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Routine Uses of Records of Adverse Actions, Performance Based Reduction in Grade Actions, Performance Based Removal Actions and Termination of Probationers
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The Office of Personnel Management Manages Eight Government-Wide Systems of Records: OPM/GOVT-1, OPM/GOVT-2, OPM/GOVT-3, OPM/GOVT-4, OPM/GOVT-5, OPM/GOVT-6, OPM/GOVT-7 and OPM/GOVT-8.  The most recent update to the OPM System of Records was proposed in the Federal Register Notice dated: June 19, 2006  (Volume 71, Number 117) and became final on on July 31, 2006.
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OPM/GOVT-3 SYSTEM OF RECORDS covers:
      • Records of Adverse Actions, 
      • Records of Performance Based Reductions in Grade, 
      • Records of Performance Based Removal Actions, and 
      • Records of Termination of Probationers 
 
BEGINNING OF EXCERPT
-- The Following Excerpt Specifies Routine Uses of OPM/GOVT 3 RECORDS --

OPM/GOVT-3 

System name: 
Records of Adverse Actions, Performance Based Reduction in Grade and Removal Actions, and Termination of Probationers (June 19, 2006, 71 FR 35350. 

System location: 
These records are located in personnel or designated offices in Federal agencies in which the actions were processed. 

Categories of individuals covered by the system: 

Current or former Federal employees (including Senior Executive Service (SES) employees) against whom such an action has been proposed or taken in accordance with 5 CFR parts 315 (subparts H and I), 432, 752, or 754 of the Office's regulations. 

Categories of records in the system: 
This system contains records and documents on: (1) The processing of adverse actions, performance based reduction in grade and removal actions, and (2) the termination of employees serving initial appointment probation and return to their former grade of employees serving supervisory or managerial probation. The records include, as appropriate, copies of the notice of proposed action, materials relied on by the agency to support the reasons in the notice, replies by the employee, statements of witness, hearing notices, reports, and agency decisions. 

Note: This system does not include records, including the action file itself, compiled when such actions are appealed to the Merit Systems Protection Board (MSPB) or become part of a discrimination complaint record at the Equal Employment Opportunity Commission (EEOC). Such appeal and discrimination complaint file records are covered by the appropriate MSPB or EEOC system of records. 

Authority for maintenance of the system: 
5 U.S.C. 3321, 4303, 7504, 7514, and 7543. 

Purpose(s) : 
These records result from the proposal, processing, and documentation of these actions taken either by the Office or by agencies against employees in accordance with 5 CFR parts 315 (subparts H and I), 432, 752, or 754 of the Office's regulations. 

[ Routine Uses of Records ]

Routine uses of records maintained in the system, including categories of users and the purposes of such uses: 

a. To provide 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 work conditions. 

b. 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. 

c. To disclose information to any source from which additional information is requested for processing any of the covered actions or in regard to any appeal or administrative review procedure, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested. 

d. 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, or classifying jobs, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter. 

e. 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. 

f. 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. 

g. 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. 

h. By the National Archives and Records Administration in records management inspections and its role as Archivist. 

i. By the agency maintaining the records or the Office to locate individuals for personnel research or survey response and 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. 

j. 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. 

k. 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, investigations of alleged or possible prohibited personnel practices, and such other functions, as promulgated in 5 U.S.C. 1205 and 1206, and as specified in 5 U.S.C. 7503(c) and 5 U.S.C. 7513(e), or as may be authorized by law. 

l. To disclose information to the EEOC 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 on Employee Selection Procedures, or other functions vested in the Commission. 

m. 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. 

n. To provide an official of another Federal agency information he or she needs to know in the performance of his or her official duties or reconciling or reconstructing data files, in support of the functions for which the records were collected and maintained. 

o. To disclose information to the Department of Labor, Department of Veterans Administration, 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 Office or an agency to conduct an analytical study or audit of benefits being paid under such programs. 

p. To disclose to contractors, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Federal Government. 


 

END OF EXCERPT

END  of Excerpt ---- Routine Uses of Records of Adverse Actions, Performance Based Reduction in Grade Actions, Performance Based Removal Actions and Termination of Probationers
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NOTE:  The "OPM/GOVT-3" SYSTEM OF RECORDS was most recently updated via Federal Register Notice dated: June 19, 2006 (Volume 71, Number 117)   [TEXT] ... [PDF]

 

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