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

OFFICE OF PERSONNEL

MANAGEMENT

Privacy Act of 1974; Publication of

Notice of Systems of Records and

Proposed New Routine Uses

AGENCY: Office of Personnel

Management.

ACTION: Notice; publication of the eight

Governmentwide systems of records

managed by the Office of Personnel

Management, proposing routine uses for

various systems of records, the

amending of one of OPM’s

Governmentwide systems of records,

and making needed administrative

changes necessitated by various changes

in office titles.

SUMMARY: The revisions result from a

review of agency information practices

conducted in accordance with the

President’s May 14, 1998, memorandum

on privacy and information in federal

records. The revisions reflect the

changes and clarify OPM’s

Governmentwide systems of records.

This notice provides an accurate and

complete text with administrative

changes of the Office of Personnel

Management’s notices for its eight

Governmentwide systems of records.

This notice proposes to add one

identical routine use to three systems of

records and a separate routine use to

one system of records. In addition,

records that are presently in one of

OPM’s systems of records will be moved

to another system of records for

administrative purposes. These actions

reflect the administrative changes that

have occurred in the Office’s

reorganization since the last publication

of these notices on June 15, 1996, and

more importantly, makes readily

available in one issue of the Federal

Register an accurate and complete text

of the Office notices most widely used

by individuals and Privacy Act officers.

DATES: The notice with the

administrative (non-substantive)

changes are effective on April 27, 2000.

The proposed routine uses will become

effective without further notice, on June

26, 2000, unless comments dictate

otherwise.

ADDRESSES: Written comments may be

sent delivered to: Assistant Director for

Workforce Information, Room 7439, U.

S. Office of Personnel Management,

1900 E Street, NW., Washington, DC

20415.

FOR FURTHER INFORMATION CONTACT: John

Sanet, Privacy Act Advisor, Office of

Workforce Information, (202) 606–1955.

SUPPLEMENTARY INFORMATION: The Office

of Personnel Management (the Office)

last published its Governmentwide

systems notices on July 15, 1996. To

conform with a reorganization and name

change of some Governmentwide

systems managers’ offices since the

prior publication, this notice reflects

revised internal designation of the

system managers and their respective

offices. In addition, we propose to add

one identical routine use to three

systems of records, to add one routine

use to one system of records, and to

move records relating to the Fair Labor

Standards Act from OPM/Central-2 to

OPM/GOVT–9 system of records. This

change will not affect any Privacy Act

rights afforded individuals who are the

subject of such records; we propose to

make the change for administrative

purposes only. The Governmentwide

system is being updated and expanded

to cover these FLSA records. The

present OPM/Central-2, Complaints and

Inquiries Records system, will continue

to exist and will contain records relating

to the processing and adjudication of a

complaint made to OPM under our

regulations, except for Fair Labor

Standard Act claims and complaints. A

revised OPM/Central-2 notice will be

published in the future.

The first proposed routine use is

offered to allow relevant records within

the OPM/GOVT–1, General Personnel

Records; OPM/GOVT–2, Employee

Performance File System Records; and

OPM/GOVT–10, Employee Medical File

System Records of individuals who

formerly worked for the Panama Canal

Commission, to be accessible by the

Republic of Panama. This routine use is

needed because the individuals

involved are no longer Federal

employees because the Panama Canal

Commission is no longer a Federal

agency. Access to the employment

records, however, is required to make

employment decisions on these

individuals. These records that are

needed by the Republic of Panama are

often stored at the National Personnel

Records Center in St. Louis, Missouri.

This routine use will allow the records

to be provided to the Republic of

Panama for use primarily when those

individuals are employed by Panama.

The identical routine use is being

proposed as routine use ‘‘mm’’ for OPM/

GOVT–1, routine use ‘‘q’’ for OPM/

GOVT–2, and routine use ‘‘w’’ for OPM/

GOVT–10. The other routine use

proposed would allow certain relevant

information contained in the OPM/

GOVT–10 system of records to be made

available when individuals have

contracted an illness or potentially been

exposed to health hazards while

employed in the Federal workforce.

This routine use will apply in those

limited cases where access and review

of individuals’ records is necessary.

Such access and review will facilitate

any necessary treatment of those

individuals. This routine use is

identical to one already in existence for

OPM/GOVT–1, and is being proposed as

routine use ‘‘x’’ for OPM/GOVT–10.

The system report, as required by 5

U.S.C. 552a(r), has been submitted to

the Committee on Governmental Affairs

of the United States Senate, the

Committee on Government Reform and

Oversight of the House of

Representatives, and the Office of

Management and Budget.

Following is a complete text of these

eight Office of Personnel Management

systems of records.

Office of Personnel Management.

Janice R. Lachance,

Director.

OPM/GOVT–1

SYSTEM NAME:

General Personnel Records.

System Location.

Records on current Federal employees

are located at the Office and with

Personnel Officers or other designated

offices of the local installation of the

department or agency that currently

employs the individual. When agencies

determine that duplicates of these

records need to be located in a second

office, e.g., an administrative office

closer to where the employee actually

works, such copies are covered by this

system. Former Federal employees’

Official Personnel Folders (OPFs) are

located at the National Personnel

Records Center, National Archives and

Records Administration, 111 Winnebago

Street, St. Louis, Missouri 63118.

Records not considered long-term

records, but which may be retained in

the OPF or elsewhere during

employment, and which are also

included in this system, may be retained

by agencies for a period of time after the

employee leaves service.

The use of the phrase ‘‘long-term’’ to

describe those records filed on the righthand-side of OPFs is used throughout

this notice because these records are not

actually permanently retained. The term

‘‘temporary’’ is used when referencing

short-term records filed on the lefthand-side of OPFs and all other records

not filed in the OPF, but covered by this

notice.

Note 1 —The records in this system are

‘‘owned’’ by the Office of Personnel

Management (Office) and should be provided

to those Office employees who have an

official need or use for those records.

Therefore, if an employing agency is asked by

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

an Office employee to access the records

within this system, such a request should be

honored.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current and former Federal

employees as defined in 5 U.S.C. 2105.

(Volunteers, grantees, and contract

employees on whom the agency

maintains records may also be covered

by this system).

CATEGORIES OF RECORDS IN THE SYSTEM:

All categories of records may include

identifying information, such as

name(s), date of birth, home address,

mailing address, social security number,

and home telephone. This system

includes, 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 are:

a. Records reflecting work experience,

educational level achieved, and

specialized education or training

obtained outside of Federal service.

b. Records reflecting Federal service

and documenting work experience and

specialized education received while

employed. Such records contain

information about past and present

positions held; grades; salaries; duty

station locations; and notices of all

personnel actions, such as

appointments, transfers, reassignments,

details, promotions, demotions,

reductions-in-force, resignations,

separations, suspensions, Office

approval of disability retirement

applications, retirement, and removals.

c. Records on participation in the

Federal Employees’ Group Life

Insurance Program and Federal

Employees Health Benefits Program.

d. Records relating to an

Intergovernmental Personnel Act

assignment or Federal-private sector

exchange program.

Note 2 —Some of these records may also

become part of the OPM/CENTRAL–5,

Intergovernmental Personnel Act Assignment

Record system.

e. Records relating to participation in

an agency Federal Executive or SES

Candidate Development Program.

Note 3 —Some of these records may also

become part of the OPM/CENTRAL–3,

Federal Executive Development Records; or

OPM/CENTRAL–13, Senior Executive

Service Records systems.

f. Records relating to Governmentsponsored training or participation in an

agency’s Upward Mobility Program or

other personnel program designed to

broaden an employee’s work

experiences and for purposes of

advancement (e.g., an administrative

intern program).

g. Records contained in the Central

Personnel Data File (CPDF) maintained

by OPM and exact substantive

representations in agency manual or

automated personnel information

systems. These data elements include

many of the above records along with

handicap and race and national origin

codes. A definitive list of CPDF data

elements is contained in OPM’s

Operating Manual, The Guide to the

Central Personnel Data File.

h. Records on the Senior Executive

Service (SES) maintained by agencies

for use in making decisions affecting

incumbents of these positions, e.g.,

relating to sabbatical leave programs,

reassignments, and details, that are

perhaps unique to the SES and that may

be filed in the employee’s OPF. These

records may also serve as the basis for

reports submitted to OPM for

implementing OPM’s oversight

responsibilities concerning the SES.

i. Records on an employee’s activities

on behalf of the recognized labor

organization representing agency

employees, including accounting of

official time spent and documentation

in support of per diem and travel

expenses.

Note 4 —Alternatively, such records may

be retained by an agency payroll office and

thus be subject to the agency’s internal

Privacy Act system for payroll records. The

OPM/GOVT–1 system does not cover general

agency payroll records.

j. To the extent that the records listed

here are also maintained in an agency

electronic personnel or microform

records system, those versions of these

records are considered to be covered by

this system notice. Any additional

copies of these records (excluding

performance ratings of record and

conduct-related documents maintained

by first line supervisors and managers

covered by the OPM/GOVT–2 system)

maintained by agencies at field/

administrative offices remote from

where the original records exist are

considered part of this system.

