the course of a personnel investigation, that are used solely to determine individual qualifications for appointment or promotion in the Federal service, when disclosure of the material would compromise the objectivity or fairness of the testing or examination process.

7. Evaluation materials, compiled during the course of a personnel investigation, that are used solely to determine potential for promotion in the armed services can be exempted to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

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OPM/CENTRAL 10

System name:

Federal Executive Institute Program Participant Records.

System location:

Federal Executive Institute, Office of Executive and Management Development, Office of Personnel Management, 1301 Emmet Street, Charlottesville, VA 22903–4899.

Categories of individuals covered by the system:

All Federal, State, and local government employees (both current and former), international executives, former faculty and staff, and Fellowship students who have attended programs at the Federal Executive Institute (FEI).

Categories of records in the system:

This system contains information supplied by the sponsoring agency and the program participant, including application and consent forms, supporting correspondence, class rosters and directories. The records contain the name, position title, office address and telephone number, Social Security Number, FEI program attended, and, with the approval of the individual, home address and telephone number of program participants. Demographic information is obtained on a completely anonymous basis and is stored as such. It cannot be retrieved as related to any individual. Race and National Origin (RNO) information that is submitted and entered into the system is immediately blocked from individual identification. The RNO information system can generate general reports but the System Administrator(s) is the only individual(s) that can access the original information.

Authority for maintenance of the system:

Includes the following with any revisions and amendments:

5 U.S.C. 301 and 4117.

Purpose(s):

The records are used by FEI staff to administer the program, to promote program participant interaction, and by FEI program participants to maintain contact with other participants. These records may be used to locate individuals for personnel research but no records are released without prior permission. No RNO information will be accessed except as a group with no individual recognition.

Routine uses of records maintained in the system, including THE categories of users and the purposes of such uses:

Routine uses 1 through 10 of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system.

The routine uses listed below are specific to this system of records only:

a. To disclose information to Federal agencies to assist them in planning for executive development programs.

b. To provide information to the FEI Alumni Association for the purpose of mailing association materials to an alumni's home or business address.

Policies and practices for storing, retrieving, retaining and disposing of records in the system:

Storage:

Records are maintained in hard copy (for 2 years) and automated form.

Retrievability:

Records are retrieved by the name of the individual on whom they are maintained. A secondary identifier will be the Social Security Number of an individual (the secondary identifier will not be released in any records). Records may also be retrieved by agency, location and FEI programs.

Safeguards:

Records kept by FEI officials are maintained in a secured area with access limited to those authorized personnel at FEI whose duties require access. Distribution of information is limited to FEI program participants and specified recipients. In addition:

a. At the request of the individual, his or her home address and telephone number will not be released;

b. Social Security Numbers will not be included in any information released.

c. At the request of the employing agency, information relating to the individual's status (i.e., position title) will not be released.

Retention and disposal:

Hard copies of applicant files are destroyed after a maximum of 3 years. The automated data base is an ongoing file system.

System manager(s) and address:

Director, Federal Executive Institute, Office of Executive and Management Development, Office of Personnel Management, 1301 Emmet Street, Charlottesville, VA 22903–4899; Computer Specialist, Federal Executive Institute, Office of Executive and Management Development, Office of Personnel Management, 1301 Emmet Street, Charlottesville, VA 22903–4899.

Notification procedure:

Individuals wishing to inquire whether this system contains information about them should contact the system manager(s). Individuals must furnish the following information for their records to be located and identified:

a. Name (possibly Social Security Number).

b. Agency.

c. FEI program attended and dates.

Record access procedures:

Individuals wishing to request access to their records should contact the system manager(s). Individuals must furnish the following information for their records to be located and identified:

a. Name (possibly Social Security Number).

b. Agency.

c. FEI program attended and dates.

Individuals requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of records about them should contact the system manager(s). Individuals must furnish the following information for their records to be located and identified:

a. Name (possibly Social Security Number).

b. Agency.

c. FEI program attended and dates.

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OPM/CENTRAL–11

SYSTEM NAME:

Presidential Management Fellows (PMF) Program Records.

SYSTEM LOCATION:

U.S. Office of Personnel Management, Human Resources Products and Services Division, Center for Leadership Capacity Services, Succession Planning Programs, Presidential Management Fellows Program, 1900 E Street, NW., Room 1425, Washington, DC 20415.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains records on current and former PMFs and students pursuing graduate degrees who have been nominated by their graduate schools for consideration for the PMF Program, as well as contact information for Program stakeholders (e.g., Agency PMF Coordinators, graduate school Nomination Officials, supervisors of PMFs).

CATEGORIES OF RECORDS IN THE SYSTEM:

These records contain information about the covered individuals relating to name, Social Security Number, academic background, home address, telephone numbers, e-mail addresses, employment history, Indian and veterans' preference, and other personal information needed during the application, nomination, assessment, and selection processes, and as needed for training and development opportunities impacting PMFs and participating agencies. This system also will contain confidential evaluation information and assessment scores not available to the public.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Order 13318, signed by President George W. Bush on November 21, 2003.

PURPOSE(S):

These records are used by program personnel for the following reasons:

a. To determine basic program eligibility and to evaluate the nominees in a structured assessment process conducted by OPM.

b. To group the applicants into various categories (e.g., applicants, nominees, finalists, and non-selectees) and make a final determination as to those candidates who will be referred (as finalists to become Fellows) to participating agencies for employment consideration.

c. For program evaluation functions to determine the effectiveness of the program and to improve program operations.

d. To facilitate interaction and communication between PMF Program participants and alumni.

e. To track PMF appointments, certifications, conversions, reappointments, withdrawals, resignations, extensions, waivers and deferrals.

f. To track agency reimbursements for PMF appointments.

g. To schedule and track PMF participation in Program-sponsored training and development events (e.g., orientation, forums, graduation).

h. To track contact information of applicants, nominees, finalists, Fellows, Agency PMF Coordinators, PMF supervisors, graduate school Nomination Officials and other relevant stakeholders.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

These records and information in these records may be used:

1. To refer pertinent information to the appropriate Federal, State or local agency responsible for investigating, prosecuting, enforcing or implementing a statute, rule, regulation or order when there is an indication of a violation or potential violation of civil or criminal law or regulation.

2. To provide information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of the individual.

3. To disclose information to another Federal agency, a Court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a judge.

4. To disclose information to the U.S. Department of Justice, or in a proceeding before a court, adjudicative body or other administrative body before which OPM is authorized to appear, when:

a. OPM, or any component thereof; or

b. Any employee of OPM in his or her official capacity; or

c. Any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or

d. The United States, when OPM determines that litigation is likely to affect OPM or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected.

5. To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions, e.g., as prescribed in 5 U.S.C. 1205 and 1206, or as may be authorized by law.

6. 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.

7. To disclose information to the Federal Labor Relations Authority or its General Counsel, when requested, in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.

8. To refer candidates to Federal agencies for employment consideration.

9. To refer candidates to State and local governments, congressional offices, international organizations, and other public offices, with permission of the candidates, for the purpose of employment consideration and developmental opportunities.

10. To refer Fellows for consideration for reassignment and promotion within the employing agencies.

11. As a data source for management information of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel research functions or manpower studies, or to locate individuals for personnel research.

12. To request information from a Federal, State, or local agency maintaining civil, criminal or other information relevant to an agency decision concerning the hiring or retention of a candidate.

13. To provide an academic institution with information on a recent graduate's participation in the PMF Program, covering application, nomination, assessment, selection and appointment to a Federal position at a certain grade level, and graduation (completion of the PMF Program).

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

STORAGE:

These records are stored on forms, lists, magnetic tape, database systems, Web site, and media storage devices (e.g., floppy disks, flash drives, CD–ROMs, etc.).

RETRIEVABILITY:

These records are indexed by name of applicants, maiden name (if applicable), graduate schools, State of residence, Social Security Number, graduate/undergraduate degree, Indian and/or veterans' preference, status in PMF Program (e.g., applicant, nominee, finalist, non-finalist, Fellow), citizenship, foreign language(s), geographic employment preference(s), and any combination of these.

SAFEGUARDS:

These records are maintained in lockable metal file cabinets or a secured office suite and in computerized systems accessible to only those program staff whose official duties necessitate such access. Confidential passwords are required for access to these automated records. Computerized systems adhere to current IT and security policies and requirements.

RETENTION AND DISPOSAL:

Application files are maintained for a maximum of three (3) years; the automated data base of participant information will be destroyed when no longer needed for administrative purposes. Tapes are erased and manual records are either archived or destroyed. The PMF Program maintains a database system tracking all applicant history and program status from 1997 to the present. All hardcopies, as a result of the above described processes, are maintained in lockable filing cabinets and are archived in accordance with OPM's Records Management Handbook and records schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Presidential Management Fellows Program Office, U.S. Office of Personnel Management, 1900 E Street, NW., Room 1425, Washington, DC 20415, Office (202) 606–1040, Fax (202) 606–3040, E-mail pmf@opm.gov, and Branch Chief/Technical Manager, Technical Services Group, U.S. Office of Personnel Management, 4685 Log Cabin Drive, Macon, GA 31204, Office (478) 744–2373, Fax (478) 744–2179.

NOTIFICATION PROCEDURE:

Individuals wishing to inquire whether this system contains information about them should contact the system managers. You must furnish the following information for your records to be located and identified:

a. Full Name at Time of Application.

b. Maiden Name (if applicable).

c. Home Address referenced at Time of Application.

d. Nominating Graduate School.

e. Graduate Degree referenced at Time of Application.

f. Year Applied to Program.

RECORD ACCESS PROCEDURE:

Specific materials in this system have been exempted from Privacy Act provisions at 5 U.S.C. 552a(d), regarding access to and amendment of records. The section of the notice, titled Systems Exempted from Certain Provisions of the Act, indicates the kinds of materials exempted and the reasons for exempting them from access.

Current or former Presidential Management Fellows or nominees who wish to gain access to their non-exempt records should direct such a request in writing to the system managers. You must furnish the following information for your records to be located and identified.

a. Full Name at Time of Application.

b. Maiden Name (if applicable).

c. Home Address referenced at Time of Application.

d. Nominating Graduate School.

e. Graduate Degree referenced at Time of Application.

f. Year Applied to Program.

Individuals must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR 297).

CONTESTING RECORD PROCEDURE:

Specific material in this system has been exempted from Privacy act provisions at 5 U.S.C. 552a(d), regarding access to and amendment of records. The section of the notice titled Systems Exempted from Certain Provisions of the Act, indicates the kinds of materials exempted and the reasons for exempting them from amendment.

Current or former Presidential Management Fellows or nominees wishing to request amendment of their non-exempt records should contact the system managers. You must furnish the following information for your records to be located and identified:

a. Full Name at Time of Application.

b. Maiden Name (if applicable).

c. Home Address referenced at Time of Application.

d. Nominating Graduate School.

e. Graduate Degree referenced at Time of Application.

f. Year Applied to Program.

Individuals must also comply with OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR 297).

RECORD SOURCE CATEGORIES:

Information in this system of records is obtained from:

a. The individual to whom it applies;

b. Nominating graduate school Deans, Chairpersons, and/or Academic Program Directors;

c. Federal, State, and local officials involved in the screening and selection process;

d. Employing agencies.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

This system contains testing and examination materials that are used solely to determine individual qualifications for appointment or promotion in the Federal service. The Privacy Act at 5 U.S.C. 552a(k)(6), permits an agency to exempt all such testing or examination material and information from certain provisions of the Act when disclosure of the material would compromise the objectivity or fairness of the testing or examination process. OPM has claimed exemptions from the requirements of 5 U.S.C. 552a(d), which relate to access to and amendment of records, for any such testing or examination materials in the system.

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OPM/CENTRAL–12

[Reserved]

OPM/CENTRAL–13

System name:

Executive Personnel Records.

System location:

Office of Executive Resources Management, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415–0001.

Categories of individuals covered by the system:

Current and former appointees in the Senior Executive Service; current and former incumbents of Executive Schedule, Scientific and Professional research and development, Senior Level, Board of Contract Appeals, and similar positions; former incumbents of General Schedule 16–18 positions; and participants in and graduates of OPM-approved agency Senior Executive candidate development programs.

Categories of records in the system:

These records include:

a. Demographic, appointment, and assignment information (e.g., name, office address, date of birth, Social Security Number, sex, race and ethnic designation, titles of positions, pay rates, and types of appointments).

b. Background data on work experience, educational experience, publications or awards (includes performance ratings and any performance, rank, or incentive awards received), and career interests.

c. Determinations on nominees for Meritorious and Distinguished Presidential Rank awards.

d. Determinations concerning executive (managerial) qualifications (i.e., Qualification Review Board records).

e. Information on performance of executives (e.g., performance ratings, performance awards, and incentive awards).

f. Information relating to participants (current and former) in the sabbatical leave program (e.g., dates of participation and reasons for the leave).

g. Applications from individuals who, within the 90-day period provided for under 5 U.S.C. 3593(b), seek reemployment in the Senior Executive Service.

h. Information concerning the reason(s) why an individual leaves an executive position (e.g., retired, resigned, to enter private industry, to work for a State government, or removed during probation or after because of performance).

i. Information about the recruitment of individuals for executive positions (e.g., recruited from another Federal agency or from outside the Federal service).

Note:

Automated and manual duplicates of records in this system, maintained by agencies for purposes of actual administration of the SES, along with other records agencies have on Federal executives, are not considered part of this system. Such records are considered general personnel records and are covered by the OPM/GOVT–1, General Personnel Records system.

Authority for maintenance of the system:

Includes the following with any revisions and amendments:

5 U.S.C. 2101 through 2103; 3104; 3131 through 3134; 3136; 3324; 3325; 3391 through 3397; 3591 through 3596; 4311 through 4315; 4507; 5108; 5381 through 5385; 5752 through 5754; and 7541 through 7543.

Purpose(s):

The records are used to:

a. Assist OPM in carrying out its responsibilities under title 5, U.S. Code, and OPM rules and regulations promulgated thereunder, including the allocation and establishment of SES, Senior Level, and Scientific and Professional research and development positions, development of qualification standards for SES positions, establishment and operation of one or more qualifications review boards, establishment of programs to develop candidates for and incumbents of executive positions, and development of performance appraisal systems.

b. Pursuant to section 415 of the Civil Service Reform Act, assist OPM in meeting its mandate to evaluate the effectiveness of the SES and the manner in which the Service is administered.

c. Provide data used in policy formulation, program planning and administration, research studies, and required reports regarding the Government-wide executive program.

d. Locate specified groups of individuals for personnel research (while protecting their individual privacy). Race and ethnic data and performance ratings are collected for statistical use only.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 5, and 7 through 11, of the Prefatory Statement at the beginning of OPM's system notices (60 FR 63075, effective January 17, 1996) apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To identify and refer qualified current or former Federal employees to Federal agencies for executive vacancies.

b. To refer qualified current or former Federal employees or retirees to State and local governments and international organizations for employment considerations.

c. To provide an employing agency with extracts from the records of that agency's employees in the system.

d. By OPM to locate individuals for personnel research or survey response and in the production of summary descriptive statistics and analytical studies in support of the functions for which the records are collected and maintained, or for related work force studies. While published studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

e. To disclose information to any member of an agency's Performance Review Board or other board or panel (e.g., one convened to select or review nominees for awards of merit pay increases), when the member is not an official of the employing agency; information would then be used for the purposes of approving or recommending selection of candidates for executive development programs, issuing a performance appraisal rating, issuing performance awards, nominating for Meritorious and Distinguished Executive ranks, and removal, reduction-in-grade, and other personnel actions based on performance.

f. To provide information to the White House on executives with noncareer appointments in the Senior Executive Service, in positions formerly in the General Schedule filled by noncareer executive assignments, in excepted positions paid at Executive Schedule pay rates, and in positions in the Senior Level pay system or other pay systems equivalent to those described which are filled by Presidential appointment or excepted from the competitive service because they are of a confidential or policy-determining character.

Policies and practices for storing, retrieving, safeguarding, retaining and disposing of records in the system:

Storage:

Records are maintained in hardcopy, magnetic media, and microfiche.

Retrievability:

Records are retrieved by the name and Social Security Number of the individual to whom they pertain.

Safeguards:

Manual records are maintained in lockable metal filing cabinets or in secured rooms with access limited to those whose official duties require access. Access to computerized records is limited to those whose official duties require access. Access to race and ethnic data is restricted to specially designated OPM personnel.

Retention and disposal:

Records are retained for varying lengths of time, in accordance with disposition schedules approved by NARA. Disposal of manual records is by shredding or burning, electronic databases are erased.

System manager(s) and address:

Director, Office of Executive Resources Management, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415–0001.

Notification procedure:

Individuals wishing to inquire whether this system or records contains information about them should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Social Security Number.

c. Address where employed.

Record access procedures:

Individuals wishing to request access to records about themselves should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Social Security Number.

c. Address where employed.

An individual requesting access must also follow OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of their records should contact the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Social Security Number.

c. Address where employed.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual named in the record.

b. His or her employing agency.

c. Official documents of OPM.

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OPM/CENTRAL–14

System name:

Debarment or Suspension Records for Federal Employees Health Benefits Program (FEHPB).

System location:

Administrative Sanctions Branch, Office of the Inspector General, Office of Personnel Management, 1900 E Street, NW, Room CHP 1314, Washington, DC 20415–0001.

Categories of individuals covered by the system:

Health care providers (physicians, hospitals and other individuals or entities which furnish health care services or supplies) and other participants who have been or are in the process of being debarred, suspended, determined to be ineligible, or otherwise excluded from participating in the Federal Employee Health Benefits Program (FEHBP), and other federally authorized financial and nonfinancial assistance and benefits under programs and activities (nonprocurement) administered by OPM.

Categories of records in the system:

This system contains a listing of health care providers and other participants, debarred, suspended, determined to be ineligible, or otherwise excluded from participation in the FEHBP and other federally authorized financial and nonfinancial assistance and benefits under programs and activities (non-procurement) administered by OPM. It includes records such as general correspondence, statements of cause, case files, and other related documents.

Authority for maintenance of the system:

Includes the following with any revisions or amendments:

5 U.S.C. Appendix 3, Executive Orders 12549 and 12689, and 5 CFR part 970.

Purpose(s):

Executive Orders 12549 and 12689 provide that Executive departments and agencies participate in a governmentwide system for nonprocurement debarment and suspension. This system of records documents OPM's participation in the program to reduce fraud and abuse in Federal nonprocurement programs and decisions regarding actions taken to exclude participants in Federally authorized nonprocurement programs administered by OPM.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Routine uses 1 through 11 of the Prefatory Statement at the beginning of OPM's system notices apply to the records maintained within this system. The routine uses listed below are specific to this system of records only:

a. To disclose records to appropriate Federal, State and local agencies if necessary and relevant to administering Federal financial or nonfinancial assistance programs or benefits.

b. To disclose records for performance of a Federal duty to a State or local agency, or financial institution.

c. To disclose information on excluded health care providers to other persons involved in or affected by the action.

d. To disclose information to agencies or organizations that license, certify, regulate, investigate, or prosecute persons or organizations that provide health-related services or items to determine possible disqualifying actions, practices, or conditions.

Policies and practices for storing, retrieving, safeguarding, retaining and disposing of records in the system:

Storage:

These records are maintained in paper copy and automated form.

Retrievability:

These records are retrieved by name, address, occupation, Social Security Number, and case number.

Safeguards:

Paper records are stored in lockable filing cabinets or secured rooms. Automated records are protected by ID/password security system. Records are available only to those persons whose official duties require access.

Retention and disposal:

Records are placed in inactive files (cut at the end of each fiscal year) when the case is closed. Inactive records are destroyed after 10 years.

System manager(s) and address:

Chief, Administrative Sanctions Branch, Office of the Inspector General Office of Personnel Management, 1900 E Street, NW, Room CHP 1314, Washington, DC 20415–0001.

Notification procedure:

Individuals wishing to determine whether this system of records contains information on them should contact the system manager indicated above. Individuals must furnish the following for their records to be located and identified:

a. Full name.

b. Case number, if applicable.

c. Address.

d. Date of Birth.

e. Social Security Number and Tax Identification Number.

f. Health Insurance related Identification Number.

Record access procedure:

Individuals wishing to request access to records should contact the system manager indicated above. Individuals must provide the following information for their records to be located and identified:

a. Full name.

b. Case number, if applicable.

c. Address.

d. Date of Birth.

e. Social Security Number and Tax Identification Number.

f. Health Insurance related Identification Number.

Individuals requesting access must also follow the OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297).

Contesting record procedure:

Individuals wishing to request amendment of records should contact the system manager indicated above. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Case number, if applicable.

c. Address.

d. Date of Birth.

e. Social Security Number and Tax Identification Number.

f. Health Insurance related Identification Number.

Individuals requesting amendment must also follow the OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

Record source categories:

Information in this system of records is obtained from:

a. The individual(s) to whom the record pertain(s).

b. Federal agencies.

c. State and local law enforcement officials.

d. Private agencies and organizations.

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OPM/CENTRAL–15

SYSTEM NAME:

Health Claims Data Warehouse (HCDW).

SYSTEM LOCATION:

Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system will contain records on the Federal Employees Health Benefits Program (FEHBP. The FEHBP includes Federal employees, Postal employees, uniformed service members, retirees, and their family members who voluntarily participate in the Program.

CATEGORIES OF RECORDS IN THE SYSTEM:

The records in the system may contain the following types of information on participating enrollees and covered dependents:

a. Name, social security number, date of birth, gender.

b. Home address.

c. Covered dependent information (spouse, dependents)—name, social security number, date of birth, gender.

d. Enrollee's employing agency.

e. Name of health care provider.

f. Health care provider address.

g. Health care provider taxpayer identification number (TIN) or carrier identifier.

h. Health care coverage information regarding benefit coverage for the plan in which the person is enrolled.

i. Health care procedures performed on the individual in the form of ICD, CPT and other appropriate codes.

j. Health care diagnoses in the form of ICD codes, and treatments, including prescribed drugs, derived from clinical medical records.

k. Provider charges, amounts paid by the plan and amounts paid by the enrollee for the above coverage, procedures, and diagnoses.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Authority for requiring FEHBP carriers to allow OPM access to records and for requiring reports, as well as authority for OPM's maintenance of FEHBP health claims information, is provided by 5 U.S.C. 8901, et seq. Section 8910 of title 5 United States Code states, in relevant part: “(a) The Office of Personnel Management shall make a continuing study of the operation and administration of this chapter, including surveys and reports on health benefit plans available to employees and on the experience of the plans. (b) Each contract entered into under section 8902 of this title shall contain provisions requiring carriers to—(1) furnish such reasonable reports as the Office determines to be necessary to enable it to carry out its functions under this chapter; and (2) permit the Office and representatives of the Government Accountability Office to examine records of the carriers as may be necessary to carry out the purposes of this chapter.” As explained in greater detail in the “Purpose” section below, OPM plans to use the information collected in this system to assist in its administration of, and in carrying out its functions under 5 U.S.C. chapter 89.

PURPOSE:

The primary purpose of this system of records is to provide a central database from which OPM may analyze the FEHBP to support the management of the program to ensure the best value for the enrollees and taxpayers. OPM will collect, manage, and analyze health services data provided by health insurers and administrators through secure data transfer. OPM will analyze the data in order to evaluate: The cost of care; utilization of services; and quality of care for specific population groups, geographic areas, health plans, health care providers, disease conditions, and other relevant categories. Information contained in the database will assist in improving the effectiveness and efficiency of care delivered by health care providers to the enrollees by facilitating robust contract negotiations, health plan accountability, performance management, and program evaluation. OPM will use identifiable data to create person-level longitudinal records. However, OPM analysts using the database for analysis purposes will only have access to de-identified data. Only de-identified data will be released for all analysis purposes.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

1. To disclose FEHBP data to analysts inside and outside the Federal Government for the purpose of conducting analysis of health care and health insurance trends and topical health-related issues compatible with the purposes for which the records were collected and formulating health care program changes and enhancements to limit cost growth, improve outcomes, increase accountability, and improve efficiency in program administration. In all cases, analysts external to OPM will access a public use file that will be maintained for such purposes; will only contain de-identified data; and will be structured, where appropriate, to protect enrollee confidentiality where identities may be discerned because there are fewer records under certain demographic or other variables. In all disclosures to analysts under this routine use, only de-identified data will be disclosed.

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

STORAGE:

These records will be maintained in electronic systems.

RETRIEVABILITY:

These records are retrieved by a unique identifier that will be based on identifying information (primarily name and social security number) of the individual.

SAFEGUARDS:

OPM's Planning and Policy Analysis (PPA) Office will maintain HCDW within secured offices at OPM Headquarters. All employees and contractors are required to have an appropriate background investigation before they are allowed physical access to OPM and access to the HCDW system. The secured space is equipped with an electronic badge reader restricting access to authorized personnel only and has alarms to alert security personnel if unauthorized personnel are in the spaces. OPM employs armed physical security guards 365 days a year, 24 hours a day that patrol OPM Headquarters, to include every entry/exit point. Video cameras are strategically located on every floor and external to the facility. The HCDW will physically reside on the servers managed by OPM's Office of Inspector General (OIG), but PPA personnel will have sole control and responsibility for the operation, maintenance, access, and security of the HCDW. Computer firewalls are maintained in the HCDW to prevent access by unauthorized personnel. The HCDW employs National Institute of Standards and Technology (NIST) Security Controls identified in the most recent version of Special Publication SP 800–53. NIST 800–53 security controls are the management, operational, and technical safeguards or countermeasures employed within an organizational information system to protect the confidentiality, integrity, and availability of the system and its information. The HCDW will perform Authorization and Assessment following the NIST 800–53 standard in order to obtain an Authority to Operate (ATO). The HCDW will employ role based access controls to further restrict access to data contained within HCDW and its virtual servers based on the functions that users are authorized to perform. The data warehouse will be fully compliant with all applicable provisions of the Privacy Act, Health Insurance Portability and Accountability Act (HIPAA), Federal Information Security Management Act (FISMA), Records Act, Office of Management and Budget (OMB) guidance, and NIST guidance. As also explained below under “Record Source Categories,” the PPA receives the data from the OIG, which collects it from contract service providers (health plans) carrying out the program. The data is reviewed by the OIG for accuracy and adjusted to ensure a common format. Once data is adjusted into a common format it is then routed to the HCDW where longitudinal records are produced and the data is stripped of identifiers for analytic purposes. The PPA has determined that first running the data through OPM OIG's data processing environment will result in significant cost and efficiency savings because the OPM OIG has already developed, tested, and established technical protocols which will ensure that the records are put into a common technical format and checked for accuracy. A database administrator employed by PPA will handle the FEHBP data at this processing phase. The OPM OIG systems that will process the data will also be fully compliant with all applicable provisions of the Privacy Act, Federal Information Security Management Act (FISMA), and NIST guidance.

RETENTION AND DISPOSAL:

The records in this system will be retained for 7 years. Computer records will be destroyed by electronic erasure. A records retention schedule is currently being established with NARA.

SYSTEM MANAGERS AND ADDRESSES:

The system manager is Gary A. Lukowski, PhD, Manager, Data Analysis, U. S. Office of Personnel Management, 1900 E Street, NW., Room 7439, Washington, DC 20415, 202–606–1449.

NOTIFICATION AND RECORD ACCESS PROCEDURE:

Individuals wishing to determine whether this system of records contains information about them may do so by writing to the U.S. Office of Personnel Management, FOIA/PA Requester Service Center, 1900 E Street, NW., Room 5415, Washington, DC 20415–7900 or by e-mailing foia@opm.gov.

Individuals must furnish the following information for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social security number.

4. Signature.

5. Available information regarding the type of information requested.

6. The reason why the individual believes this system contains information about him/her.

7. The address to which the information should be sent.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR 297).

CONTESTING RECORD PROCEDURE:

Individuals wishing to request amendment of records about them should write to the Office of Personnel Management, FOIA/PA Requester Service Center, 1900 E Street, NW., Room 5415, Washington, DC 20415–7900. ATTN: Planning and Policy Analysis.

Individuals must furnish the following information in writing for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. City, state, and zip code of their Federal Agency.

5. Signature.

6. Precise identification of the information to be amended.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment to records (5 CFR 297).

RECORD SOURCE CATEGORIES:

OPM, which has the authority to obtain this information from health care insurers and administrators contracted by OPM to manage the FEHBP, will obtain the FEHBP records from health care insurers and administrators. The information will first be received by OPM's OIG, which will then process the data and provide it to PPA under an MOU between PPA and OIG. OPM's OIG will also maintain the FEHBP records in a separate system of records under its own authorities. OPM has determined that first running the records through technical protocols developed and established by the OIG will be more efficient, secure, and cost effective because the records will already have been checked for accuracy and adjusted to ensure a common format using a well tested process.

SYSTEM EXEMPTIONS:

None.

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SYSTEM NAME:

Health Claims Disputes External Review Services.

SYSTEM LOCATION:

Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system will contain records on adverse benefit determinations and final internal adverse benefit determinations for claimants who qualify for external review according to the IFR and choose to appeal to OPM. Individuals may only appeal to OPM (1) if they purchase a health insurance policy or a group health plan from a health insurance issuer in a state that does not have an external review law that complies with the minimum standards promulgated by HHS or if they are enrolled in a self-insured nonfederal governmental health plan, (2) if they are in a non-grandfathered plan, (3) if the plan or policy year begins on or after September 23, 2010, (4) if the plan or policy has elected to participate in the external review process operated by OPM, and (5) if the claim involves a rescission of coverage or medical judgment. Health insurance issuers must notify claimants upon notice of an adverse benefit determination or final internal adverse benefit determination as to how to initiate an external review by OPM if they choose to do so. This notice must meet the requirements of 45 CFR Part 147(b)(2)(ii)(E).

CATEGORIES OF RECORDS IN THE SYSTEM:

In order to adjudicate an appeal, OPM requires claimants or their authorized representatives to submit the following information:

a. The denial of benefits or coverage that the individual received from the insurance plan or issuer;

b. Name,

c. Insurance ID number,

d. Phone number and mailing address,

e. The state and county in which they are insured,

f. An indication whether the external review request is for an urgent care claim,

g. An indication whether the external request is for review of a rescission or termination of coverage or involves medical judgment,

h. A brief statement of the reason for the external review request,

i. The insurer's name,

j. The claim number,

k. In cases where an authorized representative requests the external review, evidence of authorization from the authorized representative; and

Any additional information necessary to process the request for review that may be required by HHS regulation or guidance. In addition, claimants may choose to submit additional information that will become part of the system of records. This information is likely to include the following:

a. A statement about why the claimant believes their health insurance issuer's decision was wrong, based on specific benefit provisions in the plan brochure or contract;

b. Copies of documents that support the claim, such as physicians' letters, operative reports, bills, medical records, and explanation of benefits (EOB) forms;

c. Copies of all letters the claimant sent to their insurance plan about the claim;

d. Copies of all letters the health insurance issuer sent to the claimant about the claim;

e. The claimant's daytime phone number and the best time to call; and

f. The claimant's email address if they would like to receive OPM's decision via email.

Health insurance issuers will provide additional information and documentation. Consequently, the records in the system may include all of the following information:

a. Personal Identifying Information (Name, Social Security Number, Date of Birth, Gender, Phone number etc).

b. Address (Current, Mailing).

c. Dependent Information (Spouse, Dependents and their addresses).

d. Employment information.

e. Health care provider information.

f. Health care coverage information.

g. Health care procedure information.

h. Health care diagnosis information.

i. Provider charges and reimbursement information on coverage, procedures and diagnoses.

j. Any other letters or other documents submitted in connection with adverse benefit determinations or final internal adverse benefit determinations by claimants, healthcare providers, or health insurance issuers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

HHS has authority to administer the program under Sections 2701 through 2763, 2791, and 2792 of the Public Health Service Act (42 U.S.C. 300gg through 300gg–63, 300gg–91, and 300gg–92), as amended. HHS has discretion under the Act in the manner in which it implements the external appeals process, and it has entered an agreement with OPM under the Economy Act, 31 U.S.C. 1535, to provide such services.

