[Federal Register Volume 79, Number 58 (Wednesday, March 26, 2014)]
[Notices]
[Pages 16834-16838]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-06593]
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OFFICE OF PERSONNEL MANAGEMENT
Privacy Act of 1974: Update and Amend System of Records
AGENCY: U.S. Office of Personnel Management (OPM).
ACTION: Update and amend OPM/GOVT-5, Recruiting, Examining, and
Placement Records.
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SUMMARY: OPM proposes to update and amend OPM/GOVT-5, Recruiting,
Examining, and Placement Records contained in its inventory of record
systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended.
This action is necessary to meet the requirements of the Privacy Act to
[[Page 16835]]
publish in the Federal Register notice of the existence and character,
as well as any new use or intended new use of records maintained by the
agency. 5 U.S.C. 552a(e)(4) and (11).
DATES: These changes will become effective without further notice on
May 5, 2014, unless we receive comments that result in a contrary
determination.
ADDRESSES: Send written comments to the Director, Integrated Hiring
Solutions, Office of the Chief Information Officer, U.S. Office of
Personnel Management, 1900 E Street NW., Room 44690, Washington, DC
20415.
FOR FURTHER INFORMATION CONTACT: Paul Craven, Director, Integrated
Hiring Solutions, [email protected].
SUPPLEMENTARY INFORMATION: The Office of Personnel Management's (OPM)
system of record notices subject to the Privacy Act of 1974 (5 U.S.C.
552a), as amended, have been published in the Federal Register. The
proposed changes consist of the deletion of an OPM office from the
System Locations, and the designation of a replacement for the existing
System Manager. Both changes reflect the results of an OPM re-
organization that eliminated the position previously named as System
Manager and the office previously named in the Locations listing.
U.S. Office of Personnel Management.
Katherine Archuleta,
Director.
OPM/GOVT-5
System Name:
Recruiting, Examining, and Placement Records.
System Location:
Office of Personnel Management, 1900 E Street NW., Washington, DC
20415, OPM regional and area offices; and personnel or other designated
offices of Federal agencies that are authorized to make appointments
and to act for the Office by delegated authority.
Categories of Individuals Covered by the System:
a. Persons who have applied to the Office or agencies for Federal
employment and current and former Federal employees submitting
applications for other positions in the Federal service.
b. Applicants for Federal employment believed or found to be
unsuitable for employment on medical grounds.
Categories of Records in the System:
In general, all records in this system contain identifying
information including name, date of birth, Social Security Number, and
home address. These records pertain to assembled and unassembled
examining procedures and contain information on both competitive
examinations and on certain noncompetitive actions, such as
determinations of time-in-grade restriction waivers, waiver of
qualification requirement determinations, and variations in regulatory
requirements in individual cases.
This system includes such records as:
a. Applications for employment that contain information on work and
education, military service, convictions for offenses against the law,
military service, and indications of specialized training or receipt of
awards or honors. These records may also include copies of
correspondence between the applicant and the Office or agency.
b. Results of written exams and indications of how information in
the application was rated. These records also contain information on
the ranking of an applicant, his or her placement on a list of
eligibles, what certificates applicant's names appeared on, an agency's
request for Office approval of the agency's objection to an eligible's
qualifications and the Office's decision in the matter, an agency's
request for Office approval for the agency to pass over an eligible and
the Office's decision in the matter, and an agency's decision to
object/pass over an eligible when the agency has authority to make such
decisions under agreement with the Office.
c. Records regarding the Office's final decision on an agency's
decision to object/pass over an eligible for suitability or medical
reasons or when the objection/pass over decision applies to a
compensable preference eligible with 30 percent or more disability.
(Does not include a rating of ineligibility for employment because of a
confirmed positive test result under Executive Order 12564.)
d. Responses to and results of approved personality or similar
tests administered by the Office or agency.
e. Records relating to rating appeals filed with the Office or
agency.
f. Registration sheets, control cards, and related documents
regarding Federal employees requesting placement assistance in view of
pending or realized displacement because of reduction in force,
transfer or discontinuance of function, or reorganization.
g. Records concerning non-competitive action cases referred to the
Office for decision. These files include such records as waiver of
time-in-grade requirements, decisions on superior qualification
appointments, temporary appointments outside a register, and employee
status determinations. Authority for making decisions on many of these
actions has also been delegated to agencies. The records retained by
the Office on such actions and copies of such files retained by the
agency submitting the request to the Office, along with records that
agencies maintain as a result of the Office's delegations of
authorities, are considered part of this system of records.
h. Records retained to support Schedule A appointments of severely
physically handicapped individuals, retained both by the Office and
agencies acting under the Office delegated authorities, are part of
this system.
i. Agency applicant supply file systems (when the agency retains
applications, resumes, and other related records for hard-to-fill or
unique positions, for future consideration), along with any pre-
employment vouchers obtained in connection with an agency's processing
of an application, are included in this system.
j. Records derived from the Office-developed or agency-developed
assessment center exercises.
k. Case files related to medical suitability determinations and
appeals.
l. Records related to an applicant's examination for use of illegal
drugs under provisions of Executive Order 12564. Such records may be
retained by the agency (e.g., evidence of confirmed positive test
results) or by a contractor laboratory (e.g., the record of the testing
of an applicant, whether negative, or confirmed or unconfirmed positive
test result).