Note 5 —It is not the intent of OPM to limit

this system of records only to those records

physically within the OPF. Records may be

filed in other folders located in offices other

than where the OPF is located. Further, as

indicated in the records location section,

some of these records may be duplicated for

maintenance at a site closer to where the

employee works (e.g., in an administrative

office or supervisors work folder) and still be

covered by this system. In addition, a

working file that a supervisor or other agency

official is using that is derived from OPM/

GOVT–1 is covered by this system notice.

This system also includes working files

derived from this notice that management is

using in its personnel management capacity.

k. Records relating to designations for

lump sum death benefits.

l. Records relating to classified

information nondisclosure agreements.

m. Records relating to the Thrift

Savings Plan (TSP) concerning the

starting, changing, or stopping of

contributions to the TSP as well as the

how the individual wants the

investments to be made in the various

TSP Funds.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1302, 2951, 3301, 3372, 4118,

8347, and Executive Orders 9397, 9830,

and 12107.

PURPOSE(S):

The OPF and other general personnel

records files are the official repository of

the records, reports of personnel

actions, and the documents and papers

required in connection with these

actions effected during an employee’s

Federal service. The personnel action

reports and other documents, some of

which are filed as long-term records in

the OPF, give legal force and effect to

personnel transactions and establish

employee rights and benefits under

pertinent laws and regulations

governing Federal employment.

These files and records are

maintained by OPM and the agencies for

the Office in accordance with Office

regulations and instructions. They

provide the basic source of factual data

about a person’s Federal employment

while in the service and after his or her

separation. Records in this system have

various uses by agency personnel

offices, including screening

qualifications of employees;

determining status, eligibility, and

employee’s rights and benefits under

pertinent laws and regulations

governing Federal employment;

computing length of service; and other

information needed to provide

personnel services. These records and

their automated or microform

equivalents may also be used to locate

individuals for personnel research.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEMS, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

These records and information in

these records may be used:

a. To disclose information to

Government training facilities (Federal,

State, and local) and to non-Government

training facilities (private vendors of

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

24734 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

and university officials with

information about their students

working in the Student Career

Experiment Program, Volunteer Service,

or other similar programs necessary to a

student’s obtaining credit for the

experience gained.

c. To disclose information to officials

of foreign governments for clearance

before a Federal employee is assigned to

that country.

d. To disclose information to the

Department of Labor, Department of

Veterans Affairs, Social Security

Administration, Department of Defense,

or any other Federal agencies that have

special civilian employee retirement

programs; or to a national, State, county,

municipal, or other publicly recognized

charitable or income security,

administration agency (e.g., State

unemployment compensation agencies),

when necessary to adjudicate a claim

under the retirement, insurance,

unemployment, or health benefits

programs of the Office or an agency

cited above, or to an agency to conduct

an analytical study or audit of benefits

being paid under such programs.

e. To disclose to the Office of Federal

Employees Group Life Insurance,

information necessary to verify election,

declination, or waiver of regular and/or

optional life insurance coverage,

eligibility for payment of a claim for life

insurance, or to TSP election change

and designation of beneficiary.

f. To disclose, to health insurance

carriers contracting with the Office to

provide a health benefits plan under the

Federal Employees Health Benefits

Program, information necessary to

identify enrollment in a plan, to verify

eligibility for payment of a claim for

health benefits, or to carry out the

coordination or audit of benefit

provisions of such contracts.

g. To disclose information to a

Federal, State, or local agency for

determination of an individual’s

entitlement to benefits in connection

with Federal Housing Administration

programs.

h. To consider and select employees

for incentive awards and other honors

and to publicize those granted. This

may include disclosure to other public

and private organizations, including

news media, which grant or publicize

employee recognition.

i. To consider employees for

recognition through quality-step

increases, and to publicize those

granted. This may include disclosure to

other public and private organizations,

including news media, which grant or

publicize employee recognition.

j. To disclose information to officials

of labor organizations recognized under

5 U.S.C. chapter 71 when relevant and

necessary to their duties of exclusive

representation concerning personnel

policies, practices, and matters affecting

working conditions.

k. To disclose pertinent information

to the appropriate Federal, State, or

local agency responsible for

investigating, prosecuting, enforcing, or

implementing a statute, rule, regulation,

or order, when the disclosing agency

becomes aware of an indication of a

violation or potential violation of civil

or criminal law or regulation.

l. To disclose information to any

source from which additional

information is requested (to the extent

necessary to identify the individual,

inform the source of the purpose(s) of

the request, and to identify the type of

information requested), when necessary

to obtain information relevant to an

agency decision to hire or retain an

employee, issue a security clearance,

conduct a security or suitability

investigation of an individual, classify

jobs, let a contract, or issue a license,

grant, or other benefits.

m. To disclose to a Federal agency in

the executive, legislative, or judicial

branch of government, in response to its

request, or at the initiation of the agency

maintaining the records, information in

connection with the hiring of an

employee, the issuance of a security

clearance, the conducting of a security

or suitability investigation of an

individual, the classifying of jobs, the

letting of a contract, the issuance of a

license, grant, or other benefits by the

requesting agency, or the lawful

statutory, administrative, or

investigative purpose of the agency to

the extent that the information is

relevant and necessary to the requesting

agency’s decision.

n. To disclose information to the

Office of Management and Budget at any

stage in the legislative coordination and

clearance process in connection with

private relief legislation as set forth in

OMB Circular No. A–19.

o. To provide information to a

congressional office from the record of

an individual in response to an inquiry

from 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 Office to locate

individuals for personnel research or

survey response, and in the production

of summary descriptive statistics and

analytical studies in support of the

function for which the records are

collected and maintained, or for related

workforce studies. While published

statistics and studies do not contain

individual identifiers, in some

instances, the selection of elements of

data included in the study may be

structured in such a way as to make the

data individually identifiable by

inference.

t. To provide an official of another

Federal agency information needed in

the performance of official duties

related to reconciling or reconstructing

data files, in support of the functions for

which the records were collected and

maintained.

u. When an individual to whom a

record pertains is mentally incompetent

or under other legal disability,

information in the individual’s record

may be disclosed to any person who is

responsible for the care of the

individual, to the extent necessary to

assure payment of benefits to which the

individual is entitled.

v. To disclose to the agency-appointed

representative of an employee all

notices, determinations, decisions, or

other written communications issued to

the employee, in connection with an

examination ordered by the agency

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24735

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 Office rules and

regulations, investigation of alleged or

possible prohibited personnel practices,

and such other functions promulgated

in 5 U.S.C. chapter 12, or as may be

authorized by law.

bb. To disclose information to the

Equal Employment Opportunity

Commission when requested in

connection with investigations of

alleged or possible discrimination

practices in the Federal sector,

examination of Federal affirmative

employment programs, compliance by

Federal agencies with the Uniform

Guidelines on Employee Selection

Procedures, or other functions vested in

the Commission.

cc. To disclose information to the

Federal Labor Relations Authority

(including its General Counsel) when

requested in connection with

investigation and resolution of

allegations of unfair labor practices, in

connection with the resolution of

exceptions to arbitrator’s awards when a

question of material fact is raised, to

investigate representation petitions and

to conduct or supervise representation

elections, and in connection with

matters before the Federal Service

Impasses Panel.

dd. To disclose to prospective nonFederal employers, the following

information about a specifically

identified current or former Federal

employee:

(1) Tenure of employment;

(2) Civil service status;

(3) Length of service in the agency

and the Government; and

(4) When separated, the date and

nature of action as shown on the

Notification of Personnel Action—

Standard Form 50 (or authorized

exception).

ee. To disclose information on

employees of Federal health care

facilities to private sector (i.e., other

than Federal, State, or local government)

agencies, boards, or commissions (e.g.,

the Joint Commission on Accreditation

of Hospitals). Such disclosures will be

made only when the disclosing agency

determines that it is in the

Government’s best interest (e.g., to

comply with law, rule, or regulation, to

assist in the recruiting of staff in the

community where the facility operates

or to avoid any adverse publicity that

may result from public criticism of the

facility’s failure to obtain such approval,

or to obtain accreditation or other

approval rating). Disclosure is to be

made only to the extent that the

information disclosed is relevant and

necessary for that purpose.

ff. To disclose information to any

member of an agency’s Performance

Review Board or other panel when the

member is not an official of the

employing agency; information would

then be used for approving or

recommending selection of candidates

for executive development or SES

candidate programs, issuing a

performance rating of record, issuing

performance awards, nominating for

meritorious and distinguished executive

ranks, and removal, reduction-in-grade,

and other personnel actions based on

performance.

gg. To disclose, either to the Federal

Acquisition Institute (FAI) or its agent,

information about Federal employees in

procurement occupations and other

occupations whose incumbents spend

the predominant amount of their work

hours on procurement tasks; provided

that the information shall only be used

for such purposes and under such

conditions as prescribed by the notice of

the Federal Acquisition Personnel

Information System as published in the

Federal Register of February 7, 1980 (45

FR 8399).

hh. To disclose relevant information

with personal identifiers of Federal

civilian employees whose records are

contained in the Central Personnel Data

File to authorized Federal agencies and

non-Federal entities for use in computer

matching. The matches will be

performed to help eliminate waste,

fraud, and abuse in Governmental

programs; to help identify individuals

who are potentially in violation of civil

or criminal law or regulation; and to

collect debts and overpayments owed to

Federal, State, or local governments and

their components. The information

disclosed may include, but is not

limited to, the name, social security

number, date of birth, sex, annualized

salary rate, service computation date of

basic active service, veteran’s

preference, retirement status,

occupational series, health plan code,

position occupied, work schedule (full

time, part time, or intermittent), agency

identifier, geographic location (duty

station location), standard metropolitan

service area, special program identifier,

and submitting office number of Federal

employees.

ii. To disclose information to Federal,

State, local, and professional licensing

boards, Boards of Medical Examiners, or

to the Federation of State Medical

Boards or a similar non-government

entity which maintains records

concerning individuals’ employment

histories or concerning the issuance,

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 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

24736 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, SAFEGUARDING, AND RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

These records are maintained in file

folders, on lists and forms, microfilm or

microfiche, and in computer

processable storage media.

RETRIEVABILITY:

These records are retrieved by various

combinations of name, birth date, social

security number, or identification

number of the individual on whom they

are maintained.

SAFEGUARDS:

Paper or microfiche/microfilmed

records are located in locked metal file

cabinets or in secured rooms with

access limited to those personnel whose

official duties require access. Access to

computerized records is limited,

through use of access codes and entry

logs, to those whose official duties

require access.

RETENTION AND DISPOSAL:

The OPF is maintained for the period

of the employee’s service in the agency

and is then transferred to the National

Personnel Records Center for storage or,

as appropriate, to the next employing

Federal agency. Other records are either

retained at the agency for various

lengths of time in accordance with the

National Archives and Records

Administration records schedules or

destroyed when they have served their

purpose or when the employee leaves

the agency.

a. Long-term records. The OPF is

maintained by the employing agency as

long as the individual is employed with

that agency.

Within 90 days after the individual

separates from the Federal service, the

OPF is sent to the National Personnel

Records Center for long-term storage. In

the case of administrative need, a retired

employee, or an employee who dies in

service, the OPF is sent to the Records

Center within 120 days.

Destruction of the OPF is in

accordance with General Records

Schedule-1 (GRS–1).

b. Other records. Other records are

retained for varying periods of time.

Generally they are maintained for a

minimum of 1 year or until the

employee transfers or separates.

c. Records contained on computer

processable media within the CPDF

(and in agency’s automated personnel

records) may be retained indefinitely as

a basis for longitudinal work history

statistical studies. After the disposition

date in GRS–1, such records should not

be used in making decisions concerning

employees.

SYSTEM MANAGER(S) AND ADDRESS:

a. Assistant Director for Workforce

Information, Office of Merit Systems

Oversight and Effectiveness, Office of

Personnel Management, 1900 E Street,

NW, Washington, DC 20415.

b. For current Federal employees,

OPM has delegated to the employing

agency the Privacy Act responsibilities

concerning access, amendment, and

disclosure of the records within this

system notice.

NOTIFICATION PROCEDURE:

Individuals wishing to inquire

whether this system of records contains

information about them should contact

the appropriate Office or employing

agency office, as follows:

a. Current Federal employees should

contact the Personnel Officer or other

responsible official (as designated by the

employing agency), of the local agency

installation at which employed

regarding records in this system.

b. Former Federal employees who

want access to their Official Personnel

Folders should contact the National

Personnel Records Center (Civilian), 111

Winnebago Street, St. Louis, Missouri

63118, regarding the records in this

system. For other records covered by the

system notice, individuals should

contact their former employing agency.

Individuals must furnish the

following information for their records

to be located and identified:

a. Full name.

b. Date of birth.

c. Social security number.

d. Last employing agency (including

duty station) and approximate date(s) of

the employment (for former Federal

employees).

e. Signature.

RECORD ACCESS PROCEDURE:

Individuals wishing to request access

to their records should contact the

appropriate OPM or agency office, as

specified in the Notification Procedure

section. Individuals must furnish the

following information for their records

to be located and identified:

a. Full name(s).

b. Date of birth.

c. Social security number.

d. Last employing agency (including

duty station) and approximate date(s) of

employment (for former Federal

employees).

e. Signature.

Individuals requesting access must

also comply with the Office’s Privacy

Act regulations on verification of

identity and access to records (5 CFR

Part 297).

CONTESTING RECORD PROCEDURE:

Current employees wishing to request

amendment of their records should

contact their current agency. Former

employees should contact the system

manager. Individuals must furnish the

following information for their records

to be located and identified.

a. Full name(s).

b. Date of birth.

c. Social security number.

d. Last employing agency (including

duty station) and approximate date(s) of

employment (for former Federal

employees).

e. Signature.

Individuals requesting amendment

must also comply with the Office’s

Privacy Act regulations on verification

of identity and amendment of records (5

CFR Part 297).

RECORD SOURCE CATEGORIES:

Information in this system of records

is provided by:

a. The individual on whom the record

is maintained.

b. Educational institutions.

c. Agency officials and other

individuals or entities.

d. Other sources of information for

long-term records maintained in an

employee’s OPF, in accordance with

Code of Federal Regulations 5 CFR Part

293, and OPM’s Operating Manual,

‘‘The Guide to Personnel

Recordkeeping.’’

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24737

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 (Office) and should be provided

to those Office employees who have an

official need or use for those records.

Therefore, if an employing agency is asked by

an Office employee for access to the records

within this system, such a request should be

honored.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current and former Federal

employees (including SES appointees).

CATEGORIES OF RECORDS IN THE SYSTEM:

Records in this system, wherever they

are maintained, may include any or all

of the following:

a. Annual summary performance

ratings of record issued under employee

appraisal systems and any document

that indicates that the rating is being

challenged under administrative

procedures (e.g., when the employee

files a grievance on the rating received).

b. A document (either the summary

rating form itself or a form affixed to it)

that identifies the job elements and the

standards for those elements upon

which the rating is based.

c. Supporting documentation for

employee ratings of records, as required

by agency rating systems or

implementing instructions, and which

may be filed physically with the rating

of record (e.g., productivity and quality

control records, records of employee

counseling, individual development

plans, or other such records as specified

in agency issuances) and maintained,

for example in a work folder by

supervisors/managers at the work site.

d. Records on SES appraisals

generated by Performance Review

Boards, including statements of

witnesses and transcripts of hearings.

e. Written recommendations for

awards, removals, demotions, denials of

within-grade increases, reassignments,

training, pay increases, cash bonuses, or

other performance-based actions (e.g.,

nominations of SES employees for

Meritorious or Distinguished Executive),

including supporting documentation.

f. Statements made (letter on or

appended to the performance rating

document) by the employee (e.g., a

statement of disagreement with the

rating or recommendation), in

accordance with agency performance

plans and implementing instructions,

regarding a rating given and any

recommendations made based on them.

Note 3 —When a recommendation by a

supervisor/manager or a statement made by

the employee regarding the rating issued (or

a copy) becomes part of another

Governmentwide system or internal agency

file (e.g., an SF 52 when the action is effected

or when documents or statements of

disagreement are placed in a grievance file),

that document then becomes subject to that

system’s notice and appropriate Office or

employing agency Privacy Act requirements,

respectively, for the system of records

covering that file.

g. Records created by Executive

Resource Boards regarding performance

of an individual in an executive

development program.

h. Records concerning performance

during the supervisory or managerial

probationary period, the SES

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,

24738 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

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 Office

in connection with its personnel

management evaluation role in the

executive branch; and (5) to identify

individuals for personnel research.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSE OF SUCH USES:

a. To disclose information to the Merit

Systems Protection Board or the Office

of Special Counsel in connection with

appeals, special studies of the civil

service and other merit systems, review

of Office rules and regulations,

investigations of alleged or possible

prohibited personnel practices, and

other functions as promulgated in 5

U.S.C. chapter 12, or for such other

functions as may be authorized by law.

b. To disclose information to the

EEOC when requested in connection

with investigations into alleged or

possible discrimination practices in the

Federal sector, examination of Federal

Affirmative Action programs,

compliance by Federal agencies with

the Uniform Guidelines on Employee

Selection Procedures, or other functions

vested in the Commission.

c. To disclose information to the

Federal Labor Relations Authority

(including its General Counsel) when

requested in connection with the

investigation and resolution of

allegations of unfair labor practices, in

connection with the resolution of

exceptions to arbitrator’s awards where

a question of material fact is raised, and

matters before the Federal Service

Impasses Panel.

d. To consider and select employees

for incentive awards, quality-step

increases, merit increases and

performance awards, or other pay

bonuses, and other honors and to

publicize those granted. This may

include disclosure to public and private

organizations, including news media,

which grant or publicize employee

awards or honors.

e. To disclose information to an

arbitrator to resolve disputes under a

negotiated grievance procedure or to

officials of labor organizations

recognized under 5 U.S.C. chapter 71

when relevant and necessary to their

duties of exclusive representation.

f. To disclose to an agency in the

executive, legislative, or judicial branch,

or to the District of Columbia’s

government in response to its request, or

at the initiation of the agency

maintaining the records, information in

connection with hiring or retaining of

an employee; issuing a security

clearance; conducting a security or

suitability investigation of an

individual; classifying jobs; letting a

contract; issuing a license, grant, or

other benefits by the requesting agency;

or the lawful statutory, administrative,

or investigative purposes of the agency

to the extent that the information is

relevant and necessary to the decision

on the matter.

g. To disclose, in response to a request

for discovery or for appearance of a

witness, information that is relevant to

the subject matter involved in a pending

judicial or administrative proceeding.

h. To disclose information to a

congressional office from the record or

an individual in response to an inquiry

from that congressional office made at

the request of the individual.

i. To disclose information to another

Federal agency, to a court, or a party in

litigation before a court or in an

administrative proceeding being

conducted by a Federal agency, when

the Government is a party to the judicial

or administrative proceeding.

j. To disclose information to the

Department of Justice, or in a

proceeding before a court, adjudicative

body, or other administrative body

before which the agency is authorized to

appear, when:

1. The agency, or any component

thereof; or

2. Any employee of the agency in his

or her official capacity; or

3. Any employee of the agency in his

or her individual capacity where the

Department of Justice or the agency has

agreed to represent the employee; or

4. The United States, when the agency

determines that litigation is likely to

affect the agency or any of its

components, is a party to litigation or

has an interest in such litigation, and

the use of such records by the

Department of Justice or the agency is

deemed by the agency to be relevant and

necessary to the litigation, provided,

however, that in each case it has been

determined that the disclosure is

compatible with the purpose for which

the records were collected.

k. By the National Archives and

Records Administration in records

management inspections and its role as

Archivist.

l. By the Office or employing agency

to locate individuals for personnel

research or survey response and in

producing summary descriptive

statistics and analytical studies to

support the function for which the

records are collected and maintained, or

for related 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.

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24739

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. Assistant Director for Workforce

Information, Office of Merit System

Oversight and Effectiveness, 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

Office’s Privacy Act regulations on

verification of identity and access to

records (5 CFR part 297).

CONTESTING RECORD PROCEDURE:

Individuals wishing to request

amendment to their records should

contact the appropriate office indicated

in the Notification Procedure section

where they are or were employed.

Individuals must furnish the following

information for their records to be

located and identified:

a. Full name(s).

b. Social security number.

c. Position occupied and unit where

employed.

Individuals requesting amendment

must also comply with the Office’s

Privacy Act regulations on verification

of identity and amendment of records (5

CFR part 297).

RECORDS SOURCE CATEGORIES:

Records in this system are obtained

from:

a. Supervisors/managers.

b. Performance Review Boards.

c. Executive Resource Boards.

d. Other individuals or agency

officials.

e. Other agency records.

f. The individual to whom the records

pertain.

OPM/GOVT–3

SYSTEM NAME:

Records of Adverse Actions,

Performance Based Reduction in Grade

and Removal Actions, and Termination

of Probationers

SYSTEM LOCATION:

These records are located in

personnel or designated offices in

Federal agencies in which the actions

were processed.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current or former Federal employees

(including Senior Executive Service

(SES) employees) against whom such an

action has been proposed or taken in

accordance with 5 CFR parts 315

(subparts H and I), 432, 752, or 754 of

the Office’s regulations.

24740 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

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 Office or by agencies

against employees in accordance with 5

CFR parts 315 (subparts H and I), 432,

752, or 754 of the Office’s regulations.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

a. To provide information to officials

of labor organizations recognized under

5 U.S.C. chapter 71 when relevant and

necessary to their duties of exclusive

representation concerning personnel

policies, practices, and matters affecting

work conditions.

b. To disclose pertinent information

to the appropriate Federal, State, or

local agency responsible for

investigating, prosecuting, enforcing, or

implementing a statute, rule, regulation,

or order, when the disclosing agency

becomes aware of an indication of a

violation or potential violation of civil

or criminal law or regulation.

c. To disclose information to any

source from which additional

information is requested for processing

any of the covered actions or in regard

to any appeal or administrative review

procedure, to the extent necessary to

identify the individual, inform the

source of the purpose(s) of the request,

and identify the type of information

requested.

d. To disclose information to a

Federal agency, in response to its

request, in connection with hiring or

retaining an employee, issuing a

security clearance, conducting a

security or suitability investigation of an

individual, or classifying jobs, to the

extent that the information is relevant

and necessary to the requesting agency’s

decision on the matter.

e. To provide information to a

congressional office from the record of

an individual in response to an inquiry

from that congressional office made at

the request of that individual.

f. To disclose information to another

Federal agency, to a court, or a party in

litigation before a court or in an

administrative proceeding being

conducted by a Federal agency, when

the Government is a party to the judicial

or administrative proceeding.

g. To disclose information to the

Department of Justice, or in a

proceeding before a court, adjudicative

body, or other administrative body

before which the agency is authorized to

appear, when:

1. The agency, or any component

thereof; or

2. Any employee of the agency in his

or her official capacity; or

3. Any employee of the agency in his

or her individual capacity where the

Department of Justice or the agency has

agreed to represent the employee; or

4. The United States, when the agency

determines that litigation is likely to

affect the agency or any of its

components, is a party to litigation or

has an interest in such litigation, and

the use of such records by the

Department of Justice or the agency is

deemed by the agency to be relevant and

necessary to the litigation, provided,

however, that in each case it has been

determined that the disclosure is

compatible with the purpose for which

the records were collected.

h. By the National Archives and

Records Administration in records

management inspections and its role as

Archivist.

i. By the agency maintaining the

records or the Office to locate

individuals for personnel research or

survey response and in producing

summary descriptive statistics and

analytical studies in support of the

function for which the records are

collected and maintained, or for related

workforce studies. While published

statistics and studies do not contain

individual identifiers, in some instances

the selection 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 Office rules and

regulations, investigations of alleged or

possible prohibited personnel practices,

and such other functions, as

promulgated in 5 U.S.C. 1205 and 1206,

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

5 U.S.C. 7513(e), or as may be

authorized by law.

l. To disclose information to the EEOC

when requested in connection with

investigations into alleged or possible

discrimination practices in the Federal

sector, examination of Federal

affirmative employment programs,

compliance by Federal agencies with

the Uniform Guidelines on Employee

Selection Procedures, or other functions

vested in the Commission.

m. To disclose information to the

Federal Labor Relations Authority or its

General Counsel when requested in

connection with investigations of

allegations of unfair labor practices or

matters before the Federal Service

Impasses Panel.

n. To provide an official of another

Federal agency information he or she

needs to know in the performance of his

or her official duties or reconciling or

reconstructing data files, in support of

the functions for which the records were

collected and maintained.

o. To disclose information to the

Department of Labor, Department of

Veterans Administration, Social

Security Administration, Department of

Defense, or any other Federal agencies

that have special civilian employee

retirement programs; or to a national,

State, county, municipal, or other

publicly recognized charitable or

income security, administration agency

(e.g., State unemployment

compensation agencies), when

necessary to adjudicate a claim under

the retirement, insurance,

unemployment, or health benefits

programs of the Office or an agency to

conduct an analytical study or audit of

benefits being paid under such

programs.

p. To disclose to contractors, grantees,

or volunteers performing or working on

a contract, service, grant, cooperative

agreement, or job for the Federal

Government.

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24741

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:

Chief, Office of Employee Relations

and Health Services, Office of

Workforce Relations, Office of Personnel

Management, 1900 E Street, NW.,

Washington, DC 20415 for actions taken

under parts 432, 752 (subparts A

through D only), and 754. Assistant

Director for Executive Policy and

Services, Office of Personnel

Management, 1900 E Street, NW.,

Washington, DC 20415 for actions taken

against SES appointees under subparts E

and F, of part 752. Associate Director for

Employment Service for actions taken

under part 315.

NOTIFICATION PROCEDURE′:

Individuals receiving notice of a

proposed adverse, removal, or demotion

action must be provided access to all

documents supporting the notice. At

any time thereafter, individuals subject

to the action will be provided access to

the complete record. Individuals should

contact the agency personnel or

designated office where the action was

processed regarding the existence of

such records on them. They must

furnish the following information for

their records to be located and

identified:

a. Name.

b. Date of birth.

c. Approximate date of closing of the

case and kind of action taken.

d. Organizational component

involved.

RECORD ACCESS PROCEDURE:

Individuals against whom such

actions are taken must be provided

access to the record. However, after the

action has been closed, an individual

may request access to the official file by

contacting the agency personnel or

designated office where the action was

processed. Individuals must furnish the

following information for their records

to be located and identified:

a. Name.

b. Date of birth.

c. Approximate date of closing of the

case and kind of action taken.

d. Organizational component

involved.

Individuals requesting access must

also follow the Office’s Privacy Act

regulations on verification of identity

and access to records (5 CFR part 297).

CONTESTING RECORD PROCEDURE:

Review of requests from individuals

seeking amendment of their records that

have or could have been the subject of

a judicial, quasi-judicial, or

administrative action will be limited in

scope. Review of amendment requests of

these records will be restricted to

determining if the record accurately

documents the action of the agency

ruling on the case, and will not include

a review of the merits of the action,

determination, or finding.

Individuals wishing to request

amendment of their records to correct

factual errors should contact the agency

personnel or designated office where the

actions were processed. Individuals

must furnish the following information

for their records to be located and

identified:

a. Name.

b. Date of birth.

c. Approximate date of closing of the

case and kind of action taken.

d. Organizational component

involved.

Individuals requesting amendment

must also follow the Office’s Privacy

Act regulations on verification of

identity and amendment of records (5

CFR part 297).

RECORD SOURCE CATEGORIES:

Information in this system of records

is provided:

a. By supervisors/managers.

b. By the individual on whom the

record is maintained.

c. By testimony of witnesses.

d. By other agency officials.

e. By other agency records.

f. From related correspondence from

organizations or persons.

OPM/GOVT–4 [Reserved]

OPM/GOVT–5

SYSTEM NAME:

Recruiting, Examining, and Placement

Records.

SYSTEM LOCATION:

Associate Director for Employment

Service, Office of Personnel

Management, 1900 E Street, NW.,

Washington, DC 20415, OPM regional

and area offices; and personnel or other

designated offices of Federal agencies

that are authorized to make

appointments and to act for the Office

by delegated authority.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

a. Persons who have applied to the

Office or agencies for Federal

employment and current and former

Federal employees submitting

applications for other positions in the

Federal service.

b. Applicants for Federal employment

believed or found to be unsuitable for

employment on medical grounds.

CATEGORIES OF RECORDS IN THE SYSTEM:

In general, all records in this system

contain identifying information

including name, date of birth, social

security number, and home address.

These records pertain to assembled and

unassembled examining procedures and

contain information on both competitive

examinations and on certain

noncompetitive actions, such as

determinations of time-in-grade

restriction waivers, waiver of

qualification requirement

determinations, and variations in

regulatory requirements in individual

cases.

This system includes such records as:

a. Applications for employment that

contain information on work and

education, military service, convictions

for offenses against the law, military

service, and indications of specialized

training or receipt of awards or honors.

These records may also include copies

of correspondence between the

applicant and the Office or agency.

b. Results of written exams and

indications of how information in the

application was rated. These records

also contain information on the ranking

of an applicant, his or her placement on

a list of eligibles, what certificates

applicant’s names appeared on, an

agency’s request for Office approval of

the agency’s objection to an eligible’s

qualifications and the Office’s decision

in the matter, an agency’s request for

Office approval for the agency to pass

over an eligible and the Office’s

decision in the matter, and an agency’s

24742 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

decision to object/pass over an eligible

when the agency has authority to make

such decisions under agreement with

the Office.

c. Records regarding the Office’s final

decision on an agency’s decision to

object/pass over an eligible for

suitability or medical reasons or when

the objection/pass over decision applies

to a compensable preference eligible

with 30 percent or more disability.

(Does not include a rating of ineligibility

for employment because of a confirmed

positive test result under Executive

Order 12564.)

d. Responses to and results of

approved personality or similar tests

administered by the Office or agency.

e. Records relating to rating appeals

filed with the Office or agency.

f. Registration sheets, control cards,

and related documents regarding

Federal employees requesting

placement assistance in view of pending

or realized displacement because of

reduction in force, transfer or

discontinuance of function, or

reorganization.

g. Records concerning noncompetitive action cases referred to the

Office for decision. These files include

such records as waiver of time-in-grade

requirements, decisions on superior

qualification appointments, temporary

appointments outside a register, and

employee status determinations.

Authority for making decisions on many

of these actions has also been delegated

to agencies. The records retained by the

Office on such actions and copies of

such files retained by the agency

submitting the request to the Office,

along with records that agencies

maintain as a result of the Office’s

delegations of authorities, are

considered part of this system of

records.

h. Records retained to support

Schedule A appointments of severely

physically handicapped individuals,

retained both by the Office and agencies

acting under the Office delegated

authorities, are part of this system.

i. Agency applicant supply file

systems (when the agency retains

applications, resumes, and other related

records for hard-to-fill or unique

positions, for future consideration),

along with any pre-employment

vouchers obtained in connection with

an agency’s processing of an

application, are included in this system.

j. Records derived from the Officedeveloped or agency-developed

assessment center exercises.

k. Case files related to medical

suitability determinations and appeals.

l. Records related to an applicant’s

examination for use of illegal drugs

under provisions of Executive Order

12564. Such records may be retained by

the agency (e.g., evidence of confirmed

positive test results) or by a contractor

laboratory (e.g., the record of the testing

of an applicant, whether negative, or

confirmed or unconfirmed positive test

result).

Note 1 —Only Routine Use ‘‘p’’ identified

for this system of records is applicable to

records relating to drug testing under

Executive Order 12564. Further, such records

shall be disclosed only to a very limited

number of officials within the agency,

generally only to the agency Medical Review

Official (MRO), the administrator of the

agency Employee Assistance Program, and

any supervisory or management official

within the employee’s agency having

authority to take the adverse personnel action

against the employee.

Note 2 —The Office does not intend that

records created by agencies in connection

with the agency’s Merit Promotion Plan

program be included in the term ‘‘Applicant

Supply File’’ as used within this notice. It is

the Office’s position that Merit Promotion

Plan records are not a system of records

within the meaning of the Privacy Act as

such records are usually filed by a vacancy

announcement number or some other key

that is not a unique personnel identifier.

Agencies may choose to consider such

records as within the meaning of a system of

records as used in the Privacy Act, but if they

do so, they are solely responsible for

implementing Privacy Act requirements,

including establishment and notice of a

system of records pertaining to such records.

Note 3 —To the extent that an agency

utilizes an automated medium in connection

with maintenance of records in this system,

the automated versions of these records are

considered covered by this system of records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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.

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24743

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:

Associate Director for Employment

Service, Office of Personnel

Management, 1900 E Street, NW.,

Washington, DC 20415.

NOTIFICATION PROCEDURE:

Individuals wishing to inquire

whether this system of records contains

information about them should contact

the agency or the Office where

application was made or examination

was taken. Individuals must provide the

following information for their records

to be located and identified:

a. Name.

b. Date of birth.

c. Social security number.

d. Identification number (if known).

e. Approximate date of record.

f. Title of examination or

announcement with which concerned.

g. Geographic area in which

consideration was requested.

RECORD ACCESS 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.

24744 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

The section of this notice titled

‘‘Systems Exempted from Certain

Provisions of the Act’’ indicates the

kind of material exempted and the

reasons for exempting them from access.

Individuals wishing to request access to

their non-exempt records should contact

the agency or the Office where

application was made or examination

was taken. Individuals must provide the

following information for their records

to be located and identified:

a. Name.

b. Date of birth.

c. Social security number.

d. Identification number (if known).

e. Approximate date of record.

f. Title of examination or

announcement with which concerned.

g. Geographic area in which

consideration was requested.

Individuals requesting access must

also comply with the Office’s Privacy

Act regulations on verification of

identity and access to records (5 CFR

part 297).

CONTESTING RECORD 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 Office where

the application was made or the

examination was taken. Individuals

must provide the following information

for their records to be located and

identified:

a. Name.

b. Date of birth.

c. Social security number.

d. Identification number (if known).

e. Approximate date of record.

f. Title of examination or

announcement with which concerned.

g. Geographic area in which

consideration was requested.

Individuals requesting amendment

must also comply with the Office’s

Privacy Act regulations on verification

of identity and amendment of records (5

CFR part 297).

Note 5 —In responding to an inquiry or a

request for access or amendment, resource

specialists may contact the Office’s area

office that provides examining and rating

assistance for help in processing the request.

RECORD SOURCE CATEGORIES:

Information in this system of records

comes from the 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 Office records, and

vouchers supplied by references or

other sources that the applicant lists or

that are developed.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT:

This system contains investigative

materials that are used solely to

determine the appropriateness of a

request for approval of an objection to

an eligible’s qualifications for Federal

civilian employment or vouchers

received during the processing of an

application. The Privacy Act, at 5 U.S.C.

552a(k)(5), permits an agency to exempt

such investigative material from certain

provisions of the Act, to the extent that

release of the material to the individual

whom the information is about would—

a. Reveal the identity of a source who

furnished information to the

Government under an express promise

(granted on or after September 27, 1975)

that the identity of the source would be

held in confidence; or

b. Reveal the identity of a source who,

prior to September 27, 1975, furnished

information to the Government under an

implied promise that the identity of the

source would be held in confidence.

This system 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. The Office has

claimed exemptions from the

requirements of 5 U.S.C. 552a(d), which

relate to access to and amendment of

records.

The specific material exempted

include, but are not limited to, the

following:

a. Answer keys.

b. Assessment center exercises.

c. Assessment center exercise reports.

d. Assessor guidance material.

e. Assessment center observation

reports.

f. Assessment center summary

reports.

g. Other applicant appraisal methods,

such as performance tests, work samples

and simulations, miniature training and

evaluation exercises, structured

interviews, and their associated

evaluation guides and reports.

h. Item analyses and similar data that

contain test keys and item response

data.

i. Ratings given for validating

examinations.

j. Rating schedules, including

crediting plans and scoring formulas for

other selection procedures.

k. Rating sheets.

l. Test booklets, including the written

instructions for their preparation and

automated versions of tests and related

selection materials and their complete

documentation.

m. Test item files.

n. Test answer sheets.

OPM/GOVT–6

SYSTEM NAME:

PERSONNEL RESEARCH AND TEST VALIDATION

RECORDS:

SYSTEM LOCATION:

Director, Office of Personnel

Resources and Development,

Employment Service, 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 Office or

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24745

other Federal agencies for the

construction, analysis, and validation of

written tests and other assessment

instruments used in personnel selection

and appraisal, other assessment

instruments used in personnel selection

and appraisal, and for research on and

evaluation of personnel/organizational

management and staffing methods,

including workforce effectiveness

studies. Agencies and the Office may

provide each other with data collected

in support of these functions. Such

research includes studies extending

over a period of time (longitudinal

studies). Private sector data are used in

research only, to evaluate Federal study

results against non-Federal comparison

groups. Race and national origin data

are used by the Office or other agencies

to evaluate the role and effects of

selection procedures in the total

employee staffing process. Use of these

race and national origin data is limited

to such evaluation, oversight and

research projects conducted by the

employing agencies or the Office. The

records may also be used by the Office

or other Federal agencies to locate

individuals for personnel research. Data

are collected on a project-by-project

basis under conditions assuring the

confidentiality of the information. No

personnel action or selection is made

using these research records.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Under normal circumstances, no

individually identifiable records will be

provided. However, under those

unusual circumstances when an

individually identifiable record is

required, proper safeguards will be

maintained to protect the information

collected from unwarranted invasion of

personal privacy. Such protection must

be specified in writing by the requester

and, to the satisfaction of the agency

official responsible for maintaining the

data, indicate that the proposed use of

the data is in compliance with the letter

and spirit of the Privacy Act. Under

these circumstances, the routine uses

are as follows:

a. By the OPM or employing agency

maintaining the records to locate

individuals for personnel research or

survey responses and in the production

of summary descriptive statistics and

analytical studies in support of the

function for which the records are

collected and maintained, or for related

workforce studies. While published

statistics and studies do not contain

individual identifiers, in some instances

the selection of elements of data

included in the study may be structured

in such a way as to make the data

individually identifiable by inference.

b. To furnish personnel records and

information to the Equal Employment

Opportunity Commission for use in

determining the existence of adverse

impact in the total selection program,

reviewing allegations of discrimination,

or assessing the status of compliance

with Federal law.

c. To furnish information to the Merit

Systems Protection Board or the Office

of the Special Counsel in connection

with actions by offices relating to

allegations of discriminatory practices

on the part of an agency or one of its

employees.

d. To disclose, in response to a

request for discovery or for appearance

of a witness, information that is relevant

to the subject matter involved in a

pending judicial or administrative

proceeding.

e. To disclose information to another

Federal agency, to a court, or a party in

litigation before a court or in an

administrative proceeding being

conducted by a Federal agency, when

the Government is a party to the judicial

or administrative proceeding.

f. To disclose information to the

Department of Justice, or in a

proceeding before a court, adjudicative

body, or other administrative body

before which the agency is authorized to

appear, when:

1. The agency, or any component

thereof; or

2. Any employee of the agency in his

or her official capacity; or

3. Any employee of the agency in his

or her individual capacity where the

Department of Justice or the agency has

agreed to represent the employee; or

4. The United States, where the

agency determines that litigation is

likely to affect the agency or any of its

components, is a party to litigation or

has an interest in such litigation, and

the use of such records by the

Department of Justice or the agency is

deemed by the agency to be relevant and

necessary to the litigation, provided,

however, that in each case it has been

determined that the disclosure is

compatible with the purpose for which

the records were collected.

g. To provide information to a

congressional office from the record of

an individual in response to a request

from that congressional office made at

the request of that individual.

h. To provide aggregate data to nonFederal organizations participating in

workforce studies. These data will be

limited to individuals associated with

the organization requesting the data or

to data aggregated for all organizations

in a study.

i. To disclose information to

contractors, grantees, or volunteers

performing or working on a contract,

service, grant, cooperative agreement, or

job for the Federal Government.

j. To disclose research records to a

court or other body in camera when

tests and other assessment instruments

are involved.

POLICIES AND PRACTICES FOR STORING,

RETAINING, SAFEGUARDING, AND 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:

Director, Office of Personnel

Resources and Development,

Employment Service, Room 6500, Office

of Personnel Management, 1900 E

Street, NW., Washington, DC. 20415–

9200.

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.

24746 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

RECORD ACCESS PROCEDURE:

Specific materials in this system have

been exempted from Privacy Act

provisions at 5 U.S.C. 552a(d), regarding

access to records. The section of this

notice titled ‘‘Systems Exempted from

Certain Provisions of the Act’’ indicates

the kinds of material exempted and the

reasons for exempting them from access.

Individuals wishing to request access to

non-exempt records should contact the

appropriate office listed in the

Notification Procedure section.

Individuals must furnish the following

information for their records to be

located and identified:

a. Full name.

b. Date of birth.

c. If known, the title, time, and/or

place of the research study in which the

individual participated.

d. Social security number.

e. Signature.

Individuals requesting access must

also comply with the Office’s Privacy

Act regulations on verification of

identity and access to records (5 CFR

part 297).

CONTESTING RECORD PROCEDURE:

Specific materials in this system have

been exempted from Privacy Act

provisions at 5 U.S.C. 552a(d) regarding

amendment of records. The section of

this notice titled ‘‘Systems Exempted

from Certain Provisions of the Act’’

indicates the kinds of materials

exempted and the reasons for exempting

them from amendment. Individuals

wishing to request amendment of any

non-exempt records should contact the

appropriate office listed in the

Notification Procedure section.

Individuals must furnish the following

information for their records to be

located and identified:

a. Full name.

b. Date of birth.

c. If known, the title, time, and/or

place of the research study in which the

individual participated.

d. Social security number.

e. Signature.

Individuals requesting amendment

must also comply with the Office’s

Privacy Act regulations on verification

of identity and amendment of records (5

CFR part 297).

RECORD SOURCE CATEGORIES:

Individual applicants and employees;

supervisors; assessment center

assessors; and agency or Office

personnel files and records (e.g., race,

sex, national origin, and disability status

data from OPM/GOVT–1 and OPM/

GOVT–7 systems of records).

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS

OF THE ACT:

This system contains testing and

examination materials that are used

solely to determine individual

qualifications for appointment, 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.

The Office has claimed exemptions from

the requirements of 5 U.S.C. 552a(d),

which relates to access to and

amendment of records.

This system contains records required

to be maintained and used solely for

statistical purposes. The Privacy Act, at

5 U.S.C. 552a(k)(4), permits an agency to

exempt all such statistical records from

certain provisions of the Act, when the

disclosure of the material would

compromise the objectivity and fairness

of these records. The Office has claimed

exemptions from the requirements of 5

U.S.C. 552a(d), which relates to access

to and amendment of records.

The specific materials exempted

include, but are not limited to, the

following:

a. Answer keys.

b. Assessment center and interview

exercises.

c. Assessment center and interview

exercise reports.

d. Assessor guidance material.

e. Assessment center observation

reports.

f. Assessment center and interview

summary reports.

g. Other applicant appraisal methods,

such as performance tests, work samples

and simulations, miniature training and

evaluation exercises, interviews, and

reports.

h. Item analyses and similar data that

contain test keys 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.

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. Director Office of Personnel

Resources and Development,

Employment Service, Office of

Personnel Management, 1900 E Street,

NW., Washington, DC 20415.

b. Office of Diversity, Employment

Service, Office of Personnel

Management, 1900 E Street, NW.,

Washington, DC 20415.

c. OPM’s Service Centers, and any

register-holding offices under the

jurisdiction of the Service Center.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current and former Federal

employees and individuals who have

applied for Federal employment,

including:

a. Applicants for examinations

administered either by the Office or by

employing agencies.

b. Applicants on registers or in

inventories by the Office and subject to

its regulations.

c. Applicants for positions in agencies

having direct hiring authority and using

their own examining procedures in

compliance with the Office regulations.

d. Applicants whose records are

retained in an agency’s Equal

Opportunity Recruitment file (including

any file an agency maintains on current

employees from under-represented

groups).

e. Applicants (including current and

former Federal employees) who apply

for vacancies announced under an

agency’s merit promotion plan.

CATEGORIES OF RECORDS IN THE SYSTEM:

The records include the individual’s

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

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24747

(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 selfidentification 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 the Office to meet its

responsibility to assess an agency’s

implementation of the Federal Equal

Opportunity Recruitment Program.

e. Determine adverse impact in the

selection process as required by the

Uniform Guidelines cited in the

Authority section above. (See also

‘‘Questions and Answers,’’ on those

Guidelines published at 44 FR 11996,

March 2, 1979.)

f. Enable reports to be prepared

regarding breakdowns by race, sex, and

national origin of applicants (by exams

taken, and on the selection of such

applicants for employment).

g. To locate individuals for personnel

research.

Note 1 —These data are maintained under

conditions that ensure that the individual’s

identification as to race, sex, national origin,

or disability status does not accompany that

individual’s application nor is otherwise

made known when the individual is under

consideration by a selecting official.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

a. To disclose information to the

Equal Employment Opportunity

Commission (EEOC), in response to its

request for use in the conduct of an

examination of an agency’s compliance

with affirmative action plan instructions

and the Uniform Guidelines on

Employee Selection Procedures (1978),

or other requirements imposed on

agencies under EEOC authorities in

connection with agency Equal

Employment Opportunity programs.

b. To disclose information to the

Merit Systems Protection Board or the

Office of the Special Counsel in

connection with the processing of

appeals, special studies relating to the

civil service and other merit systems in

the executive branch, investigations into

allegations of prohibited personnel

practices, and such other functions; e.g.,

as prescribed in 5 U.S.C. chapter 12, or

as may be authorized by law.

c. By the Office or employing agency

maintaining the records to locate

individuals for personnel research or

survey response and in the production

of summary descriptive statistics and

analytical studies in support of the

function for which the records are

collected and maintained, or for related

workforce studies. While published

statistics and studies do not contain

individual identifiers, in some instances

the selection of elements of data

included in the study may be structured

in such a way as to make the data

individually identifiable by inference.

d. To disclose information to a

Federal agency in response to its request

for use in its Federal Equal Opportunity

Recruitment Program to the extent that

the information is relevant and

necessary to the agency’s efforts in

identifying possible sources for minority

recruitment.

e. To provide information to a

congressional office from the record of

an individual in response to an inquiry

from the congressional office made at

the request of that individual.

f. To disclose information to another

Federal agency, to a court, or a party in

litigation before a court or in an

administrative proceeding being

conducted by a Federal agency, when

the Government is party to a judicial or

administrative proceeding.

g. To disclose information to the

Department of Justice, or in a

proceeding before a court, adjudicative

body, or other administrative body

before which the agency is authorized to

appear, when:

1. The agency, or any component

thereof; or

2. Any employee of the agency in his

or her official capacity; or

3. Any employee of the agency in his

or her individual capacity where the

Department of Justice or the agency has

agreed to represent the employee; or

4. The United States, where the

agency determines that litigation is

likely to affect the agency or any of its

components, is a party to litigation or

has an interest in such litigation, and

the use of such records by the

Department of Justice or the agency is

deemed by the agency to be relevant and

necessary to the litigation, provided,

however, that in each case it has been

determined that the disclosure is

compatible with the purpose for which

the records were collected.

h. To disclose, in response to a

request for discovery or for appearance

of a witness, information that is relevant

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:

Director, Office of Personnel

Resources and Development,

Employment Service, Office of

Personnel Management, 1900 E Street,

NW., Washington, D.C. 20415.

NOTIFICATION PROCEDURE:

Those individuals wishing to inquire

if this system contains information

24748 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

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).

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, OPM

Oversight Division Offices, agency

personnel offices (or other designated

offices), and Federal records centers.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

a. Current and former Federal

employees who have filed a position

classification appeal or a job grading

appeal with a U.S. Office of Personnel

Management Oversight Division Office,

or with their agency.

b. Current and former Federal

employees who have filed a retained

grade or pay appeal with a U.S. Office

of Personnel Management Oversight

Division Office.

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 Oversight

office or with their agency.

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

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24749

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 the Office or an agency in the

production of summary descriptive

statistics and analytical studies in

support of the function for which the

records are collected and maintained, or

for related workforce studies. While

published statistics and studies do not

contain individual identifiers, in some

instances the selection of elements of

data included in the study may be

structured in such a way as to make the

data individually identifiable by

inference.

i. By the National Archives and

Records Administration in records

management inspections and its role as

Archivist.

j. To disclose, in response to a request

for discovery or for appearance of a

witness, information that is relevant to

the subject matter involved in a pending

judicial or administrative proceeding.

k. To disclose information to the

Merit Systems Protection Board or the

Office of the Special Counsel in

connection with appeals, special studies

of the civil service and other merit

systems, review of Office rules and

regulations, investigations of alleged or

possible prohibited personnel practices,

and such other functions; e.g., as

promulgated in 5 U.S.C. 1205 and 1206,

or as may be authorized by law.

l. To disclose information to the Equal

Employment Opportunity Commission

when requested in connection with

investigations into alleged or possible

discrimination practices in the Federal

sector, examination of Federal

affirmative employment programs,

compliance by Federal agencies with

the Uniform Guidelines on Employee

Selection Procedures, or other functions

vested in the Commission, and to

otherwise ensure compliance with the

provisions of 5 U.S.C. 7201.

m. To disclose information to the

Federal Labor Relations Authority or its

General Counsel when requested in

connection with investigations of

allegations of unfair labor practices or

matters before the Federal Service

Impasses Panel.

n. To disclose information to

contractors, grantees, or volunteers

performing or working on a contract,

service, grant, cooperative agreement, or

job for the Federal Government.

POLICIES AND PRACTICES FOR STORAGE,

RETRIEVAL, SAFEGUARDS, RETINING 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:

Assistant Director for Merit Systems

Oversight, U. S. Office of Personnel

Management, 1900 E Street NW.,

Washington, DC 20415.

NOTIFICATION PROCEDURE:

Individuals wishing to inquire

whether this system of records contains

information about them should:

a. For records pertaining to retained

grade or pay appeals, contact the system

manager or the appropriate OPM

Oversight Division Office.

b. For records pertaining to a position

classification appeal, job grading appeal,

or FLSA claim or complaint where the

appeal was made only to OPM, contact

the system manager or the OPM

Oversight Division Office, as

appropriate.

c. For records pertaining to a position

classification appeal, 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 Oversight Division

Office, as appropriate.

Individuals must furnish the

following information for their records

to be located and identified:

a. Full name.

b. Date of birth.

c. Agency in which employed when

the appeal, 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 quasiVerDate 26<APR>2000 16:12 Apr 26, 2000 Jkt 190000 PO 00000 Frm 00019 Fmt 4701 Sfmt 4703 E:\FR\FM\27APN2.SGM pfrm08 PsN: 27APN2
24750 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

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.

OPM/GOVT–10

SYSTEM NAME:

EMPLOYEE MEDICAL FILE SYSTEM RECORDS:

SYSTEM LOCATION:

a. For current employees, records are

located in agency medical, personnel,

dispensary, health, safety, or other

designated offices within the agency, or

contractors performing a medical

function for the agency.

b. For former employees, most records

will be located in an Employee Medical

Folder (EMF) stored at the National

Personnel Records Center operated by

the National Archives and Records

Administration (NARA). In some cases,

agencies may retain for a limited time

(e.g., up to 3 years) some records on

former employees.

Note 1 —The records in this system of

records are ‘‘owned’’ by the Office of

Personnel Management (Office) and should

be provided to those Office employees who

have an official need or use for those records.

Therefore, if an employing agency is asked by

an Office employee to access the records

within this system, such a request should be

honored.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Current and former Federal civilian

employees as defined in 5 U.S.C. 2105.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records maintained in this system

include:

a. Medical records, forms, and reports

completed or obtained when an

individual applies for a Federal job and

is subsequently employed;

b. Medical records, forms, and reports

completed during employment as a

condition of employment, either by the

employing agency or by another agency,

State or local government entity, or a

private sector entity under contract to

the employing agency;

c. Records and pertaining and

resulting from the testing of the

employee for use of illegal drugs under

Executive Order 12564. Such records

may be retained by the agency (e.g., by

the agency Medical Review Official) or

by a contractor laboratory. This includes

records of negative results, confirmed or

unconfirmed positive test results, and

documents related to the reasons for

testing or other aspects of test results.

d. Reports of on-the-job injuries and

medical records, forms, and reports

generated as a result of the filing of a

claim for Workers’ Compensation,

whether the claim is accepted or not.

(The official compensation claim file is

not covered by this system; rather, it is

part of the Department of Labor’s Office

of Workers’ Compensation Program

(OWCP) system of records.)

e. All other medical records, forms,

and reports created on an employee

during his/her period of employment,

including any retained on a temporary

basis (e.g., those designated to be

retained only during the period of

service with a given agency) and those

designated for long-term retention (i.e.,

those retained for the entire duration of

Federal service and for some period of

time after).

Note 2 —Records maintained by an agency

dispensary are included in this system only

when they are the result of a condition of

employment or related to an on-the-job

occurrence.

Note 3 —Records pertaining to employee

drug or alcohol abuse counseling or

treatment, and those pertaining to other

employee counseling programs conducted

under Health Service Program established

pursuant to 5 U.S.C. chapter 79, are not part

of this system of records.

Note 4 —Only Routine Use ‘‘u’’ identified

for this system of records is applicable to

records relating to drug testing under

Executive Order 12564. Further, such records

shall be disclosed only to a very limited

number of officials within the agency,

generally only to the agency Medical Review

Official (MRO), the administrator of the

agency Employee Assistance Program, and

any supervisory or management official

within the employee’s agency having

authority to take the adverse personnel action

against the employee.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Orders 12107, 12196, and

12564 and 5 U.S.C. chapters 11, 31, 33,

43, 61, 63, and 83.