PURPOSE:

The primary purpose of this system of records is to aid in the administration of external review of adverse benefit determinations and final internal adverse benefit determinations. OPM must have the capacity to collect, manage, and access health insurance benefits appeals information and documents on an ongoing basis in order for OPM to:

a. Determine eligibility for the federal external review process operated by OPM.

b. Review the adverse benefit determinations and final internal adverse benefit determinations to provide effective external review.

c. Track the progress of individual appeals and ensure that claimants do not submit duplicative appeals.

d. Make information available for any subsequent litigation related to a disputed external review decision.

e. Monitor whether health insurance issuers are providing benefits to which covered individuals are entitled.

f. Maintain records for parties to the dispute so that the covered individual and the insurance issuer can obtain a record of past appeals in which they were involved.

g. Track and report to HHS on the administration of the program.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed to authorized entities, as is determined to be relevant and necessary, including disclosures outside of OPM as a routine use under 5 U.S.C. 552a(b)(3) as follows:

a. For claims adjudication—To disclose information to agency contractors conducting claim reviews for the purpose of adjudicating an appeal.

b. For law enforcement purposes—To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where OPM becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

c. For congressional inquiries—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. For judicial/administrative proceedings—To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the government is not a party to the processing, records may be disclosed if a subpoena has been signed by a judge.

e. For litigation purposes—To disclose to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which OPM or HHS is authorized to appear, when:

1. OPM, HHS, or any component thereof; or

2. Any employee of OPM or HHS in his or her official capacity; or

3. Any employee of OPM or HHS in his or her individual capacity where the Department of Justice or OPM or HHS has agreed to represent the employee; or

4. The United States, when OPM or HHS determines that litigation is likely to affect OPM or HHS or any of their components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM of HHS is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected.

f. In the event of data breach—Records may be disclosed to appropriate Federal agencies and agency contractors that have a need to know the information for the purpose of assisting the agency's efforts to respond to a suspected or confirmed breach of the security or confidentiality of information maintained in this system of records and the information disclosed is relevant and necessary for that assistance.

g. For National Archives and Records Administration or the General Services Administration—For use in records management inspections conducted pursuant to 44 U.S.C. 2904 and 2906.

h. Researchers in and outside the Federal government for the purpose of conducting research on health care and health insurance trends and topical issues. Only de-identified data will be shared.

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

Disclosure to consumer Reporting Agencies:

None.

Storage:

Paper records will be stored in a locked file cabinet within OPM and/or any contractors. Any electronic records will be maintained in electronic systems.

Retrievability:

Records will primarily be manipulated, managed and summarized using a unique number assigned to each appeal. However, information may also be accessible by name or social security number.

Safeguards:

Paper records will be delivered to a locked P.O. Box and kept in a locked file cabinet. Electronic records will be maintained on password protected computers and systems. All individuals with access to these records will receive a background check and privacy training before accessing any of the records. OPM also restricts access to the records on the databases to employees who have the appropriate clearance. OPM and/or any contractors will comply with the Health Insurance Portability and Accountability Act (HIPAA); The Federal Information Security Management Act (FISMA); the Privacy Act; and Section 508 of the U.S. Rehabilitation Act. Contractors must also complete or have completed a security control assessment that conforms to the specifications provided in NIST SP 800–53, ISO 27001, or most recent DIACAP.

Retention and Disposal:

OPM and/or any contractors shall retain files for 75 calendar days before considering offsite storage in the event of judicial review. OPM and/or any contractors will maintain the records for 6 years. All records must be destroyed at the end of 6 years after OPM and/or any contractor issues a final decision on the review. Any computer records will be destroyed by electronic erasure. Any hard copies of records will be destroyed by shredding. A records retention schedule will be established with NARA.

System Manager and Address:

Edward DeHarde, U.S. Office of Personnel Management, Healthcare and Insurance, 1900 E Street NW., Washington, DC 20415.

Notification Procedure:

Individuals wishing to determine whether this system of records contains information about them may do so by writing to the U.S. Office of Personnel Management, FOIA Requester Service Center, 1900 E Street NW., Room 5415, Washington, DC 20415–7900 or by emailing foia@opm.gov.

Individuals must furnish the following information for their records to be located:

a. Full name.

b. Date and place of birth.

c. Social Security Number.

d. Signature.

e. Available information regarding the type of information requested, including the name of the insurance plan involved in any appeal and the approximate date of the appeal.

f. The reason why the individual believes this system contains information about him/her.

g. The address to which the information should be sent.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR part 297). In addition, the requester must provide a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:

• If executed outside the United States: `I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on [date]. [Signature].'

• If executed within the United States, its territories, possessions, or commonwealths: `I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on [date]. [Signature].'

Contesting Record Procedure:

Individuals wishing to obtain a copy of their records or to request amendment of records about them should write to the Office of Personnel Management, ATTN: Lynelle Frye, Policy Analyst, Planning and Policy Analysis, Health Claims Disputes External Review Services, Room 3415, Washington, DC 20415, and furnish the following information for their records to be located:

a. Full name.

b. Date and place of birth.

c. Social Security Number.

d. Signature.

e. Available information regarding the type of information that the individual seeks to have amended, including the name of the insurance plan involved in any appeal and the approximate date of the appeal.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment to records (5 CFR part 297). In addition, the requester must provide a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:

• If executed outside the United States: `I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on [date]. [Signature].'

• If executed within the United States, its territories, possessions, or commonwealths: `I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on [date]. [Signature].'

Record Source Categories:

Information in this system of records is obtained from:

a. Individuals who request OPM review.

b. Authorized representatives of covered individuals.

c. Health care providers.

d. Health insurance plans.

e. Medical professionals providing expert medical review under contract with OPM.

System Exemptions:

None.

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Office of Personnel Management (OPM)/CENTRAL-X

SYSTEM NAME:

Federal Competency Assessment Tool.

SYSTEM LOCATION:

Associate Director, Division for Human Capital Leadership and Merit System Accountability, U.S. Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415–0001. Records pertaining to voluntary assessments of designated occupations such as leadership and human resources management are located on a contractor server. Records pertaining to pre-determined competencies (e.g., leadership, human resources management, or performance management) may be forwarded to designated agencies.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Current Federal employees who have voluntarily registered and completed the Federal Competency Assessment Tool.

CATEGORIES OF RECORDS IN THE SYSTEM:

This system comprises voluntary self-assessments of competencies against a proficiency scale. The assessments are tied to user accounts, that contain (a) registration information that includes demographic data to help determine participation; (b) self assessment information; and (c) an assessment by the supervisor.

The registration information includes the following mandatory information:

a. Registered users' e-mail address.

b. User determined password.

c. First name.

d. Last name.

e. Department/Agency to which the participant belongs.

f. Pay plan.

g. Grade.

h. Occupational group/family.

i. Occupational Specialty, if applicable.

j. Work role, if applicable (e.g., executive, manager, supervisor, team lead).

The registration information also includes the following optional information:

(a) Work address.

(b) City.

(c) State.

(d) Zip code.

(e) Country.

(f) Work telephone.

(g) Education level.

(h) Estimated years until retirement.

(i) Time in occupation.

Self assessment information includes the employee's determination of his/her proficiency level against a set of competencies using a proficiency scale. The assessment by the supervisor includes the supervisor's determination of a requesting employee's proficiency level and the desired proficiency level of the position using the same set of competencies and proficiency scale.

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

5 U.S.C. 1103, 1402, and 4117.

Executive Orders 9830 and 13197.

PURPOSE:

The Federal Competency Assessment Tool is a web-based instrument for assessing the proficiency levels of Federal employees in key competencies. The tools allow an individual to conduct a competency self assessment and supervisors to assess the competencies of their employees to determine competency strengths and areas for improvement. Agencies can use the results of the assessments to support their competency gap analyses, succession management, and development efforts.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

These records and information in these records may be used:

1. 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 OPM becomes aware of an indication of a violation or potential violation of a civil or criminal law or regulation.

2. 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.

3. To disclose information to another Federal agency 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, and such information is deemed by OPM to be arguable, relevant and necessary to the litigation.

4. By the National Archives and Records Administration in records management and inspections.

5. To provide an official of another Federal agency information needed in the performance of official duties related to reconciling or reconstructing data files, compiling description statistics, and making analytical studies to support the function for which the records were collected and maintained.

6. By OPM, in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related work force studies. While published statistics and studies do not contain individual identifiers, in some instances, the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

7. To disclose information to the Department of Justice or in a proceeding before a court, adjudicative body, or other administrative body before which OPM is authorized to appear, when:

a. OPM, or any component thereof; or

b. Any employee of OPM in his or her official capacity; or

c. Any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or

d. The United States, when OPM determines that litigation is likely to affect OPM or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be arguable relevant and necessary to the litigation.

8. To disclose information to officials of the Merit Systems Protection Board or the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions as promulgated in 5 U.S.C. 1205 and 1206, or as may be authorized by law.

9. 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 of Employee Selection Procedures, or other functions vested in the Commission.

10. 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 of matters before the Federal Service Impasses Panel.

11. To disclose information to the Office of Management and Budget at any stage of the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB circular No. A–19.

12. To provide an official of another Federal agency information needed in the performance of official duties related to succession planning, workforce analysis, gap closure, competency development, recruitment and retention.

13. To disclose to a requesting Federal agency, information in connection with the hiring, retention, separation, or retirement of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; the classification of a job; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that OPM determines that the information is relevant and necessary to the requesting party's decision on the matter.

14. To provide individual users the ability to view self entered data on individual competency proficiency levels.

15. To provide reports to agencies on aggregate level data of proficiency levels in identified competencies across the Government.

16. To provide agency specific raw data reports to agencies on individual level data related to proficiency levels in identified competencies.

17. To disclose aggregate level data from the Federal Competency Assessment Tools via a governmentwide report.

18. To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal government.

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

STORAGE:

These records are maintained in a relational database management system hosted on a contractor's Internet server, accessed via a password-restricted system. Duplicate records also exist on magnetic tape back ups.

RETRIEVABILITY:

Designated points of contact from the U.S. Office of Personnel Management and participating agencies can retrieve reports that aggregate the results of individual and supervisor assessments, without specifically identifying individuals. Agencies can request raw data reports that will contain the identity of individuals. An employee can retrieve individual reports (which contain a record of how the individuals assessed themselves, along with how the supervisor assessed the position). All reports are accessed via the Internet through a password-restricted system.

SAFEGUARDS:

These electronic records are maintained in controlled access areas. Identification cards are verified to ensure that only authorized personnel are present. Electronic records are protected by restricted access procedures, including the use of passwords and sign-on protocols which are periodically changed. Only employees whose official duties require access are allowed to view, administer, and control these records.

RETENTION AND DISPOSAL:

Completed verifications are archived to a storage disk nightly and retained on a server for five years. When records are purged from the server, the records are transferred to a CD or other electronic media. Records in electronic media are electronically erased. CD or other electronic media are maintained for five years.

SYSTEM MANAGER AND ADDRESS:

Deputy Associate Director, Center for Human Capital Implementation and Assessment, Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415–0001.

NOTIFICATION PROCEDURE:

Individuals wishing to inquire if this system contains information about them should contact the system manager or designee. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Name and address of office in which currently and/or formerly employed in the Federal service.

RECORD ACCESS PROCEDURE:

Individuals wishing to request access to their records in this system should contact their agency point of contact or the system manager. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Name and address of office in which currently and/or formerly employed in the Federal service.

Individuals requesting access must also follow OPM's Privacy Act regulations on verification of identity and access to records (5 CFR part 297).

CONTESTING RECORD PROCEDURE:

Individuals wishing to request amendment of their records in this system should contact the agency point of contact or system manager. Individuals must furnish the following information for their records to be located and identified:

a. Name.

b. Name and address of office in which currently and/or formerly employed in the Federal service.

Individuals requesting amendment of their records must also follow OPM's Privacy Act regulations regarding verification of identity and amendment of records (5 CFR part 297).

RECORD SOURCE CATEGORIES:

The information in this system is obtained from:

a. The individual to whom the information pertains.

b. The supervisor of the individual to whom the information pertains, upon that individual's request.

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OPM/Central–18

SYSTEM NAME:

Federal Employees Health Benefits Program Claims Data Warehouse.

SYSTEM LOCATION:

Office of the Inspector General, U.S. Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

This system contains claims records on the Federal Employees Health Benefits Program (FEHBP). Participation in these programs is voluntary.

Participants in the FEHBP include Federal employees, Postal employees, annuitants under the Civil Service Retirement System and the Federal Employees Retirement System, former spouses, and their family members. Health care providers that submit claims to the FEHBP plans will also be stored in the system as part of the claims records. The Office of the Inspector General (OIG) has oversight responsibility under the Inspector General Act over the FEHBP.

CATEGORIES OF RECORDS IN THE SYSTEM:

The records in the system may contain the following types of information on participating enrollees and covered dependents:

a. Personally identifiable Information (PII) (Name, Social Security Number, Date of Birth, Gender, and FEHBP Member ID number).

b. Home Address.

c. Covered dependent information (Spouse, Dependents)—names and genders.

d. Enrollee's employing agency.

e. Names of health care providers including health care providers debarred under 5 U.S.C. 8902a.

f. Health care provider address.

g. Health Care Provider Taxpayer Identification Number (TIN) or identifier issued by a carrier.

h. Health care coverage information regarding benefit coverage for the plan in which the person is enrolled.

i. Health care procedure information regarding procedures performed on the individual.

j. Health care diagnoses in the form of ICD codes, and treatments, including prescribed drugs, derived from clinical medical records.

k. Provider charges, including amounts paid by the plan and amounts paid by the enrollee for the above coverage, procedures, and diagnoses.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The OIG is authorized to maintain FEHBP health claims information under § 6(a) of the Inspector General Act of 1978, as amended, 5 U.S.C. app. § 6(a). Authority is provided to OPM for maintenance of FEHBP health claims information by 5 U.S.C. 8910; 45 CFR 164.501, 164.512(d), which allow OPM access to records held by FEHBP contractors and require these contractors to submit reports on services provided to enrollees.

PURPOSE:

The primary purpose of this system of records is to provide a central database from which the OIG may use claims data from carriers for audit and investigative purposes to meet its oversight obligations under the Inspector General Act of 1978, as amended, 5 U.S.C. App., to detect fraud, waste and abuse in OPM programs. The Office of the Inspector General will use the data to detect and pursue fraud in the FEHBP and to audit the contracts with the various FEHBP carriers.

The secondary purpose of this system of records is to provide a mirror image of the Federal Employees Health Benefits Program Claims Data Warehouse data feeds to OPM so it can establish a central database (OPM/Central-15) from which it may analyze FEHBP data and actively manage the FEHBP to ensure the best value for the enrollees and taxpayers. OPM will collect, manage, and analyze health services data provided by FEHBP carriers.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

Only routine uses 1, 7, and 11 of the Prefatory Statement at the beginning of OPM's current Systems of Record notice apply to the records maintained within this system.

1. For Law Enforcement Purposes—To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where OPM becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

7. For Litigation—To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which OPM is authorized to appear, when:

(1) OPM, or any component thereof; or

(2) Any employee of OPM in his or her official capacity; or

(3) Any employee of OPM in his or her individual capacity where the Department of Justice or OPM has agreed to represent the employee; or

(4) The United States, when OPM determines that litigation is likely to affect OPM or any of its components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or OPM is deemed by OPM to be relevant and necessary to the litigation provided, however, that the disclosure is compatible with the purpose for which records were collected.

11. For Non-Federal Personnel—To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government.

The routine uses listed below are specific to this system of records only:

1. 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.

2. To disclose information to the contractor that originally provided the data to audit health care claims or investigate fraud.

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

STORAGE:

These records will be maintained in electronic systems.

RETRIEVABILITY:

These records are retrieved by various means:

1. Name, address, and/or social security number of an individual enrollee or patient,

2. Name, address, and/or TIN or other identifier of health care providers,

3. Claim payment information, and

4. Diagnostic or other procedure codes.

SAFEGUARDS:

The system will be located within space controlled by the OIG in OPM Headquarters. All employees and contractors are required to have an appropriate background investigation before they are allowed physical access to OIG office spaces and access to the system. The system is in a secured space that is equipped with a two factor authorization device, restricting access to authorized personnel only and has alarms to alert security personnel if unauthorized access is attempted. OPM employs armed physical security guards 365 days a year, 24 hours a day that patrol OPM Headquarters, to include every entry/exit point. Closed Circuit Video cameras are strategically located on every floor and external to the facility. Multiple layers of computer firewalls are maintained to prevent access by unauthorized personnel. The system employs National Institute of Standards and Technology (NIST) technical, physical and environmental Security Controls identified in Special Publication (SP) 800–53 revision 3. The OIG will perform an Assessment and Authorization following the NIST 800–53 revision 3 standard in order to obtain an Authority to Operate (ATO). The OIG will operate the system in compliance with the Privacy Act, Federal Information Security Management Act (FISMA) and NIST guidance. Transmission of the data feed from the carriers to this system is encrypted in compliance with NIST Federal Information Processing Standards Publication 197.

The OPM Health Claims Data Warehouse is hosted on the OIG IT systems, however the operation of, maintenance of, and security of the OPM Health Claims Data Warehouse is the responsibility of OPM not the OIG. Notice to the public of the OPM Health Claims Data Warehouse system of records is contained in a separate System of Records Notice.

RETENTION AND DISPOSAL:

Records in this system will be retained for at least 7 years but may be maintained for a longer period as required by litigation or open investigations or audits. Computer records are destroyed by electronic erasure. A records retention schedule is being established with the National Archives and Records Administration (NARA).

SYSTEM MANAGERS AND ADDRESSES:

The system manager is the Chief, Information Systems Audit Group, Office of the Inspector General, 1900 E Street, NW., Room 6400, Washington, DC 20415–1100.

NOTIFICATION AND RECORD ACCESS PROCEDURE:

Individuals wishing to determine whether this system of records contains information about them may do so by writing to the U.S. Office of Personnel Management, FOIA/PA Requester Service Center, 1900 E Street, NW., Room 5415, Washington, DC 20415–7900 or by e-mailing foia@opm.gov.

Individuals must furnish the following information for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. Signature.

5. Available information regarding the type of information requested.

6. The reason why the individual believes this system contains information about him/her.

7. The address to which the information should be sent.

Individuals requesting access must also comply with OPM's Privacy Act regulations regarding verification of identity and access to records (5 CFR 297).

CONTESTING RECORD PROCEDURE:

Individuals wishing to request amendment of records about them should write to the Office of Personnel Management, FOIA/PA Requester Service Center, 1900 E Street, NW., Room 5415, Washington, DC 20415–7900. Attn: Office of Inspector General.

Individuals must furnish the following information in writing for their records to be located:

1. Full name.

2. Date and place of birth.

3. Social Security Number.

4. City, state, and zip code of their Federal Agency.

5. Signature.

6. Precise identification of the information to be amended.

Individuals requesting amendment must also follow OPM's Privacy Act regulations regarding verification of identity and amendment to records (5 CFR 297).

RECORD SOURCE CATEGORIES:

Information in this system of records is obtained from health care insurers contracted by the U.S. Office of Personnel Management as FEHBP carriers.

SYSTEM EXEMPTIONS:

None.

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OPM/GOVT–1

System name:

General Personnel Records.

System location:

Records on current Federal employees are located within the employing agency. Records maintained in paper may also be located at OPM or with personnel officers, or at other designated offices of local installations of the department or agency that 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. Some agencies have employed the Enterprise Human Resource Integration (EHRI) data system to store their records electronically. Although stored in EHRI, agencies are still responsible for the maintenance of their records.

Former Federal employees' paper Official Personnel Folders (OPFs) are located at the National Personnel Records Center, National Archives and Records Administration (NARA), 111 Winnebago Street, St. Louis, Missouri 63118. Former Federal employees' electronic Official Personnel Folders (eOPF) are located in the EHRI data system that is administered by NARA.

Note 1:

The records in this system are records of the 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 Operating Manual, “The Guide to Personnel Recordkeeping.” Records in this system include:

a. Records reflecting work experience, education 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 Senior Executive Service (SES) Candidate Development Program.

Note 3:

Some of these records may also become part of the OPM/Central–10 Federal Executive Institute Program Participant Records and OPM/CENTRAL–13 Executive Personnel Records systems.

f. Records relating to Government-sponsored training or participation in an agency's Upward Mobility Program or other personnel program designed to broaden an employee's work experiences and for purposes of advancement (e.g., an administrative intern program).

g. Records contained in the Central Personnel Data File (CPDF) maintained by OPM and exact substantive representations in agency manual or automated personnel information systems. These data elements include many of the above records along with disability, race/ethnicity, 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 SES maintained by agencies for use in making decisions affecting incumbents of these positions, e.g., relating to sabbatical leave programs, reassignments, and details, that are perhaps unique to the SES and that may be filed in the employee's OPF. These records may also serve as the basis for reports submitted to OPM for implementing OPM's oversight responsibilities concerning the SES.

i. Records on an employee's activities on behalf of the recognized labor organization representing agency employees, including accounting of official time spent and documentation in support of per diem and travel expenses.

Note 4:

Alternatively, such records may be retained by an agency payroll office and thus be subject to the agency's internal Privacy Act system for payroll records. The OPM/GOVT–1 system does not cover general agency payroll records.

j. To the extent that the records listed here are also maintained in an agency electronic personnel or microform records system, those versions of these records are considered to be covered by this system notice. Any additional copies of these records (excluding performance ratings of record and conduct-related documents maintained by first line supervisors and managers covered by the OPM/GOVT–2 system) maintained by agencies at remote field/administrative offices 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 how the individual wants the investments to be made in the various TSP Funds.

Note 6:

CPDF and EHRI data system's Central Employee Record (CER) are part of OPM/GOVT–1 system of records. CPDF and CER are highly reliable sources of statistical data on the workforce of the Federal government. However, the accuracy and completeness of each data element within the individual records that comprise the aggregate files are not guaranteed, and should not be used as the sole tool or as a substitute for the OPF in making personnel determinations or decisions concerning individuals.

Note 7:

The eOPF Application within EHRI may contain documents and information beyond the scope and requirements of the OPF as documented in OPM's Guide to Personnel Recordkeeping. Those documents and information in the eOPF Application that are beyond the scope of the documented requirements are not considered part of the OPF or OPM/GOVT–1.

n. Records maintained in accordance with E.O. 13490, section 4(e), January 21, 2009. These records include the ethics pledges and all pledge waiver certifications with respect thereto.

Authority for maintenance of the system includes the following with any revisions or amendments:

5 U.S.C. 1302, 2951, 3301, 3372, 4118, 8347, and Executive Orders 9397, as amended by 13478, 9830, and 12107.

Purposes:

The OPF, which may exist in various approved media, and other general personnel records files, is the official repository of the records, reports of personnel actions, and the documentation required in connection with these actions affected during an employee's Federal service. The personnel action reports and other documents, some of which are filed 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 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 may also be used to locate individuals for personnel research.

Routine uses of records maintained in the systems, including categories of users and the purposes of such uses:

These records and information in these records may be used—

a. To disclose information to Government training facilities (Federal, State, and local) and to non-Government training facilities (private vendors of training courses or programs, private schools, etc.) for training purposes.

b. To disclose information to education institutions on appointment of a recent graduate to a position in the Federal service, and to provide college and university officials with information about their students working in the Student Career Experience 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 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 8:

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.

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.

Note 9:

When copies of records become part of an investigative process, those copies become subject to that systems' notice covering the investigative process i.e., if during an investigation, the OPM Federal Investigative Services Division makes copies of records contained in an Official Personnel Folder; those documents become part of OPM Central–9 Personnel Investigation Records system of records and are subject to that systems' routine uses.

m. To disclose to a Federal agency in the executive, legislative, or judicial branch of Government, in response to its request, or at the initiation of the agency maintaining the records, information in connection with the hiring of an employee, the issuance of a security clearance or determination concerning eligibility to hold a sensitive position, the conducting of an investigation for purposes of a credentialing, national security, fitness, or suitability adjudication concerning an individual, the classifying or designation of jobs, the letting of a contract, 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.

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 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, to provide information in the individual's record to any person who is responsible for the care of the individual, to the extent necessary to assure payment of benefits to which the individual is entitled.

v. To disclose to the agency-appointed representative of an employee all notices, determinations, decisions, or other written communications issued to the employee in connection with an examination ordered by the agency under fitness-for-duty examination procedures.

w. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

x. To disclose to a requesting agency, organization, or individual the home address and other relevant information on those individuals who it reasonably believed might have contracted an illness or might have been exposed to or suffered from a health hazard while employed in the Federal workforce.

y. To disclose specific civil service employment information required under law by the Department of Defense on individuals identified as members of the Ready Reserve to assure continuous mobilization readiness of Ready Reserve units and members, and to identify demographic characteristics of civil service retirees for national emergency mobilization purposes.

z. To disclose information to the Department of Defense, National Oceanic and Atmospheric Administration, U.S. Public Health Service, Department of Veterans Affairs, and the U.S. Coast Guard needed to effect any adjustments in retired or retained pay required by the dual compensation provisions of section 5532 of title 5, United States Code.

aa. To disclose information to the Merit Systems Protection Board or the Office of the Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of 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 non-Federal employers, the following information about a specifically identified current or former Federal employee:

(1) Tenure of employment;

(2) Civil service status;

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

(4) When separated, the date and nature of action as shown on the Notification of Personnel Action—Standard Form 50 (or authorized exception).

ee. To disclose information on employees of Federal health care facilities to private sector (i.e., other than Federal, State, or local government) agencies, boards, or commissions (e.g., the Joint Commission on Accreditation of Hospitals). Such disclosures will be made only when the disclosing agency determines that it is in the Government's best interest (e.g., to comply with law, rule, or regulation, to assist in the recruiting of staff in the community where the facility operates to obtain accreditation or other approval rating, or to avoid any adverse publicity that may result from public criticism of the facility's failure to obtain such approval). Disclosure is to be made only to the extent that the information disclosed is relevant and necessary for that purpose.

ff. To disclose information to any member of an agency's Performance Review Board Executive Resources 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 be used only for such purposes and under such conditions as prescribed by the notice of the Federal Acquisition Personnel Information System as published in the Federal Register of February 7, 1980 (45 FR 8399).

hh. To disclose relevant information with personal identifiers of Federal civilian employees whose records are contained in the Central Personnel Data File to authorized Federal agencies and non-Federal entities for use in computer matching. The matches will be performed to help eliminate waste, fraud, and abuse in Governmental programs; to help identify individuals who are potentially in violation of civil or criminal law or regulation; and to collect debts and overpayments owed to Federal, State, or local governments and their components. The information disclosed may include, but is not limited to, the name, social security number, date of birth, sex, annualized salary rate, service computation date of basic active service, veteran's preference, retirement status, occupational series, health plan code, position occupied, work schedule (full time, part time, or intermittent), agency identifier, geographic location (duty station location), standard metropolitan service area, special program identifier, and submitting office number of Federal employees.

ii. To disclose information to Federal, State, local, and professional licensing boards, Boards of Medical Examiners, or to the Federation of State Medical Boards or a similar non-government entity which maintains records concerning individuals' employment histories or concerning the issuance, retention or revocation of licenses, certifications or registration necessary to practice an occupation, profession or specialty, 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.

pp. To disclose on public and internally-accessible Federal Government Web sites, and to otherwise disclose to any person, including other departments and agencies, the signed ethics pledges and pledge waiver certifications issued under E.O. 13490 of January 21, 2009, Ethics Commitments by Executive Branch Personnel.

Policies and practices of storing, retrieving, safeguarding, and retaining and disposing of records in the system:

Storage:

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

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 is limited, through use of user logins and passwords, access codes, and entry logs, to those whose official duties require access. Computerized records systems are consistent with the requirements of the Federal Information Security Management Act (Pub. L. 107–296), and associated OMB policies, standards and guidance from the National Institute of Standards and Technology.

Retention and disposal:

The OPF is maintained for the period of the employee's service in the agency and is then, if in a paper format, transferred to the National Personnel Records Center for storage or, as appropriate, to the next employing Federal agency. If the OPF is maintained in an electronic format, the transfer and storage is in accordance with the OPM approved electronic system. 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. The transfer occurs within 90 days of the individuals' separation. In the case of administrative need, a retired employee, or an employee who dies in service, the OPF is sent within 120 days. Destruction of the OPF is in accordance with General Records Schedule-1 (GRS–1) or GRS 20.

Records contained within the CPDF and EHRI (and in agency's automated personnel records) may be retained indefinitely as a basis for longitudinal work history statistical studies. After the disposition date in GRS–1 or GRS 20, such records should not be used in making decisions concerning employees.

System manager and address:

a. Manager, OCIO/RM, 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 (OPF) 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 Act regulations on verification of identity and access to records (5 CFR 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 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.”

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OPM/GOVT–2

System Name:

Employee Performance File System Records.

System Location:

Records maintained in this system may be located as follows:

a. In an Employee Performance File (EPF) maintained in the agency office responsible for maintenance of the employee's Official Personnel Folder (OPF) or other agency-designated office. This includes those instances where the agency uses an envelope within the OPF in lieu of a separate EPF folder.

b. In the EPF of Senior Executive Service (SES) appointees where the agency elects to have the file maintained by the Performance Review Boards required by 5 U.S.C. 4314(c)(1), or the administrative office supporting the Board.

c. In any supervisor/manager's work folder maintained in the office by the employee's immediate supervisor/manager or, where agencies have determined that records management is better served, in such folders maintained for supervisors/managers in a central administrative office.

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

e. In an agency microformed EPF.

Note 1:

Originals or copies of records covered by this system may be located in more than one location, but if they become part of an agency internal system (e.g., administrative or negotiated grievance file), those copies then would be subject to the agency's internal Privacy Act implementation guidance regarding their use within the agency's system.

Note 2:

The records in this system are ‘owned’ by the Office of Personnel Management (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.

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 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.

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.

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purpose of Such Uses:

a. To disclose information to the Merit Systems Protection Board or the Office of Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of Office rules and regulations, investigations of alleged or possible prohibited personnel practices, and other functions as promulgated in 5 U.S.C. chapter 12, or for such other functions as may be authorized by law.

b. To disclose information to the EEOC when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, examination of Federal Affirmative Action programs, compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures, or other functions vested in the Commission.

c. To disclose information to the Federal Labor Relations Authority (including its General Counsel) when requested in connection with the investigation and resolution of allegations of unfair labor practices, in connection with the resolution of exceptions to arbitrator's awards where a question of material fact is raised, and matters before the Federal Service Impasses Panel.

d. To consider and select employees for incentive awards, quality-step increases, merit increases and performance awards, or other pay bonuses, and other honors and to publicize those granted. This may include disclosure to public and private organizations, including news media, which grant or publicize employee awards or honors.

e. To disclose information to an arbitrator to resolve disputes under a negotiated grievance procedure or to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation.

f. To disclose to an agency in the executive, legislative, or judicial branch, or to the District of Columbia's government in response to its request, or at the initiation of the agency maintaining the records, information in connection with hiring or retaining of an employee; issuing a security clearance; conducting a security or suitability investigation of an individual; classifying jobs; letting a contract; issuing a license, grant, or other benefits by the requesting agency; or the lawful statutory, administrative, or investigative purposes of the agency to the extent that the information is relevant and necessary to the decision on the matter.

g. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

h. To disclose information to a congressional office from the record or an individual in response to an inquiry from that congressional office made at the request of the individual.

i. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding.

j. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or

4. The United States, when the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or the agency is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the records were collected.

k. By the National Archives and Records Administration in records management inspections and its role as Archivist.

l. By the 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 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.