Note 1:
Only Routine Use `p' identified for this system of records is
applicable to records relating to drug testing under Executive Order
12564. Further, such records shall be disclosed only to a very limited
number of officials within the agency, generally only to the agency
Medical Review Official (MRO), the administrator of the agency Employee
Assistance Program, and any supervisory or management official within
the employee's agency having authority to take the adverse personnel
action against the employee.
Note 2:
OPM does not intend that records created by agencies in connection
with the agency's Merit Promotion Plan program be included in the term
`Applicant Supply File' as used within this notice. It is OPM's
position that
[[Page 16836]]
Merit Promotion Plan records are not a system of records within the
meaning of the Privacy Act as such records are usually filed by a
vacancy announcement number or some other key that is not a unique
personnel identifier. Agencies may choose to consider such records as
within the meaning of a system of records as used in the Privacy Act,
but if they do so, they are solely responsible for implementing Privacy
Act requirements, including establishment and notice of a system of
records pertaining to such records.
Note 3:
To the extent that an agency utilizes an automated medium in
connection with maintenance of records in this system, the automated
versions of these records are considered covered by this system of
records.
Authority for Maintenance of the System:
5 U.S.C. 1302, 3109, 3301, 3302, 3304, 3305, 3306, 3307, 309, 3313,
3317, 3318, 3319, 3326, 4103, 4723, 5532, and 5533, and Executive Order
9397.
Purpose(s):
The records are used in considering individuals who have applied
for positions in the Federal service by making determinations of
qualifications including medical qualifications, for positions applied
for, and to rate and rank applicants applying for the same or similar
positions. They are also used to refer candidates to Federal agencies
for employment consideration, including appointment, transfer,
reinstatement, reassignment, or promotion. Records derived from the
Office-developed or agency-developed assessment center exercises may be
used to determine training needs of participants. These records may
also be used to locate individuals for personnel research.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purpose of Such Uses:
Note 4:
With the exception of Routine Use `p,' none of the Other Routine
Uses identified for this system of records are applicable to records
relating to drug testing under Executive Order 12564. Further, such
records shall be disclosed only to a very limited number of officials
within that agency, generally only to the agency Medical Review Officer
(MRO), the administrator of the agency's Employee Assistance Program,
and the management official empowered to recommend or take adverse
action affecting the individual.
a. To refer applicants, including current and former Federal
employees to Federal agencies for consideration for employment,
transfer, reassignment, reinstatement, or promotion.
b. With the permission of the applicant, to refer applicants to
State and local governments, congressional offices, international
organizations, and other public offices for employment consideration.
c. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, when
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
d. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purposes of the request, and to
identify the type of information requested), when necessary to obtain
information relevant to an agency decision concerning hiring or
retaining an employee, issuing a security clearance, conducting a
security or suitability investigation of an individual, classifying
positions, letting a contract, or issuing a license, grant or other
benefit.
e. To disclose information to a Federal agency, in response to its
request, in connection with hiring or retaining an employee, issuing a
security clearance, conducting a security or suitability investigation
of an individual, classifying positions, letting a contract, or issuing
a license, grant, or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to the requesting
agency's decision in the matter.
f. To disclose information to the Office of Management and Budget
at any stage in the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB Circular
No. A-19.
g. To provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office made at the request of that individual.
h. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Government is
a party to a judicial or administrative proceeding.
i. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the agency is authorized to appear, when:
1. The agency, or any component thereof; or
2. Any employee of the agency in his or her official capacity; or
3. Any employee of the agency in his or her individual capacity
where the Department of Justice or the agency has agreed to represent
the employee; or
4. The United States, when the agency determines that litigation is
likely to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or the agency is deemed by the
agency to be relevant and necessary to the litigation, provided,
however, that in each case it has been determined that the disclosure
is compatible with the purpose for which the records were collected.
j. By the National Archives and Records Administration in records
management inspections and its role as Archivist.
k. By the agency maintaining the records or by the Office to locate
individuals for personnel research or survey response or in producing
summary descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related workforce studies. While published statistics and studies do
not contain individual identifiers, in some instances the selection of
elements of data included in the study may be structured in such a way
as to make the data individually identifiable by inference.
l. To disclose information to the Merit Systems Protection Board or
the Office of the Special Counsel in connection with appeals, special
studies of the civil service and other merit systems, review of Office
rules and rules and regulations, investigations of alleged or possible
prohibited personnel practices, and such other functions; e.g., as
prescribed in 5 U.S.C. chapter 12, or as may be authorized by law.
m. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, compliance by
Federal agencies with the Uniform Guidelines or Employee Selection
Procedures, or other functions vested in the Commission.
n. To disclose information to the Federal Labor Relations Authority
or its General Counsel when requested in connection with investigations
of allegations of unfair labor practices or
[[Page 16837]]
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:
Director, Integrated Hiring Solutions, Office of the Chief
Information Officer, U.S. Office of Personnel Management, 1900 E Street
NW., Room 44690, Washington, DC 20415.
