Home > 1995 Privacy Act Documents > Privacy Act: [OPM/CENTRAL-9] Personnel Investigations Records....

Privacy Act: [OPM/CENTRAL-9] Personnel Investigations Records....


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<DOC>
[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]


[Page 42569-42570]



   #.PERSONNEL MANAGEMENT OFFICE


   #..OPM Systems of Records

       OPM/Internal-2 Negotiated Grievance Procedure Records.
       OPM/Internal-3 Security Officer Control Files.
       OPM/Internal-4 Health Program Records.
       OPM/Internal-5 Pay, Leave, and Travel Records.
       OPM/Internal-6 Appeal and Administrative Review Records.
       OPM/Internal-7 Complaints and Inquiries Records.
       OPM/Internal-8 Employee Counseling Services Program Records.
       OPM/Internal-9 Employee Locator Card Files.
       OPM/Internal-10 Motor Vehicle Operator and Accident Report 
   Records.
       OPM/Internal-11 Administrative Grievance Records.
       OPM/Internal-12 Telephone Call Detail Records.
       OPM/Internal-13 Parking Program Records.
       OPM/Internal-14 Photo Identification and Visitor Access Control 
   Records
       OPM/Internal-15 OPM Child Care Tuition Assistance Records.
       OPM/Internal-16 Adjudications Officer Control Files.
       OPM/Central-1 Civil Service Retirement and Insurance Records.
       OPM/Central-2 Complaints and Inquiries Records.
       OPM/Central-3 [Reserved]
       OPM/Central-4 Inspector General Investigations Case Files.
       OPM/Central-5 Intergovernmental Personnel Act Assignment Records.
       OPM/Central-6 Administrative Law Judge Application Records.
       OPM/Central-7 Litigation and Claims Records.
       OPM/Central-8 Privacy Act/Freedom of Information Act (PA/FOIA) 
   Case Records.
       OPM/Central-9 Personnel Investigations Records.
       OPM/Central-10 Federal Executive Institute Program Participant 
   Records.
       OPM/Central-11 Presidential Management Intern (PMI) Program 
   Records.
       OPM/Central-12 [Reserved]
       OPM/Central-13 Executive Personnel Records.
       OPM/Central-14 Debarment of Suspension Records for Federal 
   Employees Health Benefits Program (FEHPB).
       OPM/GOVT-1 General Personnel Records.
       OPM/GOVT-2 Employee Performance File System Records.
       OPM/GOVT-3 Records of Adverse Actions, Performance Based 
   Reduction in Grade and Removal Actions, and Termination of 
   Probationers.
       OPM/GOVT-4 [Reserved].
       OPM/GOVT-5 Recruiting, Examining and Placement Records.
       OPM/GOVT-6 Personnel Research and Test Validation Records.
       OPM/GOVT-7 Applicant Race, Sex, National Origin, and Disability 
   Status Records.
       OPM/GOVT-8 [Reserved].
       OPM/GOVT-9 File on Position Classification Appeals, Job Grading 
   Appeals, Retained Grade or Pay Appeals, and Fair Labor Standard Act 
   (FLSA) Claims and Complaints.
       OPM/GOVT-10 Employee Medical File System Records.