Retention and Disposal:

Records on former non-SES employees will generally be retained no longer than 1 year after the employee leaves his or her employing agency. Records on former SES employees may be retained up to 5 years under 5 U.S.C. 4314.

a. Summary performance appraisals (and related records as the agency prescribes) on SES appointees are retained for 5 years and ratings of record on other employees for 4 years, except as shown in paragraph b. below, and are disposed of by shredding, burning, erasing of disks, or in accordance with agency procedures regarding destruction of personnel records, including giving them to the individual. When a non-SES employee transfers to another agency or leaves Federal employment, ratings of record and subsequent ratings (4 years old or less) are to be filed on the temporary side of the OPF and forwarded with the OPF.

b. Ratings of unacceptable performance and related documents, pursuant to 5 U.S.C. 4303(d), are destroyed after the employee completes 1 year of acceptable performance from the date of the proposed removal or reduction-in-grade notice. (Destruction to be no later than 30 days after the year is up.)

c. When a career appointee in the SES accepts a Presidential appointment pursuant to 5 U.S.C. 3392(c), the employee's performance folder remains active so long as the employee remains employed under the Presidential appointment and elects to have certain provisions of 5 U.S.C. relating to the Service apply.

d. When an incumbent of the SES transfers to another position in the Service, ratings and plans 5 years old or less shall be forwarded to the gaining agency with the individual's OPF.

e. Some performance-related records (e.g., documents maintained to assist rating officials in appraising performance or recommending remedial actions or to show that the employee is currently licensed or certified) may be destroyed after 1 year.

f. Where any of these documents are needed in connection with administrative or negotiated grievance procedures, or quasi-judicial or judicial proceedings, they may be retained as needed beyond the retention schedules identified above.

g. Generally, agencies retain records on former employees for no longer than 1 year after the employee leaves.

Note 5:

When an agency retains an electronic or microform version of any of the above documents, retention of such records longer than shown is permitted (except for those records subject to 5 U.S.C. 4303(d)) for agency use or for historical or statistical analysis, but only so long as the record is not used in a determination directly affecting the individual about whom the record pertains (after the manual record has been or should have been destroyed).

System Manager(s) and Address:

a. 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).

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.

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OPM/GOVT–3

System Name:

Records of Adverse Actions, Performance Based Reduction in Grade and Removal Actions, and Termination of Probationers.

System Location:

These records are located in personnel or designated offices in Federal agencies in which the actions were processed.

Categories of Individuals Covered by the System:

Current or former Federal employees (including Senior Executive Service (SES) employees) against whom such an action has been proposed or taken in accordance with 5 CFR parts 315 (subparts H and I), 432, 752, or 754 of the Office's regulations.

Categories of Records in the System:

This system contains records and documents on: (1) The processing of adverse actions, performance based reduction in grade and removal actions, and (2) the termination of employees serving initial appointment probation and return to their former grade of employees serving supervisory or managerial probation. The records include, as appropriate, copies of the notice of proposed action, materials relied on by the agency to support the reasons in the notice, replies by the employee, statements of witness, hearing notices, reports, and agency decisions.

Note:

This system does not include records, including the action file itself, compiled when such actions are appealed to the Merit Systems Protection Board (MSPB) or become part of a discrimination complaint record at the Equal Employment Opportunity Commission (EEOC). Such appeal and discrimination complaint file records are covered by the appropriate MSPB or EEOC system of records.

Authority for Maintenance of the System:

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

Purpose(S):

These records result from the proposal, processing, and documentation of these actions taken either by the 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 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.

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:

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.

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.

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.

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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 for offenses against the law, military service, and indications of specialized training or receipt of awards or honors. These records may also include copies of correspondence between the applicant and the Office or agency.

b. Results of written exams and indications of how information in the application was rated. These records also contain information on the ranking of an applicant, his or her placement on a list of eligibles, what certificates applicant's names appeared on, an agency's request for Office approval of the agency's objection to an eligible's qualifications and the Office's decision in the matter, an agency's request for Office approval for the agency to pass over an eligible and the Office's decision in the matter, and an agency's decision to object/pass over an eligible when the agency has authority to make such decisions under agreement with the Office.

c. Records regarding the Office's final decision on an agency's decision to object/pass over an eligible for suitability or medical reasons or when the objection/pass over decision applies to a compensable preference eligible with 30 percent or more disability. (Does not include a rating of ineligibility for employment because of a confirmed positive test result under Executive Order 12564.)

d. Responses to and results of approved personality or similar tests administered by the Office or agency.

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

f. Registration sheets, control cards, and related documents regarding Federal employees requesting placement assistance in view of pending or realized displacement because of reduction in force, transfer or discontinuance of function, or reorganization.

g. Records concerning non-competitive action cases referred to the Office for decision. These files include such records as waiver of time-in-grade requirements, decisions on superior qualification appointments, temporary appointments outside a register, and employee status determinations. Authority for making decisions on many of these actions has also been delegated to agencies. The records retained by the Office on such actions and copies of such files retained by the agency submitting the request to the Office, along with records that agencies maintain as a result of the Office's delegations of authorities, are considered part of this system of records.

h. Records retained to support Schedule A appointments of severely physically handicapped individuals, retained both by the Office and agencies acting under the Office delegated authorities, are part of this system.

i. Agency applicant supply file systems (when the agency retains applications, resumes, and other related records for hard-to-fill or unique positions, for future consideration), along with any pre-employment vouchers obtained in connection with an agency's processing of an application, are included in this system.

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

k. Case files related to medical suitability determinations and appeals.

l. Records related to an applicant's examination for use of illegal drugs under provisions of Executive Order 12564. Such records may be retained by the agency (e.g., evidence of confirmed positive test results) or by a contractor laboratory (e.g., the record of the testing of an applicant, whether negative, or confirmed or unconfirmed positive test result).

Note 1:

Only Routine Use ‘p’ identified for this system of records is applicable to records relating to drug testing under Executive Order 12564. Further, such records shall be disclosed only to a very limited number of officials within the agency, generally only to the agency Medical Review Official (MRO), the administrator of the agency Employee Assistance Program, and any supervisory or management official within the employee's agency having authority to take the adverse personnel action against the employee.

Note 2:

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.

Purpose(s):

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

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purpose of Such Uses:

Note 4:

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

a. To refer applicants, including current and former Federal employees to Federal agencies for consideration for employment, transfer, reassignment, reinstatement, or promotion.

b. With the permission of the applicant, to refer applicants to State and local governments, congressional offices, international organizations, and other public offices for employment consideration.

c. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

d. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purposes of the request, and to identify the type of information requested), when necessary to obtain information relevant to an agency decision concerning hiring or retaining an employee, issuing a security clearance, conducting a security or suitability investigation of an individual, classifying positions, letting a contract, or issuing a license, grant or other benefit.

e. To disclose information to a Federal agency, in response to its request, in connection with hiring or retaining an employee, issuing a security clearance, conducting a security or suitability investigation of an individual, classifying positions, letting a contract, or issuing a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision in the matter.

f. To disclose information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

g. To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of that individual.

h. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to a judicial or administrative proceeding.

i. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or

4. The United States, when the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or the agency is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the records were collected.

j. By the National Archives and Records Administration in records management inspections and its role as Archivist.

k. By the agency maintaining the records or by the Office to locate individuals for personnel research or survey response or in producing summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published statistics and studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

l. To disclose information to the Merit Systems Protection Board or the Office of the Special Counsel in connection with appeals, special studies of the civil service and other merit systems, review of Office rules and rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions; e.g., as prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.

m. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative employment programs, compliance by Federal agencies with the Uniform Guidelines or Employee Selection Procedures, or other functions vested in the Commission.

n. To disclose information to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.

o. To disclose, in response to a request for discovery or for an appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

p. To disclose the results of a drug test of a Federal employee pursuant to an order of a court of competent jurisdiction where required by the United States Government to defend against any challenge against any adverse personnel action.

q. To disclose information to Federal, State, local, and professional licensing boards, Boards of Medical Examiners, or to the Federation of State Medical Boards or a similar non-government entity which maintains records concerning the issuance, retention, or revocation of licenses, certifications, or registration necessary to practice an occupation, profession, or specialty, in order to obtain information relevant to an agency decision concerning the hiring, retention, or termination of an employee or to inform a Federal agency or licensing board or the appropriate non-government entity about the health care practice of a terminated, resigned, or retired health care employee whose professional health care activity so significantly failed to conform to generally accepted standards of professional medical practice as to raise reasonable concern for the health and safety of patients in the private sector or from another Federal agency.

r. To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government.

Policies and Practices for Storing, Retrieving, 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:

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).

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.

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 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.

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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 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.

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of Such Uses:

Under normal circumstances, no individually identifiable records will be provided. However, under those unusual circumstances when an individually identifiable record is required, proper safeguards will be maintained to protect the information collected from unwarranted invasion of personal privacy. Such protection must be specified in writing by the requester and, to the satisfaction of the agency official responsible for maintaining the data, indicate that the proposed use of the data is in compliance with the letter and spirit of the Privacy Act. Under these circumstances, the routine uses are as follows:

a. By the OPM or employing agency maintaining the records to locate individuals for personnel research or survey responses and in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related workforce studies. While published statistics and studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

b. To furnish personnel records and information to the Equal Employment Opportunity Commission for use in determining the existence of adverse impact in the total selection program, reviewing allegations of discrimination, or assessing the status of compliance with Federal law.

c. To furnish information to the Merit Systems Protection Board or the Office of the Special Counsel in connection with actions by offices relating to allegations of discriminatory practices on the part of an agency or one of its employees.

d. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

e. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding.

f. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or

4. The United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or the agency is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the records were collected.

g. To provide information to a congressional office from the record of an individual in response to a request from that congressional office made at the request of that individual.

h. To provide aggregate data to non-Federal organizations participating in workforce studies. These data will be limited to individuals associated with the organization requesting the data or to data aggregated for all organizations in a study.

i. To disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government.

j. To disclose research records to a court or other body in camera when tests and other assessment instruments are involved.

Policies and Practices for Storing, Retaining, 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 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).

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 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.

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.

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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 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.

Note 1:

These data are maintained under conditions that ensure that the individual's identification as to race, sex, national origin, or disability status does not accompany that individual's application nor is otherwise made known when the individual is under consideration by a selecting official.

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of Such Uses:

a. To disclose information to the Equal Employment Opportunity Commission (EEOC), in response to its request for use in the conduct of an examination of an agency's compliance with affirmative action plan instructions and the Uniform Guidelines on Employee Selection Procedures (1978), or other requirements imposed on agencies under EEOC authorities in connection with agency Equal Employment Opportunity programs.

b. To disclose information to the Merit Systems Protection Board or the Office of the Special Counsel in connection with the processing of appeals, special studies relating to the civil service and other merit systems in the executive branch, investigations into allegations of prohibited personnel practices, and such other functions; e.g., as prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.

c. By 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 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.

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).

Contesting Record Procedure:

Individuals wishing to request amendment of their records should contact the appropriate office shown in the Notification Procedure section. Individuals must furnish the following information for their records to be located and identified.

a. Name.

b. Social security number.

c. Title of examination, position, or vacancy announcement for which they filed.

d. The OPM or employing agency office where they are employed or submitted the information.

e. Signature.

An individual requesting amendment must also follow OPM's Privacy Act regulations on verification of identity and amendment of records (5 CFR part 297).

Record Source Categories:

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

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OPM/GOVT–8—[Reserved]

OPM/GOVT–9

System Name:

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

System Location:

These records are located at the Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415, 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 decision or determination rendered by an agency regarding the classifying or grading of a position, whether an employee is to remain in a retained grade or pay category, the FLSA exemption status of an employee, or other FLSA claims or complaints. This system may also include transcripts of agency hearings and statements from agency employees.

Note 1:

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

Authority for Maintenance of the System:

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

Purpose:

These records are primarily used to document the processing and adjudication of a position classification appeal, job grading appeal, retained grade or pay appeal, or FLSA claim or complaint. Internally, OPM may use these records to locate individuals for personnel research.

Routine Uses of Records Maintained in the System, Including Categories of Users and the Purpose of Such Uses:

These records and information in these records may be used:

a. To disclose pertinent information to the appropriate Federal, State, or local government agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

b. To disclose information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

c. To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of that individual.

d. To disclose information to any source from which additional information is requested in the course of adjudicating a position classification appeal, job grading appeal, retained grade or pay appeal, or FLSA claim or complaint to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested.

e. To disclose information to a Federal agency, in response to its request, in connection with the hiring, retaining or assigning of an employee, issuing a security clearance, conducting a security or suitability investigation of an individual, classifying positions, and making FLSA exemption status determinations, or adjudicating FLSA claims and complaints to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

f. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding.

g. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or

4. The United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or the agency is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the records were collected.

h. By 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 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 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.

d. Kind of action (e.g., position classification appeal, job grading appeal, retained grade or pay appeal, or FLSA claim or complaint).

Individuals requesting access must also follow OPM's Privacy Act regulations on verification of identity and access to records (5 CFR part 297).

Contesting Record Procedure:

Review of requests from individuals seeking amendment of their records that have previously been or could have been the subject of a judicial or quasi-Judicial action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately documents the action of the agency or administrative body ruling on the case, and will not include a review of the merits of the action, determination, or finding. Individuals wishing to request an amendment to their records to correct factual errors should contact the appropriate official indicated in the Notification Procedure section. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Agency in which employed when the appeal or FLSA claim or complaint was filed and the approximate date of the closing of the case.

d. Kind of action (e.g., position classification appeal, job grading appeal, retained grade or pay appeal, or FLSA claim or complaint).

Individuals requesting amendment of their records must also follow OPM's Privacy Act regulations on verification of identity and amendment of records (5 CFR part 297).

Record Source Categories:

a. Individual to whom the record pertains.

b. Agency and/or OPM records relating to the action.

c. Statements from employees or testimony of witnesses.

d. Transcript of hearings.

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OPM/GOVT–10

SYSTEM NAME:

Employee Medical File System Records.

SYSTEM LOCATION:

a. For current employees, records are located in agency medical, personnel, dispensary, health, safety, or other designated offices within the agency, or contractors performing a medical function for the agency.

b. For former employees, most records will be located in an Employee Medical Folder (EMF) stored at the National Personnel Records Center operated by the National Archives and Records Administration (NARA). In some cases, agencies may retain for a limited time (e.g., up to 3 years) some records on former employees.

Note 1:

The records in this system of records are “owned” by the Office of Personnel Management (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 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).

f. Records resulting from participation in agency-sponsored health promotion and wellness activities, including health risk appraisals, biometric testing, health coaching, disease management, behavioral management, preventive services, fitness programs, and any other activities that could be considered part of a comprehensive worksite health and wellness program.

Note 2:

Records maintained by an agency dispensary are included in this system only when they are the result of a condition of employment or related to an on-the-job occurrence or result from participation in an agency-sponsored health and wellness program.

Note 3:

Records pertaining to employee drug or alcohol abuse counseling or treatment, and those pertaining to other employee counseling programs conducted under the 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, 33, and 63.

