Privacy Act of 1974; System of Records

91 FR 38737Privacy Act of 1974; System of Records

91 FR 38737U.S. Office of Personnel Management.

91 FR 38737Notice of a modified system of records.

91 FR 38737In accordance with the Privacy Act of 1974, the Office of Personnel Management (OPM) proposes to modify and republish a new system of records previously titled “OPM/Central-9, Personnel Investigations Records” which will be renamed to “OPM/Central-9, OPM Suitability Adjudications Files.” The modification is necessary since the current system of records previously covered both background investigation records and suitability adjudication records. OPM has transferred the background investigation mission and associated records to the Defense Counterintelligence and Security Agency (DCSA) at the U.S. Department of Defense. DCSA published a new system of records notice for the personnel investigations records titled “Personnel Vetting Records System, DUSDI 02-DoD” (83 FR 52420 and 83 FR 52317). As a result, the personnel investigations records are no longer maintained in OPM/Central-9. Accordingly, OPM has modified the system to maintain only suitability adjudication, action, and appeals records. The system contains records used by OPM to make, document, and review suitability determinations and related actions for individuals seeking or holding covered Federal positions. These records support OPM's statutory and regulatory responsibilities to determine whether an individual is suitable for Federal employment and to adjudicate and process related appeals.

91 FR 38737Submit comments on or before July 27, 2026. These changes are effective July 27, 2026.

91 FR 38737You may submit written comments using the Federal eRulemaking Portal at https://www.regulations.gov. All submissions received must include the agency name and docket number for this Federal Register document. The general policy for comments and other submissions from members of the public is to make these submissions available for public viewing on the internet at https://www.regulations.gov without change, which will include any personal identifiers submitted with the comments.

91 FR 38737For general questions, please contact Joe Knouff, Suitability Director, by email at SuitEA@opm.gov or by mail at Suitability Director, Suitability Executive Agent Program, Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-0001.

91 FR 38737In accordance with the Privacy Act of 1974, the OPM proposes to modify a system of records previously titled “OPM/Central-9, Personnel Investigations Records” which will be renamed to “OPM/Central-9, OPM Suitability Adjudications Files.” Historically, the President has delegated to OPM and its predecessor, the Civil Service Commission, the authority to prescribe both qualifications standards and suitability standards, and to conduct both examinations of applicants' qualifications and investigations of suitability for appointment and continuing employment. See 5 U.S.C. 1104(a)(1). This delegation is limited >to positions in the competitive service, appointments to positions in the excepted service that non-competitively convert to the competitive service, and career appointments to positions in the Senior Executive Service. See Civil Service Rules II, V, and VI, as codified in 5 CFR parts 2, 5, and 6.

91 FR 387375 CFR part 731 is OPM's regulation implementing these delegations. It establishes investigation, continuous vetting, and reciprocity requirements for an appointment to a position in the competitive service, excepted service, and for career appointment in the Senior Executive Service. Contractor employee fitness and nonappropriated fund employee fitness, as addressed in sections 3(b) and 3(c) of Executive Order 13488, are also subject to position designation requirements, investigative standards, and reciprocity requirements outlined in the regulations. The regulations also establish the criteria for making determinations of suitability for the competitive service or career Senior Executive Service and the minimum standard of fitness for the excepted service. Additionally, the regulations establish procedures for taking suitability actions for positions in the competitive service or career Senior Executive Service. OPM has largely delegated suitability responsibilities to agency heads while retaining jurisdiction in cases with evidence of material, intentional falsification or deception or fraud in examination or appointment, or other egregious conduct that may warrant action such as a government-wide debarment from certain positions. Agencies must refer these matters to OPM for potential action.

91 FR 38738OPM's prior role in the background investigation mission dates back to the agency's days as the Civil Service Commission. Under Executive Order (E.O.) 10450, issued in 1953, E.O. 10577, issued in 1954, and 5 U.S.C. 3301, OPM conducted background investigations of federal applicants, employees, and contractors to provide a basis for determining an individual's suitability or fitness for federal employment and to provide agencies with a basis for determining whether an individual should be granted a security clearance. At that time, OPM's role did not include conducting investigations for the Department of Defense. Then, Section 906 of Public Law 108-136, enacted on November 24, 2003, expanded OPM's background investigation mission to include conducting investigations on behalf of the Department of Defense. Subsequently, Section 925 of Public Law 115-91, December 12, 2017, and E.O. 13869 directed the transfer of OPM's entire background investigation mission, both its traditional mission and its investigations for the Department of Defense, back to the Department of Defense under DCSA, which took place in 2019. At that time, DCSA and OPM agreed to transfer the personnel investigations records to DCSA while the OPM suitability assessment, action, and appeals records remained with OPM. DCSA published a new system of records notice for the personnel investigations records titled “Personnel Vetting Records System, DUSDI 02-DoD” (83 FR 52420 and 83 FR 52317) so that information is no longer maintained in OPM/Central-9.

91 FR 38738OPM's information collection and the suitability assessment process are designed to avoid collecting information related to how any individual exercises rights guaranteed by the First Amendment. Despite the effort not to collect such information, some individuals misunderstand questions and disclose information related to the exercise of rights guaranteed by the First Amendment. Additionally, if allegations arise that an individual is engaged in conduct that presents a suitability concern, the suitability assessment will attempt to discern whether the conduct actually falls under one of the specific suitability factors found in 5 CFR 731.202(b) or is a protected exercise of one's rights. In accordance with 5 U.S.C. 552a(r), OPM has provided notice of a modified system of records to the Office of Management and Budget and to Congress. The modified system of records will be included in OPM's updated inventory of record systems.

91 FR 38738The Director of OPM, Scott Kupor, reviewed and approved this document and has authorized the undersigned to electronically sign and submit this document to the Office of the Federal Register for publication. U.S. Office of Personnel Management.

91 FR 38738OPM/Central-9, OPM Suitability Adjudications Files.

91 FR 38738Suitability Executive Agent Program, Office of Personnel Management, National Training Center, 131 Rebecca Lane, Slippery Rock, PA 16057.

91 FR 38738Suitability Director, Suitability Executive Agent Program, Office of Personnel Management, National Training Center, 131 Rebecca Lane, Slippery Rock, PA 16057.

91 FR 38738E.O. 10577; E.O. 13467; E.O. 13488; E.O. 13764; E.O. 14210; 5 U.S.C. 1103, 1302, 3301, and 7301; 5 CFR parts 1, 2, 5, 6, 731, and 1201; Presidential Memorandum on Strengthening the Suitability and Fitness of the Federal Workforce (March 20, 2025); and E.O. 9397 as amended by E.O. 13478.

91 FR 38738This system of records pertains to records on civilian federal applicants, appointees, and employees whose suitability for federal employment was reviewed by OPM as described and defined in 5 CFR 731.101. The records in the system are also used to support the creation of aggregate statistics about the suitability work to identify trends, evaluate workload, evaluate the quality and effectiveness of the program, and similar purposes.

91 FR 38738Civilian federal applicants, appointees, and employees whose suitability for federal employment was reviewed by OPM as required by 5 CFR 731, either because of a referral by another federal agency, an OPM oversight activity, or a suitability appeal proceeding.

91 FR 38738The records about a civilian federal applicant, appointee, or employee whose suitability for federal employment was reviewed by OPM may include: • Name; • Aliases; • Date of birth; • Place of birth; • Social Security Number; • Current and former personal and work contact information ( e.g., residence and work physical addresses, email addresses, phone numbers); • Materials submitted when applying for federal positions; • Employment history; • Military history; • Education and degrees earned; • Criminal history; • Civil court actions and publicly available information; • Prior security clearances and investigative information; • Mental health history; • Records related to drug and alcohol use; • Financial records; • Information from the Internal Revenue Service pertaining to income tax returns; • Credit reports; • Information on foreign travel, contacts and activities; • Information on people who associate with the individual ( e.g., their friends, relatives, spouse/cohabitants/partners); • Citizenship and information on loyalty to the United States; • Information on why a federal agency chose to refer a case to OPM and any records collected by the agency in connection with that case; • Other information derived from the results of a personnel background investigation or source inquiries; and • Correspondence relating to adjudication matters and the results of suitability decisions and appeals.

91 FR 38738Information in this system may come from the individual, the individual's personal contacts or references, federal agencies, employers, educational institutions, police departments, courts, credit bureaus, probation officials, newspapers, magazines, periodicals, and other publications.

91 FR 38738In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, the records in this system may be disclosed outside OPM as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: a. In a proceeding before a court, grand jury, or administrative or adjudicative body, when OPM or another agency representing OPM determines that the records are relevant and necessary to the proceeding; or in a proceeding before an administrative or adjudicative body when the adjudicator determines the records to be relevant to the proceeding. b. To the Department of Justice when (1) OPM, or any component thereof; (2) any OPM employee in their official capacity; (3) any OPM employee in their individual capacity where the Department of Justice has agreed to represent the employee; or (4) the United States, where OPM determines that litigation is likely to affect OPM 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 is deemed by OPM to be relevant and necessary to the litigation. Where a record, either alone or in conjunction with other information, indicates a violation or potential violation of law—criminal, civil, or regulatory in nature—the relevant records may be referred to the appropriate federal, state, local, territorial, tribal, or foreign law enforcement authority or other appropriate entity charged with the responsibility for investigating or prosecuting such violation or charged with enforcing or implementing such law. c. To a member of Congress or staff acting upon the member's behalf, when the member or staff requests the information on behalf of, and at the request of, the individual to whom the record pertains.

91 FR 38739d. To the National Archives and Records Administration (NARA) for records management inspections conducted under the authority of 44 U.S.C. 2904 and 2906. e. To appropriate agencies, entities, and persons when (1) OPM suspects or has confirmed that there has been a breach of the system of records, (2) OPM has determined that as a result of the suspected or confirmed breach there is a risk of harm to individuals, OPM (including its information systems, programs, and operations), the Federal Government, or national security; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with OPM's efforts to respond to the suspected or confirmed breach or to prevent, minimize, or remedy such harm. f. To another Federal agency or Federal entity, when OPM determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach. g. To contractors, grantees, experts, consultants, or volunteers performing or working on a contract, service, grant, cooperative agreement, or other assignment for OPM to the extent necessary to accomplish an agency function related to this system of records.

91 FR 38739h. To another federal office when that office is trying to: conduct suitability, fitness, or security investigations; hire or retain employees; evaluate qualifications, suitability, fitness, or loyalty to the United States Government; grant access to classified information or restricted areas; issue an identity credential; or provide a service performed under a contract or other agreement. i. To a source to acquire additional information OPM may need to make a suitability determination, but only the information the source needs to identify the individual, understand the purpose of OPM's request, and identify the information requested. j. To the Department of Defense, Defense Counterintelligence and Security Agency, to help ensure the accuracy and completeness of government-wide records of investigations and adjudications. k. To another federal agency when that agency is providing support to OPM in conducting studies and analyses for evaluating and improving the quality, effectiveness and efficiency of the suitability program.

91 FR 38739The records in this system are stored electronically in a database and limited access network folders.

91 FR 38739The records may be retrieved by the individual's name, Social Security Number, unique case serial number, or other unique personal identifiers available in this system of records.

91 FR 38739Suitability adjudication files and the computerized data bases which show the initiation or completion of a suitability assessment are retained for 16 years from the date of closing or the date of the most recent suitability assessment activity, whichever is later, except for suitability assessments involving potentially actionable issue(s), which will be maintained for 25 years from the date of closing or the date of the most recent assessment activity. Suitability appeal files and the computerized databases which show the processing of a suitability appeal are retained for 7 years. Hard copy records are destroyed by shredding and recycling, and computerized records are destroyed by electronic erasure.

91 FR 38739Several administrative, technical, and physical security measures protect the records in this system from unauthorized access and misuse. These measures include role-based access controls to limit access; multifactor log-in authentication including personal identity verification cards; network encryption to protect data transmitted over the network; masking of sensitive data as practicable; mandatory information assurance and privacy training for individuals who have access; detection and electronic alert systems for access to servers and other network infrastructure; and electronic intrusion detection systems. All these measures comply with the Federal Information Security Management Act of 2002, as amended by the Federal Information Security Modernization Act of 2014, Office of Management and Budget (OMB) policies, and standards and guidelines from the National Institute of Standards and Technology (NIST).

91 FR 38739Individuals seeking access to their records in this system may email their request to foia@opm.gov or mail their request to the Office of Personnel Management, Office of the Chief Information Officer—FOIA, 1900 E Street NW, Washington, DC 20415-0001. The email or letter should: 1. Include the words “Privacy Act Records Access Request”; 2. State that the request relates to “OPM/Central—9, OPM Suitability Adjudications Files”; and 3. Clearly describe the information requested. The letter or email must also include the following information regarding the requesting individual: 1. Full name, and any former names; 2. Date of birth; 3. Preference for how they want to be contacted (home address, telephone number, and/or personal email); 4. Current or last federal agency where they worked, plus the dates they worked there; and 5. Signature. Additional requirements regarding record access requests, including the rights of guardians and how records may be provided, may be found in 5 CFR part 297, Privacy Procedures for Personnel Records. Along with the option to file a Privacy Act request to obtain access to one's records, individuals against whom OPM proposes a suitability action can also contact OPM's Suitability Executive Agent Programs office to request the materials that OPM relied upon when deciding to propose an action. Please see 5 CFR 731.302(a).

91 FR 38740Individuals wishing to request an amendment of records about them may email their request to foia@opm.gov or mail their request to the Office of Personnel Management, Office of the Chief Information Officer—FOIA, 1900 E Street NW, Washington, DC 20415-0001. The email or letter should include the following: 1. A heading denoting that the request is a “Privacy Act Amendment Request”; 2. Statement that the request relates to “OPM/Central—9, OPM Suitability Adjudications Files”; 3. Description of records the individual wants to amend and why; and 4. Any documents which could help substantiate the request. The letter or email must also include the following information related to the requesting individual: 1. Full name, and any former names; 2. Date of birth; 3. Preference for how they want to be contacted (home address, telephone number, and/or personal email); 4. Current or last federal agency where they worked, plus the dates they worked there; and 5. Signature. Additional requirements regarding record access requests, including the rights of guardians and how records may be provided, may be found in 5 CFR part 297, Privacy Procedures for Personnel Records.

91 FR 38740See “Record Access Procedures.”

91 FR 38740In accordance with 5 U.S.C. 552a(k) and 5 CFR 297.501(b)(5), all information in this system which meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), and (7) may be exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d). A determination as to whether and which exemption applies will be made after a request for access or amendment is received. Additionally, under 5 CFR 297.501(c), OPM reserves the right to assert exemptions for (a) records received from another agency that could be properly claimed by that agency in response to a request and (b) information compiled in reasonable anticipation of a civil action or proceeding.

91 FR 3874081 FR 70191 (October 11, 2016) and 87 FR 5874 (February 2, 2022).