PURPOSE(S):

Records in this system of records are

maintained for a variety of purposes,

which include the following:

a. To ensure that records required to

be retained on a long-term basis to meet

the mandates of law, Executive order, or

regulations (e.g., the Department of

Labor’s Occupational Safety and Health

Administration (OSHA) and OWCP

regulations), are so maintained.

b. To provide data necessary for

proper medical evaluations and

diagnoses, to ensure that proper

treatment is administered, and to

maintain continuity of medical care.

c. To provide an accurate medical

history of the total health care and

medical treatment received by the

individual as well as job and/or hazard

exposure documentation and health

monitoring in relation to health status

and claims of the individual.

d. To enable the planning for further

care of the patient.

e. To provide a record of

communications among members of the

health care team who contribute to the

patient’s care.

f. To provide a legal document

describing the health care administered

and any exposure incident.

g. To provide a method for evaluating

quality of health care rendered and jobhealth-protection including engineering

protection provided, protective

equipment worn, workplace monitoring,

and medical exam monitoring required

by OSHA or by good practice.

h. To ensure that all relevant,

necessary, accurate, and timely data are

available to support any medicallyrelated employment decisions affecting

the subject of the records (e.g., in

connection with fitness-for-duty and

disability retirement decisions).

i. To document claims filed with and

the decisions reached by the OWCP and

the individual’s possible reemployment

rights under statutes governing that

program.

j. To document employee’s reporting

of on-the-job injuries or unhealthy or

unsafe working conditions, including

the reporting of such conditions to the

OSHA and actions taken by that agency

or by the employing agency.

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24751

k. To ensure proper and accurate

operation of the agency’s employee drug

testing program under Executive Order

12564.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSE OF SUCH USES:

Note 5 —With the exception of Routine

Use ‘‘u,’’ none of the other Routine Uses

identified for this system of records are

applicable to records relating to drug testing

under Executive Order 12564. Further, such

records shall be disclosed only to a very

limited number of officials within the

agency, generally only to the agency Medical

Review Official (MRO), the administrator of

the agency Employee Assistance Program,

and the management official empowered to

recommend or take adverse action affecting

the individual.

These records and information in

these records may be used:

a. To disclose information to the

Department of Labor, Department of

Veterans Affairs, Social Security

Administration, Federal Retirement

Thrift Investment Board, or a national,

State, or local social security type

agency, when necessary to adjudicate a

claim (filed by or on behalf of the

individual) under a retirement,

insurance, or health benefit program.

b. To disclose information to a

Federal, State, or local agency to the

extent necessary to comply with laws

governing reporting of communicable

disease.

c. To disclose information to another

Federal agency, to a court, or a party in

litigation before a court or in an

administrative proceeding being

conducted by a Federal agency when

the Government is a party to the judicial

or administrative proceeding.

d. To disclose information to the

Department of Justice, or in a

proceeding before a court, adjudicative

body, other administrative body before

which the agency is authorized to

appear, when:

1. The agency, or any component

thereof; or

2. Any employee of the agency in his

or her official capacity; or

3. Any employee of the agency in his

or her individual capacity where the

Department of Justice or the agency has

agreed to represent the employee; or

4. The United States, where the

agency determines that litigation is

likely to affect the agency or any of its

components, is a party to litigation or

has an interest in such litigation, and

the use of such records by the

Department of Justice or the agency is

deemed by the agency to be relevant and

necessary to the litigation, provided,

however, that in each case it has been

determined that the disclosure is

compatible with the purpose for which

the records were collected.

e. To disclose in response to a request

for discovery or for appearance of a

witness, information that is relevant to

the subject matter involved in a pending

judicial or administrative proceeding.

f. To disclose pertinent information to

the appropriate Federal, State, or local

agency responsible for investigating,

prosecuting, enforcing, or implementing

a statute, rule, regulation, or order when

the disclosing agency becomes aware of

an indication of a violation or potential

violation of civil or criminal law or

regulation.

g. To disclose information to the

Office of Management and Budget at any

stage in the legislative coordination and

clearance process in connection with

private relief legislation as set forth in

OMB Circular No. A–19.

h. To disclose information to a

congressional office from the record of

an individual in response to an inquiry

from the congressional office made at

the request of that individual.

i. To disclose information to the Merit

System Protection Board or the Office of

the Special Counsel, the Federal Labor

Relations Authority and its General

Counsel, the Equal Employment

Opportunity Commission, arbitrators,

and hearing examiners to the extent

necessary to carry out their authorized

duties.

j. To disclose information to survey

team members from the Joint

Commission on Accreditation of

Hospitals (JCAH) when requested in

connection with an accreditation

review, but only to the extent that the

information is relevant and necessary to

meet the JCAH standards.

k. To disclose information to the

National Archives and Records

Administration in records management

inspections and its role as Archivist.

l. To disclose information to health

insurance carriers contracting with the

Office to provide a health benefits plan

under the Federal Employees Health

Benefits Program information necessary

to verify eligibility for payment of a

claim for health benefits.

m. By the agency maintaining or

responsible for generating the records to

locate individuals for health research or

survey response and in the production

of summary descriptive statistics and

analytical studies (e.g., epidemiological

studies) in support of the function for

which the records are collected and

maintained. While published statistics

and studies do not contain individual

identifiers, in some instances the

selection of elements of data included in

the study might be structured in such a

way as to make the data individually

identifiable by inference.

n. To disclose information to the

Office of Federal Employees Group Life

Insurance or Federal Retirement Thrift

Investment Board that is relevant and

necessary to adjudicate claims.

o. To disclose information, when an

individual to whom a record pertains is

mentally incompetent or under other

legal disability, to any person who is

responsible for the care of the

individual, to the extent necessary.

p. To disclose to the agencyappointed representative of an

employee, all notices, determinations,

decisions, or other written

communications issued to the

employee, in connection with an

examination ordered by the agency

under medical evaluation (formerly

Fitness for Duty) examinations

procedures.

q. To disclose to a requesting agency,

organization, or individual the home

address and other information

concerning those individuals who it is

reasonably believed might have

contracted an illness or been exposed to

or suffered from a health hazard while

employed in the Federal workforce.

r. To disclose information to a Federal

agency, in response to its request or at

the initiation of the agency maintaining

the records, in connection with the

retention of an employee, the issuance

of a security clearance, the conducting

of a suitability or security investigation

of an individual, the classifying of jobs,

the letting of a contract, or the issuance

of a license, grant, or other benefit by

the requesting agency, or the lawful,

statutory, administrative, or

investigative purpose of the agency, to

the extent that the information is

relevant and necessary to the requesting

agency’s decision on the matter.

s. To disclose to any Federal, State, or

local government agency, in response to

its request or at the initiation of the

agency maintaining the records,

information relevant and necessary to

the lawful, statutory, administrative, or

investigatory purpose of that agency as

it relates to the conduct of job related

epidemiological research or the

insurance of compliance with Federal,

State, or local government laws on

health and safety in the work

environment.

t. To disclose to officials of labor

organizations recognized under 5 U.S.C.

chapter 71, analyses using exposure or

medical records and employee exposure

records, in accordance with the records

access rules of the Department of

Labor’s OSHA, and subject to the

24752 Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices

limitations at 29 CFR

1910.20(e)(2)(iii)(B).

u. To disclose the results of a drug test

of a Federal employee pursuant to an

order of a court of competent

jurisdiction where required by the

United States Government to defend

against any challenge against any

adverse personnel action.

v. To disclose information to

contractors, grantees, or volunteers

performing or working on a contract,

service, grant, cooperative agreement or

job for the Federal Government.

w. To disclose records on former

Panama Canal Commission employees

to the Republic of Panama for use in

employment matters.

x. To disclose to a requesting agency,

organization, or individual the home

address and other relevant information

on those individuals who it reasonably

believed might have contracted an

illness or might have been exposed to or

suffered from a health hazard while

employed in the Federal workforce.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, SAFEGUARDING, AND RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored in file folders, on

microfiche, in electronic record systems,

and on file cards, x-rays, or other

medical reports and forms.

RETRIEVABILITY:

Records are retrieved by the

employee’s name, date of birth, social

security number, or any combination of

those identifiers.

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. Assistant Director for Workforce

Information, Office of Merit Systems

Oversight and Effectiveness, U. S. Office

of Personnel Management, 1900 E

Street, NW., Washington, D.C. 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,

for access to their EMF. When

submitting a request to the National

Personnel Records Center, the

individual must furnish the following

information to locate and identify the

record sought:

1. Full name.

2. Date of birth.

3. Social security number.

4. Agency name, date, and location of

last Federal service.

5. Signature.

c. Individuals requesting access must

also comply with the Office’s Privacy

Act regulations on verification of

identity and access to records (5 CFR

part 297).

Federal Register / Vol. 65, No. 82 / Thursday, April 27, 2000 / Notices 24753

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.

[FR Doc. 00–10088 Filed 4–26–00; 8:45 am]

BILLING CODE 6325–01–U