Federal personnel manual system

MISSING IMAGE

Material Information

Title:
Federal personnel manual system
Portion of title:
FPM letter
Physical Description:
Book
Language:
English
Creator:
United States Civil Service Commission
United States -- Office of Personnel Management
Publisher:
United States Civil Service Commission
Place of Publication:
Washington, D.C
Frequency:
irregular
completely irregular

Subjects

Subjects / Keywords:
Personnel management -- Handbooks, manuals, etc -- United States   ( nal )
Civil service -- Handbooks, manuals, etc -- United States   ( lcsh )
Personnel management -- Handbooks, manuals, etc -- United States   ( lcsh )
Genre:
federal government publication   ( marcgt )
periodical   ( marcgt )

Notes

Issuing Body:
Vols for 1979- issued by: Office of Personnel Management.
General Note:
Description based on: 410-19 (Aug. 22, 1977); title from caption.
General Note:
Latest issue consutled: 292-23 (No. 3, 1983); title from caption.

Record Information

Source Institution:
University of Florida
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
aleph - 021549616
oclc - 06727309
lccn - 2009238041
System ID:
AA00012996:00037


This item is only available as the following downloads:


Full Text
PM I.Ij/dQ 1 e+ .7 qso -

Office of Personnel Management FPM Letter 720-4

Federal Personnel Manual System Published in advance
FPM LetterC of incorporation in FPM

SUBLWCT: Collection of Racial and Ethnic Iden on Ch. 720
on Applicants M. EAIN UNTIL SURSEDED

ii i 21 Washington, D. C. 20415
January 15, 1980
Heads of Departments and Independent Establish I

& DEPOW

1. Since September 25, 1978, the Uniform Guidelines on Employee Selection Procedures
have required Federal agencies to assess the impact of personnel selection deci-
sions on applicants from various race and ethnic groups. To do this, a system
is needed in which individual applicants identify themselves by race and ethnic
group. A similar system is needed to implement fully the Federal Equal Opportunity
Recruitment Program (FEORP). However, because of problems in securing clearance
of forms for these purposes, OPM in its instructions to agencies implementing
the Uniform Guidelines and FEORP (FPM Letters 300-25 and 720-2) indicated that
agencies must postpone their collection of these data on applicants.

This PPM Letter removes the restriction on such data collection from applicants
in open competitive examinations (i.e., examinations used for external hiring).
For examinations for which competition or consideration is limited to Federal
employees, however, agencies are still prohibited from collecting information
on the race and ethnic background of applicants. OPM plans to consult with
Agencies and unions on removing the restriction on data collection for internal
agency personnel decisions. We hope to issue the FPM Letter on this subject in
January, 1980.

2. Agencies should use their own internally maintained minority group designator and
handicap data from current employees' records as reported in the Central Personnel
Data File (CPDF) to meet the statistical reporting requirements of the Uniform
Guidelines and the FEORP as long as this assessment and use does not violate the
provisions of FPM Chapter 713, Subchapter 3 (see also 29 CFR 1613.301) or FPM
Letter 298-3, dated December 26, 1978. Under authority of 5 U.S.C. 7201, OPM
plans to propose regulations at 5 U.S.C. 720, and implementing instructions in
the new FPM Chapter 720, that will authorize agencies to use CPDF and agency
minority group designator data to identify Federal employees in underrepresented
groups for skills banks and referral lists. Pending completion of the formal
rulemaking process, and issuance of instructions by OPM, agencies may not use the
CPDF or their own internal agency files for the purpose of identifying Federal
employees for these skills banks and referral lists.

When establishment of such skills banks and referral lists is authorized, they
will need to be consistent with the Civil Service Reform Act and other provisions
of law. They are intended to constitute applicant pools which facilitate consi-
deration of members of underrepresented groups along with other qualified appli-
cants. Referral files containing information on individuals from one group (e.g.,
women or Hispanics) may not be the sole applicant pool used unless there are no




Inquiries: Personnel Research and Development Center, Staffing Services (202) 632-7721

Code: 720, Affirmative Employment Programs
Distribution: FPM







FPM Ltr. 720-4 (2)





other applicants available. Summary statistics on the composition of an appli-
cant pool may be provided; but certificates or similar lists of names, on which
the race, ethnic background, sex or disability status of individual applicants
is identified, may not be given to selecting officials.

3. Agencies are authorized to collect race and ethnic identification information
from job applicants under conditions described in paragraph 1 above for the
following purposes:

a. To determine adverse impact in the selection process as required by the
Uniform Guidelines on Employee Selection Procedures;

b. To implement and evaluate agency Federal Equal Opportunity Recruitment
Program activities (including establishment of minority recruitment
files);

c. To implement and evaluate agency affirmative action programs;

d. To evaluate personnel/organizational measurement and selection methods;

e. To locate individuals for personnel research to improve selection or
management practices.

4. OPM has defined a government-wide system of records in accordance with the
Privacy Act to cover all Federal agencies. Any changes needed in this notice
for agency uses should be relayed to OPM. (A copy of the relevant system
notice is attached.)

5. The authorization to collect and use this information is based on 5 U.S.C.
7201, and the Uniform Guidelines on Employee Selection Procedures (1978) 43
FR 38297 et seq. (August 25, 1978).

6. These records are to be safeguarded at all times. Records are to be retained
in a lockable metal filing cabinet in a secured room or in a computerized
system accessible by confidential passwords issued only to specified personnel.
Agencies must develop other safeguards as needed to protect the information
from unwarranted invasions of individual applicants' privacy. These records
are such that there is the potential for violation of Federal law in terms
of the Privacy Act; such violations must not tccur.

7. Generally records are to be retained for two years; or for the period of time
needed to process applications, to prepare adverse impact and related reports;
or for as long as an application is still under consideration for selection
purposes. Where records are needed in the course of litigation they are main-
tained until the litigation is completed. Manual records must be shredded or
burned, and magnetic tapes or disks must be erased when the appropriate reten-
tion period has elasped.

8. The authorized routine uses of records maintained in the system, including
categories of users and the purposes of such uses, are as stated below. [NOTE:
CPDF and agency data files may be used to meet the statistical reporting re-
quirements of the Uniform Guidelines and the FEORP. Other data are maintained
only on those applicants who voluntarily provide it. Data of both types must
be maintained under conditions such that the individual's self-identification






FPM Ltr. 720-4 (3)


as to race, sex, ethnic origin, or disability status, does not accompany that
individual's application when it is under consideration by a selecting offi-
cial.]

a. To disclose information to the Equal Employment Opportunity Commission
(EEOC), in response to its request for use in the conduct of an examina-
tion of an agency's compliance with the Uniform Guidelines on Employee
Selection Procedures (1978), or other requirements imposed on agencies
under EEOC authorities promulgated in Reorganization Plan No. 1 of 1978
in connection with agency Equal Employment Opportunity Programs.

b. To disclose information to the Merit Systems Protection Board, in-
cluding the Office of the Special Counsel, in response to its requests,
in connection with: the processing of appeals, special studies relating
to the civil service and other merit systems in the executive branch,
investigations into allegations of prohibited personnel practices, and
for other matters as authorized under sections 1205(a) (1) and (3) and
1206(b) of Title 5, U.S. Code.

c. By the Office of Personnel Management or employing Federal agency in the
production of summary descriptive statistics and analytical studies in
support of the function for which the records are collected and main-
tained, or for related work force 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.

d. To disclose information to a Federal agency in response to its request
for use in its Federal Equal Opportunity Recruitment Program, to the
extent that the information is relevant and necessary to the agency's
efforts in identifying possible sources for minority recruitment.

e. To provide information to a congressional office from the record of an
individual in response to an inquiry from the congressional office made
at the request of that individual.

f. To disclose information to another Federal agency or to a court when the
Government is party to a judicial proceeding before the court.

g. 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.

9. OPM has designed a form to use in collecting race, sex, ethnicity and dis-
ability status information. Thip form should be reproduced as needed by each
agency. It must not be modified by adding any additional questions to it nor
by changing any of the questions listed. However, questions may be deleted
if an agency so desires. The form (OPM Form 1386) is attached. In our
discussions with the Office of Management and Budget concerning the clearance
of this form, we agreed to their request that no other forms be used for this
data collection during the two years that this clearance has been given. OPH
plans to make a standard form from this OPM form; we will begin designing this
standard form in about one year based on our experience with the use of OPM
Form 1386.






