OPM/GOVT-1 SYSTEMS
LISTING
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
The use of the
phrase “long-term” to describe those records filed on the right-hand-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 left-hand-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 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:
Note
2 --Some of these records may also become part of the OPM/CENTRAL-5, Intergovernmental Personnel Act Assignment Record
system.
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.
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.
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.
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 system, including categories of users and the
purposes of such uses:
These records
and information in these records may be used:
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 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 non-Federal
employers, the following information about a specifically identified current or
former Federal employee:
1.
Tenure
of employment;
2.
Civil
service status;
3.
Length
of service in the agency and the Government; and
4.
When
separated, the date and nature of action as shown on the Notification of
Personnel Action--Standard Form 50 (or authorized exception).
ee.
To
disclose information on employees of Federal health care facilities to private
sector (i.e., other than Federal, State, or local government) agencies, boards,
or commissions (e.g., the Joint Commission on Accreditation of Hospitals). Such
disclosures will be made only when the disclosing agency determines that it is
in the Government's best interest (e.g., to comply with law, rule, or
regulation, to assist in the recruiting of staff in the community where the
facility operates 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 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 aternity, establish and modify
orders of support and for enforcement action.
nn. To disclose records on former Panama
Canal Commission employees to the
Policies
and practices for storing, retrieving, accessing, 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
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
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(es):
Notification
procedureS:
Individuals
wishing to inquire whether this system of records contains information about
them should contact the appropriate Office or employing agency office, as
follows:
Individuals must
furnish the following information for their records to be located and
identified:
Record
access procedures:
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:
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 procedures:
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.
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: