General Personnel Records (December 11, 2012, 77 FR 79694)
Records on current Federal employees are located within the
Records maintained in paper may also be located at OPM or with
personnel officers, or at other designated offices of local
installations of the department or agency that 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. Some agencies have employed the Enterprise Human Resource
Integration (EHRI) data system to store their records electronically.
Although stored in EHRI, agencies are still responsible for the
maintenance of their records.
Former Federal employees' paper Official Personnel Folders (OPFs)
are located at the National Personnel Records Center, National Archives
and Records Administration (NARA), 111 Winnebago Street, St. Louis,
Missouri 63118. Former Federal employees' electronic Official Personnel
Folders (eOPF) are located in the EHRI data system that is administered
Note 1--The records in this system are records of the OPM and must
be provided to those OPM employees who have an official need or use for
those records. Therefore, if an employing agency is asked by an OPM
employee to access the records within this system, such a request must
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'' and OPM's ``Guide to Data
Standards.'' Records in this system include:
- Records reflecting work experience, education level achieved,
and specialized education or training obtained outside of Federal
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, OPM approval of disability retirement applications,
retirement, and removals.
- Records on participation in the Federal Employees' Group Life
Insurance Program and Federal Employees Health Benefits Program.
- 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.
- Records relating to participation in an agency Federal Executive
or Senior Executive Service (SES) Candidate Development Program.
Note 3--Some of these records may also become part of the OPM/
Central-10 Federal Executive Institute Program Participant Records and
OPM/CENTRAL-13 Executive Personnel Records systems.
- Records relating to Government-sponsored 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).
- Records contained in the Enterprise Human Resource Integration
(EHRI) and 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 disability, race/ethnicity, national origin,
pay, and performance information from other OPM and agency systems of
records. A definitive list of EHRI and CPDF data elements is contained
in OPM's Operating Manuals, The Guide to Central Personnel Data File
Reporting Requirements and The Guide to Personnel Data Standards.
- Records on the 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.
- 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
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.
- 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 remote field/administrative offices 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.
- Records relating to designations for lump sum death benefits.
- Records relating to classified information nondisclosure
- Records relating to the Thrift Savings Plan (TSP) concerning the
starting, changing, or stopping of contributions to the TSP as well as
how the individual wants the investments to be made in the various TSP
Note 6--CPDF and EHRI data system's Central Employee Record (CER)
are part of OPM/GOVT-1 system of records. CPDF and CER are highly
reliable sources of statistical data on the workforce of the Federal
government. However, the accuracy and completeness of each data element
within the individual records that comprise the aggregate files are not
guaranteed, and should not be used as the sole tool or as a substitute
for the OPF in making personnel determinations or decisions concerning
Note 7--The eOPF Application within EHRI may contain documents and
information beyond the scope and requirements of the OPF as documented
in OPM's Guide to Personnel Recordkeeping. Those documents and
information in the eOPF Application that are beyond the scope of the
documented requirements are not considered part of the OPF or OPM/GOVT-
- Records maintained in accordance with E.O. 13490, section 4(e),
January 21, 2009. These records include the ethics pledges and all
pledge waiver certifications with respect thereto.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302, 2951, 3301, 3372, 4118, 8347, and Executive Orders
9397, as amended by 13478, 9830, and 12107.
The OPF, which may exist in various approved media, and other
general personnel records files, is the official repository of the
records, reports of personnel actions, and the documentation required
in connection with these actions affected during an employee's Federal
service. The personnel action reports and other documents, some of which are filed 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 agencies in
accordance with OPM 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 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—
- 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.
- To disclose information to education institutions on appointment
of a recent graduate to a position in the Federal service, and to
provide college and university officials with information about their
students working in the Student Career Experience Program, Volunteer
Service, or other similar programs necessary to a student's obtaining
credit for the experience gained.
- To disclose information to officials of foreign governments for
clearance before a Federal employee is assigned to that country.
- 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 OPM or an agency cited
above, or to an agency to conduct an analytical study or audit of
benefits being paid under such programs.
- To disclose information necessary to the Office of Federal
Employees Group Life Insurance to verify election, declination, waiver
of regular and/or optional life insurance coverage, or eligibility for
payment of a claim for life insurance, or to TSP to verify election
change and designation of beneficiary.
- To disclose, to health insurance carriers contracting with OPM
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
- 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.
- 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.
- 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.
- 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.
Note 8--Home addresses will be released from this system only when
there are no adequate, alternative sources available for this
- 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.
- 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.
Note 9--When copies of records become part of an investigative
process, those copies become subject to that systems' notice covering
the investigative process i.e., if during an investigation, the OPM
Federal Investigative Services Division makes copies of records
contained in an Official Personnel Folder; those documents become part
of OPM Central--9 Personnel Investigation Records system of records and
are subject to that systems' routine uses.