FPM Ltr. 720-4 (4)


10. Form 1386 contains one item on disability status of applicants. Although the
information on disability status is limited, it can be useful in indicating
whether disabled applicants are being screened out of employment opportunities.
If agencies wish to obtain additional information from individuals indicating
that they have a handicap, agencies must obtain separate clearance from ONB
for the additional data collection effort. [It should be noted that this re-
porting system is not to be confused with the use of Standard Form 256, "Self-
Identification of Medical Disability," which is used for reporting specific
disability status of Federal employees to OPM's Central Personnel Data File.
These data for Federal employees (rather than applicants) are covered by OPM's
Privacy Act Systems Notice OPM/GOVT 1. Use of data from Standard Form 256 Is
primarily for the purpose of evaluating affirmative action programs for Federal
employees but may be used for statistical reporting on Federal employees under
the FEORP as indicated in paragraph 2 above.]

11. The form also requests applicants to report their year of birth. Any use of
year of birth data for research and reporting purposes should be approached
with caution, since they are easy to misinterpret. Any studies using'this
variable should be done by trained social scientists who are familiar with
the extensive literature on this subject.

12. Agencies are authorized to use Form 1386 for both assembled and unassembled
competitive examinations. At this time, OPM does not know how best to handle
the problem of low response rates in unassembled examinations where applicants
are asked to mail back the form. OPM plans several research studies to improve
these response rates. For the present, agencies are advised to use caution
in interpreting data where there is a large nonresponse rate. Agency staff
with suggestions on how to deal with this problem are urged to contact OPM
(see 15a, below).

13. It is requested that each agency provide the Director, Personnel Research and
Development Center, with the name, institutional title, address, and telephone
number of a contact person in the agency to whom we can routinely send, and
from whom collect, ideas and information on the collection and use of this
information.

14. Agencies are NOT authorized to change current minority group designation cate-
gory definitions or systems for onboard Federal employees as currently required
by FPM Chapter 713, Subchapter 3. OPM is completing analysis of a Pilot Test
for Race/Ethnicity Data Collection. The results of this analysis will deter-
mine the content, collection methodology, and timetable for Federal agencies
to comply with the requirements of Commerce Directive 15, "Race and Ethnic
Standards for Federal Statistics and Administrative Reporting." On behalf
of all Federal agencies, OPM will request from the Department of Commerce's
Office of Federal Statistical Policy and Standards a necessary extension of
the January 1, 1980 effective date for implementing Directive 15 as it applies
to the onboard Federal work force. Any changes subsequently made by OPM in
race and ethnic standards for employees will be consistent with the standards
established by this letter for applicants.

15. Agencies should use their internal employee minority group designator and handi-
cap code records, established under 5 CFR 713.301/302 (now 29 CFR 1613.301),
and FPM Chapter 713, FPM Letters 290-10 and 298-3, for statistical analysis
and reports for both the Uniform Guidelines and the FEORP on Federal employees.






FPM Ltr. 720-4


Such data use must comply with the statistical reporting provisions of FPM
Chapter 713, Subchapter 3. The current Chapter 713 minority group designa-
tions, however, do not match the race and ethnic category definitions required
by the Uniform Guidelines and the FEORP which are from Directive 15. To aid
agencies in linking the two sets of data, OPM recommends the following link-
age be used.


FPM Chapter 713


Directive 15


* a. Employees in Guam
or Hawaii
b. Negro
c. Spanish-surnamed
d. American Indian
e. Oriental
f. Aleut employment
in Alaska
g. Eskimo employment
in Alaska
h. None of these
i. Non-Hispanic in
Puerto Rico


Race
(1) American Indian
or Alaskan Native
(2) Asian or Pacific
Islander
(3) Black
(4) White
(5) Other**

Ethnicity
(A) Hispanic
(B) Non-Hispanic


e = [(2) minus those
who also marked
Hispanic Ethnicity
(A)]
b [(3) minus those who
also marked Hispanic
Ethnicity (A)]


c = [(A)]
d, f
and g [(1)


h and 1 = [(4)


minus those who also
marked Hispanic
Ethnicity (A)]
and (5) minus those
who marked Hispanic
Ethnicity (A)]


The Uniform Guidelines require that the White racial group be reported without
the Hispanic subgroup being included. The FEORP requires that both the Black
and White racial groups be reported without the Hispanic subgroup being included.
This is consistent with the Directive 15 standard when race/ethnic data are
collected using a separate format. Further, the actual data definitions in
FPM Chapter 713 do not match the data definitions of these racial groups in
the Uniform Guidelines and the FEORP. For example, Indians from the Subcontinent
of Asia are listed as non-minority in the FPM Chapter 713 and as Asians in
the Uniform Guidelines and the FEORP. These discrepancies will result in some
reporting and linkage errors which are tolerable to reduce agency data collection
burden until the applicant and onboard race/ethnic categories are made consistent.

16. We have not defined "applicant," "candidate," "applicant pool" and similar terms
here. These terms are defined in the Uniform Guidelines and the FEORP regulations
and instructions. More refined definitions are up to the individual agency to
make, based on its own operating circumstances. While this is an issue that we
have been requested to address, OPM staff thinks that there are many variations
involved in the Federal employment process so that the attempt to rigidly define
these terms at this time would be a disservice to Federal agencies.


These employees are identified in the CPDF only through a geographic location
code. No race, sex, or ethnic information is available for them. They are in-
cluded in the "non-designated" category and cannot be linked with Directive 15
categories.

** Where "other" can be grouped in one of the categories (1) through (4), the agency
may wish to classify the persons as such.


Linkage






FPM Ltr. 720-4 (6)





17. OPM will assess the adverse impact of the examinations it administers including
those situations where an agency administers an examination for OPM such as for
shortage categories.

18. This is a new area of recordkeeping for Federal agencies; therefore, further
information or assistance may be needed, than is provided in this letter.
Following is a list of key people who can help. (FTS numbers listed are the
same as non-FTS numbers; the area code is 202.) :

a. Race, ethnic, sex, and disability data collection on applicants for Federal
employment: Dr. Lois Northrop, Project Director, Personnel Research and
Development Center, FTS 632-7721.

b. Uniform Guidelines on Employee Selection Procedures information and
assistance: Dr. Kenneth A. Millard, Uniform Guidelines Coordinator,
Personnel Research and Development Center, FTS 632-6238.

c. Privacy Act matters and race, handicap, and ethnic data collection for
onboard employees of the Federal government (?FM Chapter 713, Subchapter 3
and FPM Letters 290-10 and 298-3) information and assistance: Dr. Philip
A. D. Schneider, Deputy Assistant Director for Work Force Information,
FTS 632-6808.

d. Federal Equal Opportunity Recruitment Program information and assistance:
Dr. Ruth Cullen, Demographer and Statistician, Office of Affirmative
Employment Programs, FTS 632-6258; A. Diane Graham, Director, Office of
Affirmative Employment Programs, FTS 632-4420.

e. Staffing Problems Information and Assistance: Donald Holum, Chief,
Examination Planning Section, FTS 632-6251.

19. OPM is also preparing separate guidance publications on adverse impact analyses.
These will be available from Dr. Northrop.



Attachments (2)

(1) Systems Notice

(2) OPM Form 1386




Jule M. Sugarman
Deputy Director









4






Attachment 1 to FPM Ltr. 720-4 (1)


OPM/GOVT-6

System name: Personnel Research and Test Validation Records

System location: Personnel Research and Development Center, Office of Personnel
Management, 1900 E Street, N.W., Washington, D. C. 20415, OPM regional offices (see
list of regional office addresses in OPM's Federal Register notice of October 26,
1979, 44 FR 61715), and agency personnel offices (or other designated offices)
conducting such programs.

Categories of individuals covered by the system: Current and former Federal employees;
applicants for Federal employment; current and former State and local government
employees; applicants for State and local government employment.

Categories of records in the system: These records include information on education
and employment history, test scores, responses to test items and questionnaires,
interview data, and ratings of supervisors regarding the individuals to whom the
records pertain. Additional information (race, ethnicity, disability status, and
background) is collected from applicants for certain examinations.

Authority for maintenance of the system: Title 5, U.S.C. Sections 1303 and 3301.

Purpose: These records are collected, maintained, and used by the Office or agencies
for the construction, analysis, and validation of written tests, and for research on
and evaluation of personnel/organizational measurement and selection methods. Such
research includes studies extending over a period of time (longitudinal studies).
Race and ethnicity data are used to evaluate the selection process of these exami-
nations as required by the Uniform Guidelines on Employee Selection Procedures. Use
of these race and ethnicity data is limited to evaluation projects conducted by the
Office or agencies.

The records also may be used by the Office or employing agencies to locate individuals
for personnel research. Data are collected on a project-by-project basis under
conditions assuring the confidentiality of the information. No personnel actions or
selections are made using these research records.

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:

a. By the Office or employing agency maintaining the records 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 work force 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.

b. To furnish personnel records and information to the Equal Employment Opport-
unity Commission for use in determining the existence of adverse impact in the total
selection program, in reviewing allegations of discrimination, or in assessing the
status of compliance with Federal law.






Attachment 1 to FPM Ltr. 720-4 (2)


c. To furnish information to the Merit Systems Protection Board including the
Office of the Special Counsel in connection with actions by offices relating to
allegations of discriminatory practices on the part of an agency or one of its
employees.

d. 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.

e. To disclose information to another Federal agency or to a court when the
Government is party to a judicial proceeding before the court.

Policies and practices for storing, retrieving, accessing, retaining, and disposing
of records in the system:

Storage: These records are maintained in file folders and on punched cards, disks,
and magnetic tape.

Retrievability: Records are generally maintained by project. Personal information
can be retrieved by name or personal identifier only for certain research projects
such as those involving longitudinal studies.

Safeguards: Records are kept in locked files in a locked room with access limited to
authorized staff. Access to tape, disk, and other files used in data processing will-
be only by authorized staff.

Retention and disposal: Records are retained for two years after completion of the
project, unless needed in the course of litigation or other administrative actions
involving a research or test validation survey. Manual records are destroyed by
shredding or burning and magnetic tapes or disks are erased.

System managers) and address: Director, Personnel Research and Development Center,
Office of Personnel Management, 1900 E Street, N.W., Washington, D.C. 20415.

Notification procedure: Individuals wishing to inquire whether this system of
records contains information about them should contact the system manager above, the
OPM regional office servicing the State where they are employed (see list of OPM
regional office addresses as published in the Federal Register, 44 FR 61715, October
26, 1979), or their employing agency's personnel office. Individuals must furnish
the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Title, time, and/or place of test validation research study in which individual
participated.

d. Social Security Number.


e. Signature.






Attachment 1 to FPM Ltr. 720-4 (3)


Record access procedures: Specific materials in this system have been exempted from
Privacy Act provisions at 5 U.S.C. 552a(d), regarding access to records. The section
of this notice titled Systems exempted from certain provisions of the Act which
appears below, indicates the kinds of materials exempted and the reasons for exempting
them from access. Individuals wishing to request access to non-exempt records
should contact the system manager indicated above, the OPM regional office, or their
agency personnel or other designated office, as appropriate. Individuals must
furnish the following information for their records to be located and identified:

a. Full name.

b. Date of birth.

c. Title, time, and/or place of test validation research study in which individual
participated.

d. Social Security Number.

e. Signature.

Individuals requesting access must also comply with the Office's Privacy Act regulations
regarding access to records and verification of identity (5 CFR 297.203 and 297.201).

Contesting record procedures: 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,
which appears below, indicates the kinds of materials exempted and the reasons
for exempting them from amendment. Individuals wishing to request amendment of any
non-exempt records should contact the System Manager indicated above, the OPM regional
office, or their agency personnel or other designated office, as appropriate.
Individuals must furnish the following information for their records to be located
and identified:

a. Full name.

b. Date of birth.

c. Title, time, and/or place of test validation research study in which individual
participated.

d. Social Security Number.

e. Signature.

Individuals requesting amendment must also comply with the Office's Privacy Act
regulations regarding amendment of records and verification of identity (5 CFR
297.208 and 297.201).

Record source categories: Individual Federal, State, or local employees or applicants,
supervisors, assessment center assessors, agency or Office personnel files and
records (e.g., race, sex, ethnicity, and disability status data from OPM/GOVT-1 and
OPM/GOVT-7 systems of records).






Attachment 1 to FPM Ltr. 720-4 (4)


Systems exempted from certain provisions of the act: This system contains testing
and examination materials that are 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 and examination material
and information from certain provisions of the Act, when the disclosure of the
material would compromise the objectivity or fairness of the testing or examination
process. The Office of Personnel Management has claimed exemptions from the requirements
of 5 U.S.C. 552a(d). which relate to access to and amendment of records. The specific
materials exempted include the following:

a. Answer keys.

b. Ratings given for the purpose of validating examinations. .jI

c. Rating schedules, including crediting plans and scoring formulas for other
selection procedures.

d. Rating sheets. I

e. Test booklets, including the written instructions for their preparation.

f. Test item files.

g. Transmutation tables.

h. Test answer sheets.




"i






Attachment 1 to FPM Ltr. 720-4 (5)


OPM/GOVT-7

System name: Applicant Race, Sex, Ethnicity and Disability status Records.

System location: Records in this system may be located in the following offices:

1. Personnel Research and Development Center (PRDC), Office of Personnel Management,
1900 E Street, N.W., Washington, D.C. 20415;

2. Office of Affirmative Employment Programs, Office of Personnel Management, 1900 E
Street, N.W., Washington, D.C. 20415;

3. OPM Regional Offices (list of OPM regional office addresses appears in the
October 26, 1979 Federal Register, 44 FR 61715) and any register-holding area offices
under the jurisdiction of a regional office; and

4. Agency Personnel, Equal Employment Opportunity, or Federal Equal Opportunity
Recruitment offices or other designated offices.

Categories of individuals covered by the system: Current and former Federal employees
and individuals who have applied for Federal employment, including:

1. Applicants for examinations administered either by OPM or by agencies;

2. Applicants on registers maintained by OPM and subject to its regulations;

3. Applicants for positions in agencies having direct hire authority and using their
own examining procedures in compliance with OPM regulations;

4. Applicants whose records are retained in an agency Equal Opportunity Recruitment
file (including any file an agency maintains on current employees from under-represented
groups); and

5. Applicants (including current and former Federal employees) who apply for vacancies
announced under an agency's merit promotion plan.

Categories of records in the system: These records include the individual's name,
Social Security Number, date of birth, statement of major field of study, type of
current or former Federal employment status (e.g., career or temporary), applications
showing work and education experience, and race, sex, ethnicity and disability status
data.

NOTE

The race, ethnicity, and disability status information in this system differs from
that which is maintained in the OPM/GOVT-1, General Personnel Records system. In
this system, the information is obtained by two alternative methods: (1) use of OPM
Form 1386, where individuals, who may not currently be Federal employees, self-identify
themselves as to race and ethnicity and indicate whether they have a disability;
(2) for applicants who are current Federal employees, the data may be obtained from
the OPM/GOVT-1 system, where race and ethnicity is recorded by visual observation
while disability status is obtained by use of Standard Form 256 which allows for a
description by self-identification of the handicap. Further, race and ethnicity is
defined on OPM Form 1386 in accordance with the Department of Commerce's Directive
15, while the definitions of race and ethnicity used for the OPM/GOVT-1 system are as
shown in FPM Chapter 713, subchapter 3.






Attachment 1 to FPM Ltr, 720-4 (6)



Authority for maintenance of the system: 5 U.S.C. 7201, and Sections 4A, 4B, 15A(1)
and (2), 15B(11), and 15D(11), Uniform Guidelines on Employee Selection Procedures
(1978), 43 FR 38297 et seq. (August 25, 1978).

Purpose: These records are used by OPM and agencies to:

1. Evaluate personnel/organizational measurement and selection methods;

2. Implement and evaluate agency affirmative action programs; i

3. Implement and evaluate agency Federal Equal Opportunity Recruitment Programs
(including establishment of minority recruitment files);

4. Determine adverse impact in the selection process as required by the Uniform .
Guidelines cited in the Authority section above. (See also "Questions and Answers,"
on those guidelines published in the Federal Register, 44 FR 11996, March 2, 1979);
and

5. Locate individuals for personnel research.

NOTE

These data are maintained under conditions that ensure that the individual's identifi-
cation as to race, sex, ethnic origin, or disability status, does not accompany that
individual's application or is otherwise made known when the individual is under
consideration by a selecting official.

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

a. To disclose information to the Equal Employment Opportunity Commission
(EEOC), in response to its request for use in the conduct of an examination of an
agency's compliance with implementing minority recruitment programs as required by 5
U.S.C. 7201 and the Uniform Guidelines on Employee Selection Procedures (1978), or
other requirement imposed on agencies under EEOC authorities promulgated in Reorgani-
zation Plan No. 1 of 1978, in connection with agency Equal Employment Opportunity
programs.

b. To disclose information to the Merit Systems Protection Board, including the
Office of the Special Counsel, in response to its request in connection with the
processing of appeals, special studies relating to the civil service and other merit
systems in the executive branch, investigations into allegations of prohibited
personnel practices, and for other matters as authorized under sections 1205(a)(1)
and (3) and 1206(b) of title 5, U.S. Code.

c. By the Office or employing agency maintaining the records 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 work force 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.

d. To disclose information to a Federal agency in response to its request for
use in its Federal Equal Opportunity Recruitment Program, to the extent that the
information is relevant and necessary to the agency's efforts in identifying possible
sources for minority recruitment.






Attachment 1 to FPM Ltr. 720-4 (7)


e. To provide information to a congressional office from the record of an
individual in response to an inquiry from the congressional office made at the
request of that individual.

f. To disclose information to another Federal agency or to a court when the
Government is party to a judicial proceeding before the court.

g. 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.

Policies and practices for storing, retrieving, accessing, retaining and disposing of
records in the system.

Storage: These records are maintained in file folders, on magnetic tape, and on
disks.

Retrievability: Records are retrieved by the name and Social Security Number of the
individuals on whom they are maintained.

Safeguards: Records are retained in lockable metal filing cabinets in a secured room
or in a computerized system accessible by confidential passwords issued only to
specific personnel.

Retention and disposal: Records are generally retained for two years, except when
needed to process applications or to prepare adverse impact and related reports, or
for as long as an application is still under consideration for selection purposes.
Where records are needed in the course of litigation they are to be maintained until
the litigation is completed. Manual records are shredded or burned and magnetic
tapes or disks are erased.

NOTE

Where an agency retains an automated version of any of the records in this system,
maintenance of that record beyond the above retention schedules is permitted for
historical or statistical analysis, but only so long as the record is not used in a
determination directly affecting the individual about whom the record pertains after
the prescribed destruction date.

System managers) and address: Director, Personnel Research and Development Center
(PRDC), Office of Personnel Management, 1900 E Street, N.W. Washington, D.C. 20415.

Notification procedure: Those individuals wishing to inquire if this system contains
information about them should contact the system manager listed above, OPM regional
office (see list of OPM regional office addresses as published in the Federal Register
of October 26, 1979, 44 FR 61715) covering the state wherein the application for
Federal employment was directly filed with an OPM office, or the Personnel, Equal
Employment Opportunity, or Federal Equal Employment Opportunity Recruitment office or
other designated office at the agency where they filed an application or where they
are employed. Individuals must furnish the following information for their records to
be located and identified:






Attachment 1 to FPM Ltr. 720-4 (8)



a. Name.

b. Social Security Number.

c. Title of examination, position, or vacancy announcement for which they filed.

d. The OPM or agency office where they are employed or submitted the information.

e. Signature. i

Records access procedure: Individuals wishing to request access to records about
themselves should contact the same offices shown in the Notification Procedure
section above. Individuals must furnish the following information for their records
to be located and identified:

a. Name.

b. Social Security Number.

c. Title of examination, position, or vacancy announcement for which they filed.

d. The OPM or agency office where they are employed or submitted the information.

e. Signature. il

An individual requesting access must also follow the Office's Privacy Act regulations
regarding access to records and verification of identity (5 CFR 297.203 and 1297.201).

Contesting record procedure: Individuals wishing to request amendment of their
records should contact the same offices shown in the Notification procedure section
above. Individuals must furnish the following information for their records to be
located and identified:

a. Name.

b. Social Security Number.

c. Title of examination position, or vacancy announcement for which they filed.

d. The OPM agency office where they are employed or submitted the information. i

e. Signature.

An individual requesting amendment must also follow the Office's Prigacy Act regulations
regarding amendment of records and verification of identity (5 CFR 297.208 and
297.201).

Record source categories: Information is provided by the individual to whom the
record pertains, on such OPM forms as 1377, 1377A, or 1386, or is obtained from other
agency or Office records (e.g., race, sex, ethnicity, and disability status data may
be obtained from the OPM/GOVT-1 General Personnel Records system).
6325-01


SU.S GOVERNMENT PRINTING OFFICE: 1979- 311-539:84




1!;!







Attachment 2 to FPM Ltr. 720-4 (1)


United States
OFFICE OF PERSONNEL MANAGEMENT


Form Approved
OMB No. 50-RO-616


BACKGROUND SURVEY QUESTIONNAIRE 79-2


GENERAL INSTRUCTIONS
The information from this survey is used to help insure
that agency personnel practices meet the requirements
of Federal law. Your responses are voluntary. Please
answer each of the questions to the best of your ability.
Please print entries in pencil or pen. Use only capital
letters. Read each item thoroughly before completing
the appropriate code number in each box
Name (Last, First, MI)


Position for which you are applying


1. Social Security Number

I I I I I (CC 1-9)


Dale (Month, Day, Year)


PRIVACY ACT INFORMATION
GENERAL
This information is provided pursuant to Public Law 93-579 (Privacy Act
of 1974). December 31. 1974. for individuals completing Federal records
and forms that solicit personal information
AUTHORITY
Sections 1302. 3301. 3304 and 7201 of Title 5 of the U S Code
PURPOSE AND ROUTINE USES
The information from this survey is used for research and for a Federal equal
opportunity recruitment program to help insure that agency personnel prac-
tices meet the requirements of Federal law. Address questions concerning
this form and its uses to the Director, PRDC. Office of Personnel Manage-
ment. Washington. D. C. 20415.
EFFECTS OF NONDISCLOSURE
Providing this information is voluntary No individual personnel selections
are made based on this information
INFORMATION REGARDING DISCLOSURE OF YOUR SOCIAL SECURITY
NUMBER UNDER PUBLIC LAW 93-579, SECTION 7 (b)
Solicitation of the Social Security Number (SSN) by the Office of Person-
nel Management is authorized under provisions of Executive Order 9397.
dated November 22. 1943 It is used to relate this form with other records
that you file with Federal agencies and the Office of Personnel Management
lirth 3. Do you have any Physical Disability?
S I Yes
I o pI (CC 12) 2- No


4. How did you learn about the particular position or exam for which 0yoi.e applying?
(You may select up to three choices.) t, "'
01 Private Information Service ..a...ett .. other Federal Government Recruitment at
02 Magazine a ho; College
03 Newspaper N Vltederal, State or Local Job Information Center
04 Radio I.24? .- l ious organization
05 TV Kj;i, ~o ool or College Counselor or other official
06 Poster ,, V14 friend or Relative Working for Agency
07 Private Employment Office ._ Friend or Relative not Working for Agency
08 State Employment Office (Unemployment Of W- Other (Specify)
09 Agency Personnel Dept. (Bulletin Bpa or Othl { nouncement)

(CC 13-14) (CC 15-16) (CC 17-18)


. 5. Please categorize yourself in


sex, and ethnic categories below. First read definitions of subcategories.


--V DEFINITIONS
The racial and ethnic categories for Fede'1trtatil -s and administrative reporting are defined as follows
ETHNICITY: ,
Hispanic. A person of Mexican, Puerto Rican. Cuban, Central or South American, or other Spanish culture or origin, regardless of race.
RACE:
American Indian or Alaskan Native. A person having origins in any of the original peoples of North America, and who maintains cultural
identification through tribal affiliation or community recognition.
Asian or Pacific Islander. A person having origins in any of the original peoples of the Far East. Southeast Asia, the Indian subcontinent.
or the Pacific Islands. This area includes, for example. China. India. Japan, Korea, the Philipine Islands. and Samoa.
Black. A person having origins in any of the black racial groups of Africa.
White. A person having origins in any of the original peoples of Europe, North Africa, or the Middle East.

A. Race 1-American Indian or Alaskan native B. Sex C. Ethnicity
2-Asian or Pacific Islander 1 Male 1 -HispanicOrigin
(CC 19 3-Black 4-White 5-Other C 22 Female 2-Not of Hispanic
I |(CC 19) rsBl (CC 20) (CC 21) Origin

FOR AGENCY USE ONLY
Occupational Occupation
Date Received (Mo., Day, Yr.) Supplement Code Series Code Agency Code Location

I II III I I I I I [ I iE IEI E I l
(CC 22-27) (CC 28-31) (CC 32-36) (CC 37-40) (CC 41-44)
To Be Reproduced Locally




UNIVERSITY OF FLORIDA
IIIII III3 1262 08741 9064II IIIIlil11
3 1262 087419064


. .... i.. ..:




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