PURPOSE(S):

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

a. To ensure that records required to be retained on a long-term basis to meet the mandates of law, Executive Order, or regulations (e.g., the Department of Labor's Occupational Safety and Health Administration (OSHA) and OWCP regulations), are so maintained.

b. To provide data necessary for proper medical evaluations and diagnoses, to ensure that proper treatment is administered, and to maintain continuity of medical care.

c. To provide an accurate medical history of the total health care and medical treatment received by the individual as well as job and/or hazard exposure documentation and health monitoring in relation to health status and claims of the individual.

d. To enable the planning for further care of the patient.

e. To provide a record of communications among members of the health care team who contribute to the patient's care.

f. To provide a legal document describing the health care administered and any exposure incident.

g. To provide a method for evaluating quality of health care rendered and job-health-protection including engineering protection provided, protective equipment worn, workplace monitoring, and medical exam monitoring required by OSHA or by good practice.

h. To ensure that all relevant, necessary, accurate, and timely data are available to support any medically-related employment decisions affecting the subject of the records (e.g., in connection with fitness-for-duty and disability retirement decisions).

i. To document claims filed with and the decisions reached by the OWCP and the individual's possible reemployment rights under statutes governing that program.

j. To document employee's reporting of on-the-job injuries or unhealthy or unsafe working conditions, including the reporting of such conditions to 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.

l. To facilitate communication among members of an on-site health and wellness program and to the individual employee participating in the program.

m. To enable evaluation of the effectiveness of on-site health and wellness programs.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:

Note 5:

With the exception of Routine Use “u,” none of the other Routine Uses identified for this system of records are applicable to records relating to drug testing under Executive Order 12564. Further, such records shall be disclosed only to a very limited number of officials within the agency, generally only to the agency Medical Review Official (MRO), the administrator of the agency Employee Assistance Program, and the management official empowered to recommend or take adverse action affecting the individual. These records and information in these records may be used:

a. To disclose information to the Department of Labor, Department of Veterans Affairs, Social Security Administration, Federal Retirement Thrift Investment Board, or a national, State, or local social security type agency, when necessary to adjudicate a claim (filed by or on behalf of the individual) under a retirement, insurance, or health benefit program.

b. To disclose information to a Federal, State, or local agency to the extent necessary to comply with laws governing reporting of communicable disease.

c. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency when the Government is a party to the judicial or administrative proceeding.

d. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, other administrative body before which the agency is authorized to appear, when:

1. The agency, or any component thereof; or

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

3. Any employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or

4. The United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or the agency is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the records were collected.

e. To disclose in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

f. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order when the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.

g. To disclose information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A–19.

h. To disclose information to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.

i. To disclose information to the Merit System Protection Board or the Office of the Special Counsel, the Federal Labor Relations Authority and its General Counsel, the Equal Employment Opportunity Commission, arbitrators, and hearing examiners to the extent necessary to carry out their authorized duties.

j. To disclose information to survey team members from the Joint Commission on Accreditation of Hospitals (JCAH) when requested in connection with an accreditation review, but only to the extent that the information is relevant and necessary to meet the JCAH standards.

k. To disclose information to the National Archives and Records Administration in records management inspections and its role as Archivist.

l. To disclose information to health insurance carriers contracting with the Office to provide a health benefits plan under the Federal Employees Health Benefits Program information necessary to verify eligibility for payment of a claim for health benefits.

m. By the agency maintaining or responsible for generating the records (or third parties under contract with the agency) to locate individuals for health research or survey response and in the production of summary descriptive statistics and analytical studies (e.g., epidemiological studies) in support of the function for which the records are collected and maintained. While published statistics and studies do not contain individual identifiers, in some instances the selection of elements of data included in the study might be structured in such a way as to make the data individually identifiable by inference.

n. To disclose information to the Office of Federal Employees Group Life Insurance or Federal Retirement Thrift Investment Board that is relevant and necessary to adjudicate claims.

o. To disclose information, when an individual to whom a record pertains is mentally incompetent or under other legal disability, to any person who is responsible for the care of the individual, to the extent necessary.

p. To disclose to the agency-appointed representative of an employee, all notices, determinations, decisions, or other written communications issued to the employee, in connection with an examination ordered by the agency under medical evaluation (formerly Fitness for Duty) examinations procedures.

q. To disclose to a requesting agency, organization, or individual the home address and other information concerning those individuals who it is reasonably believed might have contracted an illness or been exposed to or suffered from a health hazard while employed in the Federal workforce.

r. To disclose information to a Federal agency, in response to its request or at the initiation of the agency maintaining the records, in connection with the retention of an employee, the issuance of a security clearance, the conducting of a suitability or security investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, or the lawful, statutory, administrative, or investigative purpose of the agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

s. To disclose to any Federal, State, or local government agency, in response to its request or at the initiation of the agency maintaining the records, information relevant and necessary to the lawful, statutory, administrative, or investigatory purpose of that agency as it relates to the conduct of job related epidemiological research or the assurance 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 evaluate and report on the effectiveness of health and wellness programs by agency staff or third parties under contract with the agency to conduct such evaluations.

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.

SAFEGUARDS:

Records are stored in locked file cabinets or locked rooms. Electronic records are protected by restricted access procedures and audit trails. Access to records is strictly limited to agency or contractor officials with a bona fide need for the records.

RETENTION AND DISPOSAL:

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

SYSTEM MANAGER(S) AND ADDRESS:

a. Group Manager, Employee Services, Resources Management Group, 1900 E Street, NW., Room 7305, 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:

a. Current employees should contact the appropriate agency office as indicated in the Notification Procedure section and furnish such identifying information as required by the agency to locate and identify the records sought.

b. Former employees should contact the appropriate agency office as indicated in the Notification Procedure section and furnish such identifying information as required by the agency to locate and identify the records sought. Former employees may also submit a request to the National Personnel Records Center (Civilian), 111 Winnebago Street, St. Louis, Missouri 63118, 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 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.

5. Signature.

c. Individuals seeking amendment of their records must also follow the Office's Privacy Act regulations on verification of identity and amendment of records (5 CFR part 297).

RECORDS SOURCE CATEGORIES:

RECORDS IN THIS SYSTEM ARE OBTAINED FROM:

a. The individual to whom the records pertain.

b. Agency employee health unit staff.

c. Federal and private sector medical practitioners and treatment facilities.

d. Supervisors/managers and other agency officials.

e. Other agency records.

[TOP]

Title 5—Administrative Personnel

Chapter I—Office of Personnel Management

PART 293—PERSONNEL RECORDS

Subpart A—Basic Policies on Maintenance of Personnel Records

Sec.

293.101 Purpose and scope.

293.102 Definitions.

293.103 Recordkeeping standards.

293.104 Collection of information.

293.105 Restrictions on collection and use of information.

293.106 Safeguarding information about individuals.

293.107 Special safeguards for automated records.

293.108 Rules of conduct.

Subpart B—Personnel Records Subject to the Privacy Act

293.201 Purpose.

293.202 Records subject to Office or agency Privacy Act regulations.

293.203 Review of Office or agency practices.

Authority: 5 U.S.C. 552 and 4315; E.O. 12107 (December 28, 1978), 3 CFR 1954–1958 Comp.; 5 U.S.C. 1103, 1104, and 1302; 5 CFR 7.2; E.O. 9830; 3 CFR 1943–1948 Comp.; 5 U.S.C. 2951(2) and 3301; and E.O. 12107.

Source: 44 FR 65033, Nov. 9, 1979, unless otherwise noted.

Subpart A—Basic Policies on Maintenance of Personnel Records

§ 293.101 Purpose and scope.

(a) This subpart sets forth basic policies governing the creation, development, maintenance, processing, use, dissemination, and safeguarding of personnel records which the Office of Personnel Management requires agencies to maintain in the personnel management or personnel policy setting process.

(b) Agencies in the Executive Branch of the Federal Government are subject to specific Office of Personnel Management recordkeeping requirements to varying degrees, pursuant to statute, Office regulation, or formal agreements between the Office and agencies. This subpart applies to any department or independent establishment in the Executive Branch of the Federal Government, including a government corporation or Government controlled corporation, except those specifically excluded from Office recordkeeping requirements by statute, Office regulation, or formal agreement between the Office and that agency.

§ 293.102 Definitions.

In this part:

Agency means any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the Executive Branch of the Government (including the Executive Office of the President), or any independent regulatory agency;

Data subject means the individual about whom the Office or agency is maintaining information in a system of records;

Individual means a citizen of the United States or an alien lawfully admitted for permanent residence;

Information means papers, records, photographs, magnetic storage media, micro storage media, and other documentary materials regardless of physical form or characteristics, containing data about an individual and required by the Office in pursuance of law or in connection with the discharge of official business, as defined by statute, regulation, or administrative procedure;

Maintain includes collect, use, or disseminate;

Office means the Office of Personnel Management;

Personnel record means any record concerning an individual which is maintained an used in the personnel management or personnel policysetting process. (For purposes of this part, this term is not limited just to those personnel records in a system of records and subject to the Privacy Act);

Record means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his or her education, financial transactions, medical history, criminal history, or employment history;

System of records means a group of records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.

§ 293.103 Recordkeeping standards.

(a) The head of each agency shall ensure that persons having access to or involved in the creation, development, processing, use, or maintenance of personnel records are informed of pertinent recordkeeping regulations and requirements of the Office of Personnel Management and the agency. Authority to maintain personnel records does not constitute authority to maintain information in the record merely because it may be useful; both Government-wide and internal agency personnel records shall contain only information concerning an individual that is relevant and necessary to accomplish the Federal personnel management purposes required by statute, Executive order, or Office regulation.

(b) The Office is responsible for establishing minimum standards of accuracy, relevancy, necessity, timeliness, and completeness for personnel records it requires agencies to maintain. These standards are discussed in appropriate chapters of the Guide to Personnel Recordkeeping. Before approval of any agency requests for changes in recordkeeping practices governed by the Guide to Personnel Recordkeeping, the Office will examine the proposal or request in the context of such standards set forth by the agency in support of the proposal and in light of the personnel program area that requires these records.

[44 FR 65033, Nov. 9, 1979, as amended at 66 FR 66709, Dec. 27, 2001]

§ 293.104 Collection of information.

(a) Any information in personnel records whether or not those records are in a system of records, used in whole or in part in making a determination about an individual's rights, benefits, or privileges under Federal personnel programs should, to the greatest extent practicable, be collected directly from the individual concerned. Factors to be considered in determining whether to collect the data from the individual concerned or a third party are when:

(1) The nature of the information is such that it can only be obtained from another party;

(2) The cost of collecting the information directly from the individual is unreasonable when compared with the cost of collecting it from another party;

(3) There is virtually no risk that information collected from other parties, if inaccurate, could result in a determination adverse to the individual concerned;

(4) The information supplied by an individual must be verified by another party; or

(5) There are provisions made, to the greatest extent practicable, to vertify information collected from another party with the individual concerned.

§ 293.105 Restrictions on collection and use of information.

(a) First Amendment. Personnel records describing how individuals exercise rights guaranteed by the First Amendment are prohibited unless expressly authorized by statute, or by the individual concerned, or unless pertinent to and within the scope of an authorized law enforcement activity. These rights include, but are not limited to, free exercise of religious and political beliefs, freedom of speech and the press, and freedom to assemble and to petition the government.

(b) Social Security Number.

(1) Agencies may not require individuals to disclose their Social Security Number unless disclosure would be required;

(i) Under Federal statute; or

(ii) Under any statute, Executive order, or regulation that authorizes any Federal, State, or local agency maintaining a system of records that was in existence and operating prior to January 1, 1975, to request the Social Security Number as a necessary means of verifying the identity of an individual.

(2) Individuals asked to voluntarily (circumstances not covered by paragraph (b)(1) of this section) provide their Social Security Number shall suffer no penalty or denial of benefits for refusing to provide it.

§ 293.106 Safeguarding information about individuals.

(a) To ensure the security and confidentiality of personnel records, in whatever form, each agency shall establish administrative, technical, and physical controls to protect information in personnel records from unauthorized access, use, modification, destruction, or disclosure. As a minimum, these controls shall require that all persons whose official duties require access to and use of personnel records be responsible and accountable for safeguarding those records and for ensuring that the records are secured whenever they are not in use or under the direct control of authorized persons. Generally, personnel records should be held, processed, or stored only where facilities and conditions are adequate to prevent unauthorized access.

(b) Personnel records must be stored in metal filing cabinets which are locked when the records are not in use, or in a secured room. Alternative storage facilities may be employed provided they furnish an equivalent or greater degree of security than these methods. Except for access by the data subject, only employees whose official duties require access shall be allowed to handle and use personnel records, in whatever form or media the records might appear. To the extent feasible, entry into personnel record storage areas shall be similarly limited. Documentation of the removal of records from storage areas must be kept so that adequate control procedures can be established to assure that removed records are returned on a timely basis.

(c) Disposal and destruction of personnel records shall be in accordance with the General Record Schedule issued by the General Services Administration for the records or, alternatively, with Office or agency records control schedules approved by the National Archives and Records Service of the General Services Administration.

§ 293.107 Special safeguards for automated records.

(a) In addition to following the security requirements of § 293.106 of this part, managers of automated personnel records shall establish administrative, technical, physical, and security safeguards for data about individuals in automated records, including input and output documents, reports, punched cards, magnetic tapes, disks, and on-line computer storage. The safeguards must be in writing to comply with the standards on automated data processing physical security issued by the National Bureau of Standards, U.S. Department of Commerce, and, as a minimum, must be sufficient to:

(1) Prevent careless, accidental, or unintentional disclosure, modification, or destruction of identifiable personal data;

(2) Minimize the risk that skilled technicians or knowledgeable persons could improperly obtain access to, modify, or destroy identifiable personnel data;

(3) Prevent casual entry by unskilled persons who have no official reason for access to such data;

(4) Minimize the risk of an unauthorized disclosure where use is made of identifiable personal data in testing of computer programs;

(5) Control the flow of data into, through, and from agency computer operations;

(6) Adequately protect identifiable data from environmental hazards and unneccessary exposure; and

(7) Assure adequate internal audit procedures to comply with these procedures.

(b) The disposal of identifiable personal data in automated files is to be accomplished in such a manner as to make the data unobtainable to unauthorized personnel. Unneeded personal data stored on reusable media such as magnetic tapes and disks must be erased prior to release of the media for reuse.

§ 293.108 Rules of conduct.

(a) Scope. These rules of conduct apply to all Office and agency employees responsible for creation, development, maintenance, processing, use, dissemination, and safeguarding of personnel records. The Office and agencies shall require that such employees are familiar with these and appropriate supplemental agency internal regulations.

(b) Standards of conduct. Office and agency employees whose official duties involve personnel records shall be sensitive to individual rights to personal privacy and shall not disclose information from any personnel record unless disclosure is part of their official duties or required by executive order, regulation, or statute (e.g., required by the Freedom of Information Act, 5 U.S.C. 552).

(c) Improper uses of personnel information. Any Office or agency employee who makes a disclosure of personnel records knowing that such disclosure is unauthorized, or otherwise knowingly violates these regulations, shall be subject to disciplinary action and may also be subject to criminal penalties where the records are subject to the Privacy Act (5 U.S.C. 552a). Employees are prohibited from using personnel information not available to the public, gained through official duties, for commercial solicitation or sale, or for personal gain.

Subpart B—Personnel Records Subject to the Privacy Act

§ 293.201 Purpose.

The purpose of this subpart is to set forth the criteria to be used to determine when personnel records on individuals are subject both to the regulations contained in this part and to Office or agency regulations implementing the Privacy Act of 1974, 5 U.S.C. 552a. When personnel records are maintained within a system of records, the records are deemed to be within the scope of both the regulations in this part and Office or agency regulations implementing the Privacy Act.

§ 293.202 Records subject to Office or agency Privacy Act regulations.

When the Office of Personnel Management publishes in the Federal Register a notice of system of records for personnel records which are maintained by the agencies or by the Office, that system of records will be subject to the regulations in this part and also to the regulations in part 297 of this chapter. When agencies publish a notice of system of records for personnel records required by the Office that are not included in the Office's notices, those agency systems of records will be subject both to the regulations contained in this part and to agency promulgated regulations that implement the Privacy Act.

§ 293.203 Review of Office or agency practices.

Reviews of agency personnel management policies and practices will be conducted to insure compliance with Office regulations. The Office may direct agencies to take whatever corrective action is necessary. Office or agency officials who have knowledge of violations of these regulations shall take whatever corrective action is necessary. Agencies shall list officials of the Office of Personnel Management as a routine user for personnel records to assist the Office in its oversight responsibilities.

PART 297—PRIVACY PROCEDURES FOR PERSONNEL RECORDS

Subpart A—General Provisions

Sec.