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

       Certain established routine uses have been found to be applicable 
   to the majority of OPM's Internal and Central systems of records. 
   These repetitive routine uses will be published in their entirety 
   once, in this Prefatory Statement. Each Internal and Central system 
   notice will note which of these routine uses are applicable to that 
   notice, and will also include the full text of any routine uses 
   unique to that system of records.
       1. For Law Enforcement Purposes--To disclose pertinent 
   information to the appropriate Federal, State, or local agency 
   responsible for investigating, prosecuting, enforcing, or 
   implementing a statute, rule, regulation, or order, where OPM becomes 
   aware of an indication of a violation or potential violation of civil 
   or criminal law or regulation.
       2. For Certain Disclosures to Other Federal Agencies--To disclose 
   information to a Federal agency, in response to its request in 
   connection with the hiring or retention of an employee, the issuance 
   of a security clearance, the conducting of a suitability or security 
   investigation of an individual, the classifying of jobs, the letting 
   of a contract, or the issuance of a license, grant, or other benefit 
   by the requesting agency, to the extent that the information is 
   relevant and necessary to the requesting agency's decision on the 
   matter.
       3. For Congressional Inquiry--To provide information to a 
   congressional office from the record of an individual in response to 
   an inquiry from that congressional office made at the request of that 
   individual.
       4. For Judicial/Administrative Proceedings--To disclose 
   information to another Federal agency, to a court, or a party in 
   litigation before a court or in an administrative proceeding being 
   conducted by a Federal agency, when the Government is a party to the 
   judicial or administrative proceeding. In those cases where the 
   Government is not a party to the proceeding, records may be disclosed 
   if a subpoena has been signed by a judge.
       5. For National Archives and Records Administration--To disclose 
   information to the National Archives and Records Administration for 
   use in records management inspections.
       6. Within OPM for Statistical/Analytical Studies--By OPM in the 
   production of summary descriptive statistics and analytical studies 
   in support of the function for which the records are collected and 
   maintained, or for related workforce studies. While published studies 
   do not contain individual identifiers, in some instances the 
   selection of elements of data included in the study may be structured 
   in such a way as to make the data individually identifiable by 
   inference.
       7. For Litigation--To disclose information to the Department of 
   Justice, or in a proceeding before a court, adjudicative body, or 
   other administrative body before which OPM is authorized to appear, 
   when:
       (1) OPM, or any component thereof; or
       (2) Any employee of OPM in his or her official capacity; or
       (3) Any employee of OPM in his or her individual capacity where 
   the Department of Justice or OPM has agreed to represent the 
   employee; or
       (4) The United States, when OPM determines that litigation is 
   likely to affect OPM or any of its components; is a party to 
   litigation or has an interest in such litigation, and the use of such 
   records by the Department of Justice or OPM is deemed by OPM to be 
   relevant and necessary to the litigation provided, however, that the 
   disclosure is compatible with the purpose for which records were 
   collected.
       8. For the Merit Systems Protection Board--To disclose 
   information to officials of the Merit Systems Protection Board or the 
   Office of the Special Counsel, when requested in connection with 
   appeals, special studies of the civil service and other merit 
   systems, review of OPM rules and regulations, investigations of 
   alleged or possible prohibited personnel practices, and such other 
   functions, e.g., as promulgated in 5 U.S.C. 1205 and 1206, or as may 
   be authorized by law.
       9. For the Equal Employment Opportunity Commission--To disclose 
   information to the Equal Employment Opportunity Commission when 
   requested in connection with investigations into alleged or possible 
   discrimination practices in the Federal sector, compliance by Federal 
   agencies with the Uniform Guidelines on Employee Selection Procedures 
   or other functions vested in the Commission and to otherwise ensure 
   compliance with the provisions of 5 U.S.C. 7201.
       10. For the Federal Labor Relations Authority--To disclose 
   information to the Federal Labor Relations Authority or its General 
   Counsel when requested in connection with investigations of 
   allegations of unfair labor practices or matters before the Federal 
   Service Impasses Panel.
       11. For Non-Federal Personnel--To disclose information to 
   contractors, grantees, or volunteers performing or working on a 
   contract, service, grant, cooperative agreement, or job for the 
   Federal Government.

   #..OPM/INTERNAL-2

   #....System name: Negotiated Grievance Procedure Records.