Notification Procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the agency or OPM where
application was made or examination was taken. Individuals must provide
the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Social Security Number.
d. Identification number (if known).
e. Approximate date of record.
f. Title of examination or announcement with which concerned.
g. Geographic area in which consideration was requested.
Record Access Procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. (c)(3) and (d), regarding access to records.
The section of this notice titled ``Systems Exempted from Certain
Provisions of the Act'' indicates the kind of material exempted and the
reasons for exempting them from access. Individuals wishing to request
access to their non-exempt records should contact the agency or the OPM
where application was made or examination was taken. Individuals must
provide the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Social Security Number.
d. Identification number (if known).
e. Approximate date of record.
f. Title of examination or announcement with which concerned.
g. Geographic area in which consideration was requested.
Individuals requesting access must also comply with the OPM's
Privacy Act regulations on verification of identity and access to
records (5 CFR part 297).
Contesting Record Procedure:
Specific materials in this system have been exempted from Privacy
Act provisions at 5 U.S.C. 552a(d), regarding amendment of records. The
section of this notice titled `Systems Exempted from Certain Provisions
of the Act' indicates the kinds of material exempted and the reasons
for exempting them from amendment. An individual may contact the agency
or the Office where the application is filed at any time to update
qualifications, education, experience, or other data maintained in the
system.
Such regular administrative updating of records should not be
requested under the provisions of the Privacy Act. However, individuals
wishing to request amendment of other records under the provisions of
the Privacy Act should contact the agency or the OPM where the
application was made or the examination was taken. Individuals must
provide the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Social Security Number.
d. Identification number (if known).
e. Approximate date of record.
f. Title of examination or announcement with which concerned.
g. Geographic area in which consideration was requested.
Individuals requesting amendment must also comply with the OPM's
Privacy Act regulations on verification of identity and amendment of
records (5 CFR part 297).
Note 5:
In responding to an inquiry or a request for access or amendment,
resource specialists may contact the OPM's area office that provides
examining and rating assistance for help in processing the request.
Record Source Categories:
Information in this system of records comes from the individual to
whom it applies or is derived from information the individual supplied,
reports from medical personnel on physical qualifications, results of
examinations that are made known to applicants, agencies, and OPM
records, and vouchers supplied by references or other sources that the
applicant lists or that are developed.
Systems Exempted from Certain Provisions of the Act:
This system contains investigative materials that are used solely
to
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determine the appropriateness of a request for approval of an objection
to an eligible's qualifications for Federal civilian employment or
vouchers received during the processing of an application. The Privacy
Act, at 5 U.S.C. 552a(k)(5), permits an agency to exempt such
investigative material from certain provisions of the Act, to the
extent that release of the material to the individual whom the
information is about would--
a. Reveal the identity of a source who furnished information to the
Government under an express promise (granted on or after September 27,
1975) that the identity of the source would be held in confidence; or
b. Reveal the identity of a source who, prior to September 27,
1975, furnished information to the Government under an implied promise
that the identity of the source would be held in confidence.
This system contains testing and examination materials used solely
to determine individual qualifications for appointment or promotion in
the Federal service. The Privacy Act, at 5 U.S.C. 552a(k)(6), permits
an agency to exempt all such testing or examination material and
information from certain provisions of the Act, when disclosure of the
material would compromise the objectivity or fairness of the testing or
examination process. OPM has claimed exemptions from the requirements
of 5 U.S.C. 552a(d), which relate to access to and amendment of
records.
The specific material exempted include, but are not limited to, the
following
a. Answer keys.
b. Assessment center exercises.
c. Assessment center exercise reports.
d. Assessor guidance material.
e. Assessment center observation reports.
f. Assessment center summary reports.
g. Other applicant appraisal methods, such as performance tests,
work samples and simulations, miniature training and evaluation
exercises, structured interviews, and their associated evaluation
guides and reports.
h. Item analyses and similar data that contain test keys and item
response data.
i. Ratings given for validating examinations.
j. Rating schedules, including crediting plans and scoring formulas
for other selection procedures.
k. Rating sheets.
l. Test booklets, including the written instructions for their
preparation and automated versions of tests and related selection
materials and their complete documentation.
m. Test item files.
n. Test answer sheets.
[FR Doc. 2014-06593 Filed 3-25-14; 8:45 am]
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