297.101 Purpose and scope.

297.102 Definitions.

297.103 Designations of authority by system manager.

297.104 Types of records.

297.105 Agency and Office responsibilities for systems of records and applicability of the regulations.

297.106 Contact point for Privacy Act matters.

Subpart B—Request for Access

297.201 General provisions.

297.202 Methods of access.

297.203 Access by the parent of a minor or by the legal guardian of an individual declared to be incompetent.

297.204 Access by the representative of the data subject.

297.205 Access to medical records.

297.206 Fees charged by the Office.

297.207 Denials of access and appeals with respect to such denials.

297.208 Judicial review.

Subpart C—Amendment of Records

297.301 General provisions.

297.302 Time limits.

297.303 Applicability of amendment provisions.

297.304 Approval of requests to amend records.

297.305 Denial of requests to amend records.

297.306 Appeal of a denial of a request to amend a record.

297.307 Statement of disagreement.

297.308 Judicial review.

Subpart D—Disclosure of Records

297.401 Conditions of disclosure.

297.402 Disclosure pursuant to a compulsory legal process served on the Office.

297.403 Accounting of disclosure.

Subpart E—Exempt Records

297.501 Exemptions.

Authority: Sec. 3, Pub. L. 93–579, 88 Stat. 1896 (5 U.S.C. 552a).

Source: 53 FR 1998, Jan. 26, 1988, unless otherwise noted.

Subpart A—General Provisions

§ 297.101 Purpose and scope.

This part sets forth the regulations of the U.S. Office of Personnel Management (the Office) to govern the maintenance, protection, disclosure, and amendment of records within the systems of records as defned by the Privacy Act of 1974 (5 U.S.C. 552a), Public Law 93–579.

§ 297.102 Definitions.

In this part, the terms agency, individual, maintain, record, statistical records, and systems of records have the same meanings as defined in the Privacy Act, 5 U.S.C. 552a. In addition:

Access means providing a copy of a record to, or allowing review of the original record by, the data subject or the data subject's authorized representative, parent, or legal guardian;

Act means the Privacy Act of 1974, Public Law 93–579, 5 U.S.C. 552a, as amended;

Agency means any department or independent establishment in the Executive Branch of the Federal Government, including a Government corporation, of Government-controlled corporation, except those specifically excluded from the Office recordkeeping requirements by statute, this title, or formal agreement between the Office and the agency.

Amendment means the correction, addition, deletion, or destruction of a record or specific portions of a record;

Data subject means the individual to whom the information pertains and by whose name or other individual identifier the information is retrieved;

Disclosure means providing personal review of a record, or a copy thereof, to someone other than the data subject or the data subject's authorized representative, parent, or legal guardian;

Office means the U.S. Office of Personnel Management;

Personnel record means any record concerning an individual which is maintained and used in the personnel management or personnel policy-making process; and

System manager means the Office or agency official, designated by the head of the agency, who has the authority to decide Privacy Act matters relative to each system of records maintained by the Office.

§ 297.103 Designations of authority by system manager.

The responsible Office system manager having jurisdiction over a system of records may designate in writing an Office employee to evaluate and issue the Office's decision on Privacy Act matters relating to either internal, central, or Governmentwide systems of records.

§ 297.104 Types of records.

The Office manages three generic types of personnel records systems:

(a) Internal systems of records are under the Office's physical control and are established and maintained by the Office solely on its own employees and, when appropriate, on others in contact with the Office regarding matters within its authority.

(b) Centralized systems of personnel records are physically established and maintained by the Office with regard to most current and former Federal employees and some applicants for Federal employment.

(c) Governmentwide systems of personnel records are maintained by the Office, and through Office delegations of authority, by Federal agencies with regard to their own employees or applicants for employment. Although they are Office records, they are in the physical custody of those agencies. Though in the physical custody of agencies, the Office retains authority under its record management authority and under the Privacy Act to decide appeals of initial agency determinations regarding access to and amendment of material in these systems.

§ 297.105 Agency and Office responsibilities for systems of records and applicability of the regulations.

(a) These regulations apply to processing requests from both current and former Office employees for records contained in internal, central, and Governmentwide systems of records managed by the Office.

(b) Agencies are solely and totally responsible for processing requests regarding records maintained in their internal systems of records. Agency regulations, and not these Office regulations, govern the implementation of the Privacy Act for agency internal systems; there is no right of appeal to the Office from an agency's determination regarding its internal agency records.

(c) For records maintained in the Office's central systems of records, the data subject should contact the appropriate Office system manager concerning Privacy Act matters. These regulations will apply to inquiries regarding records located in the central systems of records.

(d) For records maintained within the Office's Governmentwide systems of records, each agency is responsible, unless specifically excepted by the Office, for responding to initial Privacy Act access and amendment requests from its own current employees. For records in Office Governmentwide systems, including those in Official Personnel Folders, Employee Performance Folders, and Employee Medical Folders, the Office is responsible for responding to initial Privacy Act access and amendment requests from former Federal employees.

(e) The procedures in this part apply to all such requests. The procedures in this part also apply to appeals from an agency initial determination regarding access to or amendment of records contained in the Office's Governmentwide systems of records.

(f) The Office follows the procedures in this part when—

(1) Processing initial requests regarding access to or amendment of records by its own employees and others that the Office is maintaining information on in its systems of records, including requests from former employees of an agency whose records properly reside in an Office Governmentwide system of records.

(2) Processing Privacy Act appeals regarding access to and amendment of records generated by another Federal agency, but which are contained in the Office's Governmentwide systems of records, after an agency has issued the initial decision.

(3) Processing initial requests and appeals concerning access to and amendment of records contained in the central systems of records.

(g) For requests concerning records and material of another agency that are in the custody of the Office, but not under its control or ownership, the Office reserves the right to either refer the request to the agency primarily responsible for the material or to notify the individual of the proper agency that should be contacted.

§ 297.106 Contact point for Privacy Act matters.

To determine what records the Office maintains in its system of records, requesters must write to the Assistant Director for Workforce Information, Personnel Systems and Oversight Group, Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415. Using the Office's response, requesters can contact the particular system manager indicated in the Office's notices of its systems published in the Federal Register for further assistance in determining if the Office maintains information pertaining to them.

Subpart B—Request for Access

§ 297.201 General provisions.

(a) Individual's requesting access to records pertaining to them that are maintained in a system of records should submit a written request to the appropriate system manager and state that the request is being made pursuant to the Privacy Act of 1974.

(b) The Office or agency will require proof of identity from a requester. The Office or agency reserves the right to determine the adequacy of any such proof. The general identifying items the Office will require a requester to provide when a request is made to the Office are—

(1) Full name, signature, and home address;

(2) Social security number (for systems of records that include this identifier);

(3) Current or last place and dates of Federal employment, when appropriate and,

(4) Date and place of birth.

(c) An individual may be represented by another when requesting access to records.

§ 297.202 Methods of access.

(a) The methods for allowing access to records, when such access has been granted by the Office or agency, are:

(1) Inspection in person in the designated office during the hours specified by the Office or agency; or

(2) Transfer of records at the option of the Office or agency to another more convenient Federal facility.

(b) Generally, Office of Personnel Management offices will not furnish certified copies of records. When copies are to be furnished, they may be provided as determined by the Office and may require payment of any fee levied in accordance with the Office's established fee schedule.

(c) When the requester seeks to obtain original documentation, the Office reserves the right to limit the request to copies of the original records. Original records should be made available for review only in the presence of the system manager or designee. An agency should consult with the Office when it receives a request for original documentation. Section 2701(a) of title 18 of the United States Code makes it a crime to conceal, mutilate, obliterate, or destroy any record filed in a public office, or to attempt to do so.

§ 297.203 Access by the parent of a minor or by the legal guardian of an individual declared to be incompetent.

(a) A parent, legal guardian, or custodian of a minor, upon presentation of suitable personal identification, may access on behalf of a minor any record pertaining to the minor in a system of records maintained by the Office.

(b) A legal guardian, upon presentation of documentation establishing guardianship, may access on behalf of an individual declared to be incompetent by a court of competent jurisdiction, any record pertaining to that individual in a system of records maintained by the Office.

(c) Minors are not precluded from exercising personally those rights provided them by the Privacy Act.

§ 297.204 Access by the representative of the data subject.

A record may be disclosed to a representative of the individual to whom the record pertains after the system manager receives written authorization from the individual who is the subject of the record.

§ 297.205 Access to medical records.

When a request for access involves medical or psychological records that the system manager believes requires special handling, the requester should be advised that the material will be provided only to a physician designated by the data subject. Upon receipt of the designation and upon verification of the physician's identity, the records will be made available to the physician, who will have full authority to disclose those records to the data subject when appropriate.

§ 297.206 Fees charged by the Office.

(a) No fees will be charged for search and review time expended by the Office to produce a record, or for making a photostatic copy of the record, or for having it personally reviewed by the data subject, when a record is retrieved from a system of records pertaining to that data subject. Additional copies provided may be charged under the Office's established fee schedule.

(b) When the fees chargeable under this section will amount to more than $25, the requester will be notified and payment of fees may be required before the records are provided.

(c) Remittance should be made by either a personal check, bank draft, or a money order that is made payable to the U.S. Office of Personnel Management and addressed to the appropriate system manager.

§ 297.207 Denials of access and appeals with respect to such denials.

(a) If an access request is denied, the Office or agency response will be in writing and will include a statement of the reasons for the denial and the procedures available to appeal the denial, including the name, position title, and address of the Office official responsible for the review.

(b) Nothing in this part should be construed to entitle a data subject the right to access any information compiled in reasonable anticipation of a civil action or proceeding.

(c) For denials of access made under this subpart, the following procedures apply:

(1) For initial denials made by an agency, when the record is maintained in an Office Governmentwide system of records, a request for adminstrative review should be made only to the Assistant Director for Workforce Information, Personnel Systems and Oversight Group, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

(2) For denials initially made by an Office official, when a record is maintained in an internal or central system of records, a request for administrative review should be made to the Information and Privacy Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

(3) Any administrative review decision that either partially or fully supports the initial decision and denies access to the material the individual originally sought should state the requester's right to seek judicial review of the final administrative decision.

§ 297.208 Judicial review.

Upon receipt of notification that the denial of access has been upheld on administrative review, the requester has the right to judicial review of the decision for up to 2 years from the date on which the cause of action arose. Judicial review may be sought in the district court of the United States in the district in which—

(a) The requester resides;

(b) The requester has his or her principal place of business; or

(c) The agency records are situated; or it may be sought in the district court of the District of Columbia.

Subpart C—Amendment of Records

§ 297.301 General provisions.

(a) Individuals may request, in writing, the amendment of their records maintained in an Office system of records by contacting the appropriate system manager. The Office or agency will require proof of identity from a requester. The Office or agency reserves the right to determine the adequacy of any such proof. The general identifying items the Office will require a requester to provide when a request is made to the Office are—

(1) Full name, signature, and home address;

(2) Social security number (for systems of records that include this identifier);

(3) Current or last place and dates of Federal employment, when appropriate; and

(4) Date and place of birth.

(b) An individual may be represented by another party when requesting amendment of records.

(c) A request for amendment should include the following:

(1) The precise identification of the records to be amended;

(2) The identification of the specific material to be deleted, added, or changed; and

(3) A statement of the reasons for the request, including all available material substantiating the request.

(d) Requests for amendment of records should include the words "PRIVACY ACT AMENDMENT REQUEST" in capital letters on both the envelope and at the top of the request letter.

(e) A request for administrative review of an agency denial to amend a record in the Office's systems of records should be addressed to the Assistant Director for Workforce Information, Personnel Systems and Oversight Group, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

(f) A request for administrative review of a denial to amend a record by an Office official should be addressed to the Information and Privacy Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.

(g) The burden of proof demonstrating the appropriateness of the requested amendment rests with the requester; and, the requester must provide relevant and convincing evidence in support of the request.

§ 297.302 Time limits.

The system manager should acknowledge receipt of an amendment request within 10 working days and issue a determination as soon as practicable. This timeframe begins when the request is received by the proper Office or agency official.

§ 297.303 Applicability of amendment provisions.

(a) The amendment procedures are not intended to allow a challenge to material that records an event that actually occurred nor are they designed to permit a collateral attack upon that which has been or could have been the subject of a judicial, quasi-judicial, or administrative proceeding. The amendment procedures are also not designed to change opinions in records pertaining to the individual.

(b) The amendment procedures apply to situations when an occurrence that is documented was challenged through an established judicial, quasi-judicial, or administrative procedure and found to be inaccurately described; when the document is not identical to the individual's copy; or when the document is not created in accordance with the applicable recordkeeping requirements. (For example, the amendment provisions are not designed to allow a challenge to the merits of an agency adverse action that is documented in an individual's Official Personnel Folder.)

§ 297.304 Approval of requests to amend records.

(a) If the system manager determines that amendment of a record is appropriate, the system manager will take the necessary steps to have the necessary changes made and will see that the individual receives a copy of the amended record.

(b) When practicable and appropriate, the system manager will advise all prior recipients of the fact that an amendment of a record has been made.

§ 297.305 Denial of requests to amend records.

(a) If the Office or agency system manager decides not to amend the record in the manner sought, the requester should be notified in writing of the reasons for the denial.

(b) The decision letter should also include the requester's right to appeal the denial and the procedures for appealing the denial to the appropriate official.

§ 297.306 Appeal of a denial of a request to amend a record.

(a) An individual who disagrees with an initial denial to amend a record may file a written appeal of that denial to the appropriate official. In submitting an appeal, the individual should provide a copy of the original request for amendment, a copy of the initial denial decision, and a statement of the specific reasons why the initial denial is believed to be in error. Any appeal should be submitted to the official designated in the initial decision letter. The appeal should include the words "PRIVACY ACT APPEAL" in capital letters on the envelope and at the top of the letter of appeal.

(b) The reviewing official should complete the review and make a final determination in writing no later than 30 working days from the date on which the appeal is received. When circumstances warrant, this timeframe may be extended.

(c) If the Office grants the appeal, it will take the necessary steps either to amend the record itself or to require the originating agency to amend the record. When appropriate and possible, prior recipients of the record should be notified of the Office's action.

(d) The Office reserves the right to hold in abeyance any Privacy Act appeal concerning a record when an individual is involved in challenging an action involving that record in another administrative, judicial, or quasi-judicial forum. At the conclusion of such a challenge, the individual can resubmit the appeal.

(e) If the Office denies the appeal, it will include in the decision letter notification of the appellant's right to judicial review.

§ 297.307 Statement of disagreement.

(a) Upon receipt of a final administrative determination denying a request to amend a record, the requester may file a concise statement of disagreement. Such a statement should be filed with the appropriate system manager and should include the reasons why the requester believes the decision to be incorrect.

(b) The statement of disagreement should be maintained with the record to be amended and any disclosure of the record must include a copy of the statement of disagreement.

(c) When practicable and appropriate, the system manager should provide a copy of the statement of disagreement to any individual or agency to whom the record was previously disclosed as noted by the disclosure accounting.

§ 297.308 Judicial review.

Upon receipt of notification that the denial to amend a record has been upheld on administrative review, the requester has the right to judicial review of the decision for up to 2 years from the date the cause of action arose. Judicial review may be sought in the district court of the United States in the district in which—

(a) The requester resides;

(b) The requester has his or her principal place of business; or

(c) The agency records are situated; or it may be sought in the district court of the District of Columbia.

Subpart D—Disclosure of Records

§ 297.401 Conditions of disclosure.

An official or employee of the Office or agency should not disclose a record retrieved from a Governmentwide system of records to any person, another agency, or other entity without the express written consent of the subject individual unless disclosure is—

(a) To officers or employees of the Office who have a need for the information in the performance of their duties.

(b) Required by the provisions of the Freedom of Information Act.

(c) For a routine use as published in the Federal Register.

(d) To the Bureau of the Census for uses pursuant to title 13 of the United States Code.

(e)(1) To a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record. The record will be transferred in a form that is not individually identifiable. The written statement should include as a minimum:

(i) A statement of the purpose for requesting the records; and

(ii) Certification that the records will be used only for statistical purposes.

(2) These written statements should be maintained as records. In addition to deleting personal identifying information from records released for statistical purposes, the system manager will reasonably ensure that the identity of the individual cannot be deduced by combining various statistical records.

(f) To the National Archives of the United States as a record that has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Archivist of the United States or his or her designee to determine whether the record has such value.

(g) To another agency or instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality or his designated representative has made a written request to the Office or agency that maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought.

(h) To a person showing compelling circumstances affecting the health and safety of an individual, not necessarily the individual to whom the record pertains. Upon such disclosure, a notification should be sent to the last known address of the subject individual.

(i) To the Congress or to a Congressional committee, subcommittee, or joint committee to the extent that the subject matter falls within its established jurisdiction.

(j) To the Comptroller General or any authorized representatives of the Comptroller General in the course of the performance of the duties of the General Accounting Office.

(k) Pursuant to the order of a court of competent jurisdiction.

(l) To a consumer reporting agency in accordance with section 3711 (f) of title 31 of the United States Code.

§ 297.402 Disclosure pursuant to a compulsory legal process served on the Office.

For purposes of this section, the Office considers that a subpoena signed by a judge is equivalent to a court order.

(a) The Office may disclose, without prior consent of the data subject, specified information from a system of records whenever such disclosure is pursuant to an order signed by the appropriate official of a court of competent jurisdiction or quasi-judicial agency. In this subpart, a court of competent jurisdiction includes the judicial system of a state, territory, or possession of the United States.

(b) Notice of the order will be provided to the data subject by the Office as soon as practicable after service of the order. The notice should be mailed to the last known address of the individual and state the name and number of the case or proceeding, and the nature of the information sought.

(c) Before complying or refusing to comply with the order, an official with authority to disclose records under this subpart should consult legal counsel to ensure that the response is appropriate.

(d) Before responding to the order or subpoena signed by a judge, an official with authority to disclose records under this subpart in consulting with legal counsel will ensure that—

(1) The requested material is relevant to the subject matter of the related judicial or administrative proceeding;

(2) Motion is made to quash or modify an order that is unreasonable or oppressive:

(3) Motion is made for a protective order when necessary to restrict the use or disclosure of any information furnished for purposes other than those of the involved proceeding; or

(4) Request is made for an extension of time allowed for response, if necessary.

(e) If an order or subpoena signed by a judge for production of documents also requests appearance of an Office employee, the response should be to furnish certified copies of the appropriate records. In those situations where the subpoena is not signed by a judge, the Office will return the document to the sender and indicate that no action will be taken to provide records until the subpoena is signed by a judge.

(f) If oral testimony is requested by the order or subpoena signed by a judge, an explanation that sets forth the testimony desired must be furnished to the Office system manager. The individual who has been ordered or subpoenaed to testify should consult with counsel to determine the matters about which the individual may properly testify.

(g) In all situations concerning an order, subpoena signed by a judge, or other demand for an employee of the Office to produce any material or testimony concerning the records that are subject to the order, that are contained in the Office's systems of records, and that are acquired as part of the employee's official duties, the employee shall not provide the information without the prior approval of the appropriate Office official.

(h) If it is determined that the information should not be provided, the individual ordered or subpoenaed to do so should respectfully decline to comply with the demand based on the instructions from the appropriate Office official.

(i) Notice of the issuance of the ex parte order or subpoena signed by a judge is not required if the system of records has been exempted from the notice requirement of 5 U.S.C. 552a(e)(8) pursuant to 5 U.S.C. 552a(j) by a Notice of Exemption published in the Federal Register.

[53 FR 1998, Jan. 26, 1988, as amended at 57 FR 56732, Nov. 30, 1992]

§ 297.403 Accounting of disclosure.

(a) The Office or agency will maintain a record of disclosures in cases where records about the individual are disclosed from an Office system of records except—

(1) When the disclosure is made pursuant to the Freedom of Information Act, as amended (5 U.S.C. 552); or

(2) When the disclosure is made to those officers and employees of the Office or agency who have a need for the record in the performance of their duties.

(b) This accounting of the disclosures will be retained for at least 5 years or for the life of the record, whichever is longer, and will contain the following information:

(1) A brief description of the record disclosed;

(2) The date, nature, and purpose for the disclosure; and

(3) The name and address of the purpose, agency, or other entity to whom the disclosure is made.

(c) Except for the accounting of disclosure made to agencies, individuals, or entities in law enforcement activities or disclosures made from the Office's exempt systems of records, the accounting of disclosures will be made available to the data subject upon request in accordance with the access procedures of this part.

[53 FR 1998, Jan. 26, 1988. Redesignated at 57 FR 56732, Nov. 30, 1992]

Subpart E—Exempt Records

§ 297.501 Exemptions.

(a) Several of the Office's internal, central, and Governmentwide systems of records contain information for which exemptions appearing at 5 U.S.C. 552a(k) (1), (2), (3), (5), and (6) may be claimed. The systems of records for which the exemptions are claimed, the specific exemptions determined to be necessary and proper with respect to these systems of records, the records exempted, the provisions of the act from which they are exempted, and the justifications for the exemptions are set forth below.

(b) Specific exemptions—(1) Inspector General Investigations Case File Records (OPM/CENTRAL–4). All information in these records that meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), and (7) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d). These provisions of the Privacy Act relate to making accountings of disclosures available to the data subject and access to and amendment of records. The specific applicability of the exemptions to this system and the reasons for the exemptions are as follows:

(i) Inspector General investigations may contain properly classified information that pertains to national defense and foreign policy obtained from other systems or another Federal agency. Application of exemption (k)(1) may be necessary to preclude the data subject's access to and amendment of such classified information under 5 U.S.C. 552a(d).

(ii) Inspector General investigations may contain investigatory material compiled for law enforcement purposes other than material within the scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the administration of the merit system. Application of exemption (k)(2) may be necessary to preclude the data subject's access to or amendment of such records under 5 U.S.C. 552(a)(3) and (d).

(iii) Inspector General investigations may contain information obtained from another system or Federal agency that relates to providing protective services to the President of the United States or other individuals pursuant to 18 U.S.C. 3056. Application of exemption (k)(3) may be necessary to preclude the data subject's access to and amendment of such records under 5 U.S.C. 552a(d).

(iv) Inspector General case files may contain information that, by statute, is required to be maintained and used solely as a statistical record. Application of exemption (k)(4) may be necessary to ensure compliance with such a statutory mandate.

(v) All information about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d). This exemption is claimed because this system contains investigatory material that if disclosed may reveal the identity of a source who furnished information to the Government under an express promise that the source's identity would be held in confidence or, prior to September 27, 1975, under an implied promise. The application of exemption (k)(5) will be required to honor promises of confidentiality should the data subject request access to or amendment of the records, or access to the accounting of disclosures of the record.

(vi) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d) relating to access to and amendment of records by the data subject. This exemption is claimed because portions of a case file record may relate to testing and examining material used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.

(vii) Inspector General case files may contain evaluation material used to determine potential for promotion in the armed services. Application of exemption (k)(7) may be necessary, but only to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

(2) Administrative Law Judge Applicant Records (OPM/CENTRAL–6). (i) All information about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirement of 5 U.S.C. 552(c)(3) and (d). The exemptions are claimed because this system contains investigatory material compiled solely for determining suitability, eligibility, and qualifications for Federal civilian employment. To the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the application of exemption (k)(5) will be required to honor promises of confidentialty should the data subject request access to the accounting of disclosures of the record, or access to or amendment of the record.

(ii) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of the records by the data subject. This exemption is claimed because portions of this system relate to testing and examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examing process.

(3) Litigation and Claims Records (OPM/CENTRAL–7). (i) When litigation or claim cases occur, information from other existing systems of records may be incorporated into the case file. This information may be material for which exemptions have been claimed by the Office in this section. To the extent that such exempt material is incorporated into a litigation or claim case file, the appropriate exemption (5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6), or (7)) shall also apply to the material as it appears in this system. The exemptions will be only from those provisions of the Act that were claimed for the systems from which the records originated.

(ii) During the course of litigation or claims cases, it may be necessary to conduct investigations to develop information and evidence relevant to the case. These investigative records may include material meeting the criteria stated in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), (6), and (7). Such material is exempt from the requirement of 5 U.S.C. 552a(c)(3) and (d). These provisions of the Act relate to making accounting of disclosures available to the data subject and access to and amendment of records. The specific applicability of the exemptions to this system and the reasons for the exemptions are:

(A) Such investigations may contain properly classified information that pertains to national defense and foreign policy obtained from another Federal agency. Application of exemption (k)(1) may be necessary to preclude the data subject's access to and amendment of suh classified information under 5 U.S.C 552a(d).

(B) Such investigations may contain investigatory material compiled for law enforcement purposes othe than material within the scope of 5 U.S.C. 552a(j)(2), e.g., administration of the merit system, obtained from another Federal agency. All information about individuals in these records that meets the criteria of 5 U.S.C 552a(k)(2) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d). Application of exemption (k)(2) may be necessary to preclude the data subject's access to or amendment of those records.

(C) Such investigations may contain information obtained from another agency that relates to providing protective services to the President of the United States or other individuals pursuant to 18 U.S.C. 3056. All information about individuals in these records that meets the criteria of 5 U.S.C. 552a(k)(3) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to or amendment of records by the data subject. Application of exemption (k)(3) may be necessary to preclude the data subject's access to and amendment of such records.

(D) Such investigations may contain information that, by statute, is required to be maintained and used solely as a statistical record. Application of exemption (k)(4) may be necessary to ensure compliance with such a statutory mandate.

(E) All information about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a (c)(3) and (d). These exemptions are claimed because this system contains investigatory material compiled solely for determining suitability, eligibility, and qualifications for Federal civilian employment. To the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the application of exemption (k)(5) will be required to honor such a promise should the data subject request access to the accounting of disclosure, or access to or amendment of the record, that would reveal the identity of a confidential source.

(F) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of the records by the data subject. This exemption is claimed because portions of this system relate to testing or examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment by the data subject of this information would compromise the objectivity and fairness of the testing or examining process.

(G) Such investigations may contain evaluation material used to determine potential for promotion in the armed services. Application of exemption (k)(7) may be necessary, but only to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

(4) Privacy Act/Freedom of Information Case Records (OPM/CENTRAL–8). In this subpart, the Office has claimed exemptions for its other systems of records where it felt such exemptions are appropriate and necessary. These exemptions are claimed under 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6) and (7). During the processing of a Privacy Act/Freedom of Information Act request (which may include access requests, amendment requests, and requests for review for initial denials of such requests) exempt materials from those other systems may in turn become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into this system, the Office hereby claims the same exemptions for the records from those other systems that are entered into this system, as claimed for the original primary system of which they are a part.

(5) Personnel Investigations Records (OPM/CENTRAL–9). All information in these records that meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), and (7) is exempt from the requirements of 5 U.S.C. 552a (c)(3) and (d). These provisions of the Privacy Act relate to making accountings of disclosures available to the data subject and access to and amendment of records. The specific applicability of the exemptions to this system and the reasons for the exemptions are as follows:

(i) Personnel investigations may contain properly classified information which pertains to national defense and foreign policy obtained from another Federal agency. Application of exemption (k)(1) may be necessary to preclude the data subject's access to and amendment of such classified information under 5 U.S.C. 552a(d).

(ii) Personnel investigations may contain investigatory material compiled for law enforcement purposes other than material within the scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the administration of the merit system. Application of exemption (k)(2) may be necessary to preclude the data subject's access to or amended of such records under 5 U.S.C. 552a (c)(3) and (d).

(iii) Personnel investigations may contain information obtained from another Federal agency that relates to providing protective services to the President of the United States or other individuals pursuant to 18 U.S.C. 3056. Application of exemption (k)(3) may be necessary to preclude the data subject's access to and amendment of such records under 5 U.S.C. 552a(d).

(iv) Personnel investigations may contain information that, by statute, is required to be maintained and used solely as a statistical record. Application of exemption (k)(4) may be necessary to ensure compliance with such a statutory mandate.

(v) All information about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a (c)(3) and (d). These exemptions are claimed because this system contains investigatory material compiled solely for determining suitability, eligibility, and qualifications for Federal civilian employment. To the extent that the disclosure of material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the applicability of exemption (k)(5) will be required to honor promises of confidentiality should the data subject request access to or amendment of the record, or access to the accounting of disclosures of the record.

(vi) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of records by the data subject. This exemption is claimed because portions of this system relate to testing or examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.

(vii) Personnel Investigations may contain evaluation material used to determine potential for promotion in the armed services. Application of exemption (k)(7) may be necessary, but only to the extent that the disclosure of the data would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.

(6) Presidential Management Fellows Program Records (OPM/CENTRAL–11). All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of records by the data subject. This exemption is claimed because portions of this system relate to testing or examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service and access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.

(7) Recruiting, Examining, and Placement Records (OPM/GOVT–5). (i) All information about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d). These provisions of the Privacy Act relate to making accountings of disclosures available to the data subject and access to and amendment of records. These exemptions are claimed because this system contains investigative material compiled solely for determining the appropriateness of a request for approval of an objection to an eligible's qualification for employment in the Federal service. To the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the application of exemption (k)(5) will be required to honor promises of confidentiality should the data subject request access to the accounting of disclosures of the record, or access to or amendment of the record.

(ii) All information in these records that meets the criteria stated in 5 U.S.C. 552a(K)(6) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to an amendment of records by the subject. This exemption is claimed because portions of this system relate to testing or examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service and access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.

(8) Personnel Research and Test Validation Records (OPM/GOVT–6). (i) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of the records by the data subject. This exemption is claimed because portions of this system relate to testing or examining materials used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.

(ii) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(4) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to or amendment of the records by the data subject. This exemption is claimed because portions of this system relate to records required by statute to be maintained and used solely for statistical purposes. Access to or amendment of this information by the data subject would compromise the confidentiality of these records and their usefulness for statistical research purposes.

(c) The Office also reserves the right to assert exemptions for records received from another agency that could be properly claimed by that agency in responding to a request. The Office may refuse access to information compiled in reasonable anticipation of a civil action or proceeding.

[53 FR 1998, Jan. 26, 1988, as amended at 57 FR 20956, May 18, 1992; 70 FR 28779, May 19, 2005]

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Title 48—Federal Acquisition Regulations System

Chapters 16 & 21—Office of Personnel Management

PART 1624—PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION

Subpart 1624.1—Protection of Individual Privacy

Authority: 5 U.S.C. 8913; 40 U.S.C. 486(c); 48 CFR 1.301.

1624.104 Contract clause.

Records retained by FEHBP carriers on Federal subscribers and members of their families serve the carriers' own commercial function of paying health benefits claims and are not maintained to accomplish an agency function of OPM. Consequently, the records do not fall within the provisions of the Privacy Act. Nevertheless, OPM recognizes the need for carriers to keep certain records confidential. The clause at 1652.224–70 shall be inserted in all FEHBP contracts.

[52 FR 16041, May 1, 1987]

PART 2124—PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION

Subpart 2124.70—Protection of Individual Privacy

Sec.

2124.102 General.

2124.102–70 Policy.

2124.104 Contract clauses.

2124.104–70 Contract clause.

Authority: 5 U.S.C. 8716, 40 U.S.C. 486(c); 48 CFR 1.301.

Source: 58 FR 40377, July 28, 1993, unless otherwise noted.

Subpart 2124.70—Protection of Individual Privacy

2124.102 General.

2124.102–70 Policy.

Records retained by FEGLI Program contractors on Federal insureds and members of their families serve the contractors' own commercial function of paying FEGLI Program claims and are not maintained to accomplish an agency function of OPM. Consequently, the records do not fall within the provisions of the Privacy Act. Nevertheless, OPM recognizes the need for the contractors to keep certain records confidential. The clause at 2152.224–70 addresses this concern.

2124.104 Contract clauses.

2124.104–70 Contract clause.

The clause at 2152.224–70 shall be inserted in all FEGLI Program contracts.

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