     System location: 
       Office of Human Resources and EEO, Office of Personnel 
   Management, 1900 E Street NW, Washington, DC 20415-0001.
     Categories of individuals covered by the system: 
       Current and former Office employees who have filed grievances 
   under a negotiated grievance procedure.
     Categories of records in the system: 
       This system contains a variety of records relating to an 
   employee's grievance filed under procedures established by labor-
   management negotiations. The records may include information such as: 
   Employee's name, Social Security number, grade, job title, employment 
   history, arbitrator's decision or report, record of appeal to the 
   Federal Labor Relations Authority, and a variety of employment and 
   personnel records associated with the grievance.
     Authority for maintenance of the system: Includes the following 
   with any revisions or amendments:
       5 U.S.C. 7121.
   Purpose(s):
       These records are used to process an employee's grievance filed 
   under a negotiated grievance procedure.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Routine uses 1 through 11 of the Prefatory Sttement at the 
   beginning of OPM's system notices apply to the records maintained 
   within this system. The rroutine uses listed below are specific to 
   this system of records only.
       a. By the Department of Labor in carrying out its functions 
   regarding labor-management relations in the Federal service.
       b. To disclose information to officials of labor organizations 
   recognized under 5 U.S.C. Chapter 71 when relevant and necessary to 
   their duties of exclusive representation concerning personnel 
   policies, practices, and matters affecting working conditions.
       c. To disclose information to any source from which additional 
   information is requested in the course of resolving a grievance, to 
   the extent necessary to identify the individual, inform the source of 
   the purpose(s) of the request, and to identify the type of 
   information requested.
     Policies and practices of storing, retrieving, retaining and 
   disposing of records in the system: 
     Storage: 
       These records are maintained in file folders.
     Retrievability: 
       These records are retrieved by the names of the individuals on 
   whom they are maintained.
     Safeguards: 
       These records are located in lockable metal filing cabinets to 
   which only authorized personnel have access.
     Retention and disposal: 
       These records are disposed of three years after the close of the 
   fiscal year in which a final decision was issued. Disposal is by 
   shredding or burning.
     System manager(s) and address:
       Director, Office of Human Resources and EEO, Office of Personnel 
   Management, 1900 E Street NW, Washington, DC 20415.
     Notification procedure: 
       Individuals who file a grievance under a negotiated procedure are 
   aware of that fact and have been provided access to the record. They 
   may, however, contact the indicated system manager regarding the 
   existence of such records about them. Individuals must furnish the 
   following information for their records to be located and identified:
       a. Full name.
       b. Date of birth.
       c. Approximate date of closing of the grievance.
       d. Organizational component involved.
     Record access procedure:
       Individuals who file a grievance under a negotiated grievance 
   procedure are aware of that fact and have been provided access to the 
   record. However, after the grievance has been closed, an individual 
   may request access to the official copy of the grievance record by 
   writing the indicated system manager. Individuals must furnish the 
   following information for their records to be located and identified:
       a. Full name.
       b. Date of birth.
       c. Approximate date of closing of the grievance.
       d. Organizational component involved.
       Individuals requesting access must also follow OPM's Privacy Act 
   regulations regarding verification of identity and access to records 
   (5 CFR part 297).
     Contesting record procedure:
       Review of requests from individuals seeking amendment of their 
   records which have previously been or could have been the subject of 
   an administrative, judicial, or quasi-judicial action will be limited 
   in scope. Review of amendment requests of these records will be 
   restricted to determining if the record accurately documents the 
   action of the agency or administrative body ruling on the case and 
   will not include a review of the merits of the action, determination, 
   or finding. Individuals wishing to request amendment of their records 
   to correct factual errors should contact the appropriate system 
   manager or OPM regional office indicated in the Notification 
   Procedure section. Individuals must furnish the following information 
   for their records to be located and identified:
       a. Full name.
       b. Date of birth.
       c. Approximate date of closing of the grievance.
       d. Organizational component involved.
       Individuals wishing to request amendment of their records to 
   correct factual errors should contact the indicated system manager. 
   Individuals must furnish the following information for their records 
   to be located and identified:
     Record source categories: 
       Information in this system of records is obtained from:
       a. The individual on whom the record is maintained.
       b. Testimony of witnesses.
       c. Union officials.
       d. Office of Personnel Management officials.
       e. Department of Labor, Federal Labor Relations Authority, or 
   arbitration officials involved in the grievance.

   #..OPM/INTERNAL-3

   #....System name: 

       Security Officer Control Files.
     System location: 
       U.S. Office of Personnel Management, Office of Contracting and 
   Administrative Services, 1900 E Street NW., Washington, DC 20415-7100
     Categories of individuals covered by the system: 
       This system contains records on active, inactive and pending OPM 
   employees and contractors.
     Categories of records in the system: 
       The records in the system contain date of birth; social security 
   number; classification as to position sensitivity; types and dates of 
   investigations; investigative reports, including those from Federal 
   law enforcement agencies, Department of Defense and internal 
   inquiries; dates and levels of clearances; names of agencies and the 
   reasons why they were provided clearance information on OPM employees 
   and contractors.
     Authority for maintenance of the system:
       Includes the following with any revisions or amendments:
       Executive Orders 10450 and 12958.
   Purpose(s): 
       These records are used exclusively by OPM Security Officers and 
   the employees of other security offices to assist them in controlling 
   position sensitivity and personnel clearances.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Routine uses 1, 3, 5 and 6, of the Prefatory Statement at the 
   beginning of OPM's system notices (60 FR 63075, effective January 17, 
   1996) apply to the records maintained within the system. The routine 
   uses listed below are specific to this system of records only.
       a. To disclose information to an agency in the executive, 
   legislative, or judicial branch, or the District of Columbia 
   Government, in response to its request related to issuing a security 

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