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