- 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 or determination concerning eligibility to hold a sensitive
position, the conducting of an investigation for purposes of a
credentialing, national security, fitness, or suitability adjudication
concerning an individual, the classifying or designation of jobs, the
letting of a contract, 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
- 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
- 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.
- 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.
- 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:
- The agency, or any component thereof; or
- Any employee of the agency in his or her official capacity; or
- 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
- 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.
- By the National Archives and Records Administration in records
management inspections and its role as Archivist.
- By the agency maintaining the records or by the OPM 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.
- 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.
- When an individual to whom a record pertains is mentally
incompetent or under other legal disability, to provide information in
the individual's record 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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
OPM 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.
- 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.
- 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.
- To disclose to prospective non-Federal employers, the following
information about a specifically identified current or former Federal
- Tenure of employment;
- Civil service status;
- Length of service in the agency and the Government; and
- When separated, the date and nature of action as shown on the
Notification of Personnel Action--Standard Form 50 (or authorized
- 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 to obtain accreditation or other approval rating,
or to avoid any adverse publicity that may result from public criticism
of the facility's failure to obtain such approval). Disclosure is to be
made only to the extent that the information disclosed is relevant and
necessary for that purpose.
- To disclose information to any member of an agency's
Performance Review Board, Executive Resources 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 or distinguished executive ranks, or removal,
reduction-in-grade, or other personnel actions based on performance.
- 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 be used only 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).
- To disclose relevant information with personal identifiers of
Federal civilian employees whose records are contained in the EHRI 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.
- 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, 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.
- To disclose information to contractors, grantees, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, or job for the Federal Government.
- 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.
- 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
- 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, or Federal
Offset System for use in locating individuals, verifying social
security numbers, or identifying their incomes sources to establish
paternity, establish, or modify orders of support and for enforcement
- To disclose records on former Panama Canal Commission employees
to the Republic of Panama for use in employment matters.
- To disclose to appropriate Federal officials pertinent
workforce information for use in national or homeland security
- To disclose on public and internally-accessible Federal
Government Web sites, and to otherwise disclose to any person,
including other departments and agencies, the signed ethics pledges and
pledge waiver certifications issued under E.O. 13490 of January 21,
2009, Ethics Commitments by Executive Branch Personnel.
- To disclose foreign language proficiencies to Federal agencies
in support of the National Preparedness Goal and the Presidential
Policy Directive 8 (PPD-8).
- To disclose information to the Centers for Medicare and
Medicaid (CMS) to assist in determining whether individuals are
eligible for programs under the Patient Protection and Affordable Care
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
These records are maintained in file folders, on lists and forms,
microfilm or microfiche, and in computer processable storage media such
as personnel system databases, PDF forms and data warehouse systems.
These records are retrieved by various combinations of name,
agency, birth date, social security number, or identification number of
the individual on whom they are maintained.
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 user logins and passwords, access
codes, and entry logs, to those whose official duties require access.
Computerized records systems are consistent with the requirements of
the Federal Information Security Management Act (Pub. L. 107-296), and
associated OMB policies, standards and guidance from the National
Institute of Standards and Technology.
RETENTION AND DISPOSAL:
The OPF is maintained for the period of the employee's service in
the agency and is then, if in a paper format, transferred to the
National Personnel Records Center for storage or, as appropriate, to
the next employing Federal agency. If the OPF is maintained in an
electronic format, the transfer and storage is in accordance with the
OPM approved electronic system. 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.
The transfer occurs within 90 days of the individuals' separation. In
the case of administrative need, a retired employee, or an employee who
dies in service, the OPF is sent within 120 days. Destruction of the
OPF is in accordance with General Records Schedule-1 (GRS-1) or GRS 20.
Records contained within the CPDF and EHRI (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 or GRS 20, such records should not be used in
making decisions concerning employees.
SYSTEM MANAGER(S) AND ADDRESS:
- Manager, OCIO/RM, U.S. Office of Personnel Management, 1900 E
Street NW., Washington, DC 20415.
- 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.
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate OPM 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
- Former Federal employees who want access to their Official
Personnel Folders (OPF) 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:
- Full name.
- Date of birth.
- Social security number.
- Last employing agency (including duty station) and approximate
date(s) of the employment (for former Federal employees).
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:
- Full name.
- Date of birth.
- Social security number.
- Last employing agency (including duty station) and approximate date(s) of the employment (for former Federal employees).
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.
- Full name.
- Date of birth.
- Social security number.
- Last employing agency (including duty station) and approximate date(s) of the employment (for former Federal employees).
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--
- The individual on whom the record is maintained.
- Educational institutions.
- Agency officials and other individuals or entities.
- Other sources of information maintained in an employee's OPF, in accordance with Code of Federal Regulations part 293, and OPM's Operating Manual, "The Guide to Personnel Recordkeeping."
EXEMPTIONS CLAIMED FOR THE SYSTEM:
FEDERAL REGISTER HISTORY: