Records Management and Privacy of Records

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3100     Policy

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All official personnel records of the District Government shall be established, maintained, and disposed of in a manner designed to ensure the greatest degree of applicant or employee privacy while providing adequate, necessary, and complete information for the District to carry out its responsibilities under the District of Columbia Government Comprehensive Merit Personnel Act of 1978, DC Law 2-139, as amended (hereinafter referred to as "the Act"), and other laws governing personnel management in the District of Columbia Government.

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3101     Cooperation with the US Office of Personnel Management

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3101.1    Because of the statutory and administrative relationships in personnel administration between the District and Federal Government jurisdictions, these regulations are, to the extent practicable, consistent with rules and regulations governing personnel records management in the Federal service.  These regulations are also consistent with the terms of the agreement between the District of Columbia Government and the US Office of Personnel Management, which is referred to in section 3125 of this chapter.

3101.2    All Federal personnel records in the custody of the District Government shall be subject to the Federal laws and regulations regarding personnel records, availability of official information, protection of privacy and personnel records, freedom of information, and other pertinent subjects, as set forth in Title 5 of the Code of Federal Regulations.  The penalty for knowingly and willfully obtaining or disclosing information to which the recipient is not entitled is a fine not exceeding $5,000.  Federal personnel records in the custody of the District Government include, but are not necessarily limited to, the following:

1. Personnel records of District employees whose positions were subject to Federal civil service rules and regulations, for the entire period of service during which such rules and regulations applied.
2. Employee records of activities for which the District of Columbia previously acted, or continues to act as the agent of the Federal Government, e.g., records of the employee's participation in the Federal civil service retirement system and the health insurance and/or life insurance programs.
3. Other Federal personnel records which erroneously or for any reason are in the possession of the District Government.

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3102     Disclosure of Official Information to Personnel and Law Enforcement Authorities

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3102.1    It shall be the policy of the District Government to make personnel information in its possession or under its control available upon request to appropriate personnel and law enforcement authorities, except if such disclosure would constitute an unwarranted invasion of personal privacy or is prohibited by law or regulation.

3102.2    "Personnel Authority" means an individual with the authority to administer all or a portion of a personnel management program, including:

1. The chain of command extending from the employee's immediate supervisor through the Mayor or an Independent Personnel Authority, as defined in subsection 3103.3 of this chapter; and
2. Personnel staff which services the employee's agency.

3102.3    A Law Enforcement Authority means a government official or agency whose duties or mission requires access to an employee's personnel record in order to oversee, audit, or enforce the execution of the personnel laws of the District of Columbia and laws of the United States. Law Enforcement Authorities include:

1. The Council of the District of Columbia;
2. Either House of Congress;
3. An appropriate committee or subcommittee--jointly or of either House of Congress;
4. The Inspector General of the District of Columbia;
5. The Comptroller General of the United States;
6. The District of Columbia Auditor;
7. The US Office of Personnel Management;
8. To the extent required by a specific investigative or other law enforcement activity--
   1. District of Columbia police agencies; and
   2. Federal police agencies;
9. Any authorized representative of a law enforcement agency in the course of the performance of official   duties; and
10. The DC Corporation Counsel; and
11. To the extent required for the representation of the District government in labor litigation, the DC Office of Labor Relations and Collective Bargaining.

3102.4    The Office of Personnel or an Independent Personnel Authority may disclose, without prior consent of the data subject, specified information from a system of personnel records whenever such disclosure is pursuant to an order issued by any of the following:

1. Grand Jury;
2. Quasi-judicial agency; or
3. Court of competent jurisdiction, including the judicial system of the United States, the District of Columbia, or a state, territory, or a possession of the United States.

3102.5    Before complying or refusing to comply with the order, an official with authority to disclose records under these regulations shall consult legal counsel to ensure that the response is appropriate.

3102.6    The Office of Personnel, an Independent Personnel Authority, or an agency may disclose, without the prior consent of the individual, specified information from a system of records whenever such disclosure is pursuant to a subpoena issued in connection with a judicial or administrative proceeding.

3102.7    Before responding to a subpoena, an official with authority to disclose records under these regulations shall consult, as appropriate, with legal counsel to ensure that:

1. The requested materials are not privileged and are relevant to the subject matter of the related judicial or administrative proceeding;
2. Motion is made to quash or modify a subpoena that is unreasonable or oppressive;
3. Motion is made for a protective order where necessary to restrict the use or disclosure of any information furnished for purposes other than those of the judicial or administrative proceeding; or
4. Request is made for an extension, if needed, of the time allowed for response.

3102.8    If a subpoena for production of documents requests the appearance of an Office of Personnel or Independent Personnel Authority employee who is to bring those documents, the response shall be to have that employee bring certified copies of the appropriate records to the requesting party.  In no event shall original documents be released from the physical control of a responsible Office of Personnel or Independent Personnel Authority employee.

3102.9    If oral testimony is sought by a subpoena, an explanation, which sets forth the testimony desired, shall be requested. The employee or former employee of the Office of Personnel who has been subpoenaed to provide material or information shall consult with legal counsel to determine the matters about which the employee may properly testify.

3102.10    In all situations concerning a subpoena or other demand for an employee of the Office of Personnel or an Independent Personnel Authority or agency to produce any material or testimony relating to information contained in the files of the Office of Personnel or Independent Personnel Authority or agency acquired as part of the employee's performance of his or her official duties, the employee shall not disclose the information without prior approval of the appropriate Office of Personnel or Independent Personnel Authority officials.

3102.11    If it is decided that the information or material should not be provided, the employee or former employee subpoenaed shall respectfully decline to comply with the demand on the basis of instructions from the appropriate Office of Personnel or Independent Personnel Authority official.

3102.12    When the subpoenaed records (or a portion thereof) are Federal personnel records subject to the Privacy Act, the disclosing official of the Office of Personnel or Independent Personnel Authority shall:

1. Forward the Federal personnel record and a copy of the subpoena to the U.S. Office of Personnel Management;
2. Notify the judicial or other authority issuing the subpoena that this action has been taken because the authority to disclose Federal personnel records rests with the U.S. Office of Personnel Management;
3. Notify the individual of the subpoena's issuance and the steps taken under (a) and (b) above.

3102.13    Personnel records subject to these regulations may be disclosed to all Personnel Authorities.

3102.14    Personnel records subject to these regulations may be disclosed to an authorized law enforcement authority, as defined by subsection 3102.3 of this chapter, without the prior concurrence of the employee, as follows:

1. When the head of the agency or instrumentality has made a written request to the agency which maintains the records, specifying the particular portion desired and the law enforcement activities for which the record is sought.
2. Disclosure may be made only while the record remains in the physical possession of the agency or agency representative which maintained the record and after consultation with legal counsel as provided in subsection 3102.7 above.

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3103     Basic Policies for Maintenance of Personnel Records

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3103.1    Authority to maintain personnel records does not constitute authority to maintain information in the record merely because it may be useful; both government-wide and internal agency personnel records shall contain only information concerning an individual that is relevant and necessary to accomplish the personnel management purposes required by statute or regulation.

3103.2    This section and sections 3104 through 3113 set forth basic policies governing the creation, development, maintenance, processing, use, dissemination, and safeguarding of personnel records which are required to be maintained in the personnel management process.

3103.3    In this chapter:

"Independent Personnel Authority" means any agency authorized by Section 406 of the Act to implement the rules and regulations for the personnel records of their employees, and to which these regulations apply;

"Data subject" means the individual about whom the Office of Personnel or agency is maintaining information in a system of personnel records;

"Disclose or disclosure" means making information available, upon request, for examination and copying, or furnishing a copy of the information;

"Individual" means an employee of the District Government;

"Information" means papers, records, photographs, magnetic storage media, micro storage media, and other documentary materials, regardless of physical form or characteristics, containing personnel records or data about an individual and required in pursuance of law or in connection with the discharge of official business, as defined by statute, regulation, or administrative procedure;

"Information available to the public" means information, including reasonably segregable nonexempt portions of information, that may lawfully be withheld, which, on request, may be examined and copied, or of which copies may be obtained in accordance with the Freedom of Information Regulations of the District of Columbia by the public regardless of interest and without specific justification;

"Maintain" includes collect, use, or disseminate;

"Personnel record" means any record concerning an individual which is maintained and used in the personnel management process under the authority of the Act, or other law or regulation;

"Record" means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his or her education, financial transactions, medical history, or employment history; and

"System of personnel records" means a group of such records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.

3103.4    The regulations set forth in this chapter apply to the "personnel records," as defined in subsection 3103.3 of this chapter, of all employees of the District Government, except:

1. Federal personnel records, as defined in subsection 3101.2 of this chapter, except as specifically set forth herein;
2. Personnel records of judges and other employees of the Superior Court of the District of Columbia and the District of Columbia Court of Appeals, which are not subject to the Act or these regulations under Section 201 of the Act;
3. Personnel records of the employees of the Board of Education and the Board of Trustees of the University of the District of Columbia, which records are not subject to these regulations, but shall be subject to rules and regulations issued by the respective Boards, in accordance with Section 404 (b) of the Act; and
4. Any other personnel records subject to laws and regulations for a specific record which supersede these regulations, which include but are not necessarily limited to the following:
   1. Retirement records, which apply to participation in the retirement systems specified in Section 2602 of the Act, by authority of Section 2602 of the Act, and are subject to laws and regulations authorizing and regulating such systems;
   2. Records of Equal Employment Opportunity complaints and Appeals which are subject to the laws and regulations for the Equal Employment Opportunity program; and
   3. Such leave, pay, and other records maintained by an agency or the Office of Financial Management, part or all of which are subject to laws and regulations governing financial records.

3103.5    The Office of Personnel shall establish in appropriate chapters of the District Personnel Manual the minimum standards of accuracy, relevancy, necessity, timeliness, and completeness for personnel records that agencies maintain.

3103.6    The head of the Office of Personnel or an Independent Personnel Authority shall ensure that pertinent record keeping regulations and requirements are provided to persons having access to or involved in record-related activities such as creation, development, processing, use, or maintenance of records.

3103.7    For the purpose of these regulations, information other than a record of official personnel action shall be untimely if it concerns an event more than three (3) years in the past upon which an action adverse to an employee may be based.

3103.8   Immaterial, irrelevant, or untimely information shall be removed from the official record upon a finding by the Office of Personnel or Independent Personnel Authority that the information is of such a nature.  Prior to the removal of any information in the file, the employer shall notify the employee and give him or her an opportunity to be heard.

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3104     Collection of Information

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3104.1    Any information in personnel records (whether or not those records are in a system of records) used in whole or in part in making a determination about an individual's rights, benefits, or privileges under personnel programs should, to the greatest extent practicable, be collected directly from the individual concerned.  Factors to be considered in determining whether to collect the data from the individual concerned or a third party shall be as follows:

1. The nature of the information is such that it can only be obtained from another party.
2. The cost of collecting the information directly from the individual is unreasonable when compared with the cost of collecting it from another party.
3. There is virtually no risk that information collected from other parties, if inaccurate, could result in a determination adverse to the individual concerned.
4. The information supplied by an individual must be verified by another party.
5. There are provisions made, to the greatest extent practicable, to verify information collected from another party with the individual concerned.

3104.2    Personnel records describing how individuals exercise rights guaranteed by the First Amendment shall be prohibited unless expressly authorized by statute, or by the individual concerned, or unless pertinent to and within the scope of an authorized law enforcement activity.  These rights include, but are not limited to, free exercise of religious and political beliefs, freedom of speech and the press, and freedom to assemble and to petition the government.

3104.3   The system of personnel records for the District Government was established prior to 1975, and required the use of Social Security Account Numbers to identify employee records in regard to pay, benefits, and information retrieval, pursuant to Executive Order 9397, dated November 22, 1943, and related provisions of the District Personnel Manual.  Accordingly, the Social Security Account Number shall be used to obtain the services and benefits of employment with the District Government.

3104.4   Equal Employment Opportunity data is restricted by the following:

1. The District of Columbia Human Rights Act of 1977, which prohibits discrimination, including discrimination in employment by the District Government, for any reason other than individual merit, including discrimination by reason of race, color, religion, national origin, sex, age, marital status, personal appearance, sexual orientation, family responsibilities, matriculation, political affiliation, physical handicap, source of income, and place of residence or business.
2. The Affirmative Action in District Government Employment Act of 1976, the objective of which is to attain full representation in jobs at all salary and wage levels and scales in accordance with the representation in the available work force, including, but not limited to, Blacks, Whites, Spanish-speaking Americans, Native Americans, Asian Americans, females, and males.

3104.5   Each District Government agency is required to develop an annual affirmative action plan based upon showing the representation in the employee population of the groups enumerated above and shall further state what actions are being taken to secure equal employment opportunity of those groups and of the aging, young, handicapped, and homosexual citizens.

3104.6   Data on an individual's membership in such groups shall not be included in any system of personnel records unless unavoidable as incidental to a requirement of the District of Columbia Government Comprehensive Merit Personnel Act of 1978 or specifically authorized by law or regulation, except for the equal employment opportunity (EEO) data records authorized to be maintained by this section.  In no event shall such data be maintained or used in such a manner as to discriminate against any employee in a manner prohibited by the Human Rights Act of 1977.

3104.7   An EEO data file may be established for the following purposes:

1. To facilitate affirmative action reporting, planning and evaluation, agencies are authorized to maintain a file of workforce characteristics, including data otherwise prohibited by subsections 3104.4 and 3104.5 of this section, to meet their requirements and according to specifications of the DC Office of Human Rights; provided that the EEO data file shall be separated from all other systems of personnel records and maintained in the manner prescribed by this subsection, unless the Director of Personnel authorizes, in writing, the merger with other personnel records.
2. To enable assessment of adverse impact in examining procedures, a record of work characteristics otherwise prohibited may be maintained.  Such a record is an EEO data file for the purposes of this chapter.  Other files required for EEO purposes may be authorized by the Director of Personnel.

3104.8   EEO data may be used:

1. To generate statistical reports for the purposes outlined in paragraph 3104.7(a) above; and
2. To enable analysis for determining and eliminating or minimizing adverse impact as stated in paragraph 3104.7(b) above.

3104.9   To the maximum extent feasible, information shall be obtained directly from the employee or applicant concerned.

3104.10   The custodian of the EEO data shall ensure that no data on an individual is disclosed except as provided in this chapter, and that such data is removed from the file as soon as it has served the purposes for which gathered.

3104.11   Unless authorized in writing by the Director, DC Office of Personnel, access to unsummarized information in the EEO data records shall be limited to officers and employees with an official need to know, provided, however, that an employee or his or her representative designated in writing is entitled to access to the information compiled under the authority of paragraph 3104.7(a) above.

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3105     Safeguarding Information About Individuals

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3105.1    Controls shall be established in accordance with the following:

1. The purpose of the controls is to ensure the integrity, security, and confidentiality of personnel records, regardless of form.
2. The Office of Personnel and each Independent Personnel Authority shall establish and ensure the maintenance of administrative, technical, and physical controls to protect personnel records from unauthorized access, use, modification or disclosure.
3. Persons whose official duties require access to and use of personnel records are responsible and accountable for safeguarding them and ensuring that the records shall be secured whenever they are not in use or under the direct control of authorized persons.
4. Personnel records shall be held, processed, or stored only where facilities and conditions are adequate to prevent unauthorized access.

3105.2    Personnel records shall be stored in metal filing cabinets when the records are not in use, or in a secured room.  Alternative methods may be employed if they furnish an equivalent or greater degree of security.

3105.3    Subject to the restrictions and conditions set forth in these regulations, the data subject may have access to his or her personnel records.

3105.4    Only employees whose official duties require access shall be allowed to handle and use personnel records.

3105.5    To the extent feasible, entry into the personnel records storage areas shall be limited.

3105.6    Documentation of the removal of records from the storage area shall be kept to ensure--

1. That adequate control is maintained; and
2. That removed records are returned on a timely basis.

3105.7    DC Government records shall be disposed of and destroyed in accordance with procedures issued by the DC Department of General Services.

3105.8    Federal records shall be disposed of in accordance with the procedures of the US General Services Administration.

3105.9   In addition to following the security requirements of this section, managers of automated personnel records shall establish administrative, technical, physical, and security safeguards on data about individuals in automated records, reports, punched cards, magnetic tapes, disks, online computer storage, and other records maintained under the authority of the Act.  The safeguards shall be in writing and, as a minimum, shall be sufficient to accomplish the following:

1. Prevent careless, accidental, or unintentional disclosure, modification, or destruction of identifiable personal data.
2. Minimize the risk that skilled technicians or knowledgeable persons could improperly obtain access to, modify, or destroy identifiable personal data.
3. Prevent casual entry by unskilled persons who have no official reason for access to such data.
4. Minimize the risk of an unauthorized disclosure where use is made of identifiable personal data in testing of computer programs.
5. Control the flow of data into, through, and from agency computer operations.
6. Adequately protect identifiable data from environmental hazards and unnecessary exposure.
7. Ensure adequate internal audit procedures to comply with these safeguards.
8. Dispose of identifiable personal data in automated files in such a manner as to make the data unobtainable by unauthorized personnel.  Unneeded personal data stored in reusable media such as magnetic tapes and disks shall be erased prior to release of the media for reuse.

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3106     Rules of Conduct

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3106.1    These rules of conduct shall apply to all District Government employees responsible for the creation, development, maintenance, processing, use, dissemination, and safeguarding of personnel records.  The Office of Personnel and each Independent Personnel Authority shall require that such employees are familiar with these and appropriate supplemental agency internal regulations.

3106.2   Office of Personnel and agency employees whose official duties involve personnel records shall be sensitive to individual rights to personal privacy and shall not disclose information from any personnel record unless disclosure is part of their official duties or required by regulation or statute (e.g., required by the DC Freedom of Information Act).

3106.3   Any Office of Personnel or agency employee who makes a disclosure of personnel records knowing that such disclosure is unauthorized, or who otherwise knowingly violates these regulations, shall be subject to disciplinary action and may also be subject to criminal penalties where the records are Federal records subject to the Privacy Act (5 U.S.C. 55a).

3106.4   Employees shall be prohibited from using personnel information not available to the public, gained through official duties, for commercial solicitation or sale, or for personal gain.

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3107     Official Personnel Folder

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3107.1    Each personnel authority shall establish an Official Personnel Folder for each employee.

3107.2    The Official Personnel Folder (OPF) of each employee subject to these regulations shall be under the jurisdiction and control of, and part of the records of, the employing Office of Personnel component or Independent Personnel Authority.

3107.3    When an employee makes a position change which results in a move from the jurisdiction of one personnel authority to that of another, the OPF maintained in the losing authority shall be transferred, in accordance with section 3123 of this chapter, to the gaining authority upon its request.

3107.4    All Federal personnel records are under the jurisdiction of the US Office of Personnel Management.

3107.5    Each personnel authority shall maintain in the OPF reports of selection and other personnel actions including but not limited to the employee's:

1. Appointment;
2. Separation;
3. Transfer;
4. Resignation; and/or
5. Removal.

3107.6    The OPF shall also contain permanent records affecting the employee's status and service, and may contain such other temporary records as may be authorized.

3107.7    In no event shall an OPF contain proscribed records or records which are or become untimely, immaterial, or irrelevant under subsections 3103.7 and 3103.8 of this chapter.  The definitions of "permanent record," "temporary record," and "proscribed record" shall be those included in Official Personnel Folder Guidelines, to be issued by the D.C. Office of Personnel, and shall be consistent with analogous Federal regulations and issuances.

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3108     Availability of Official Personnel Information

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3108.1    This section sets forth basic policies in regard to the availability of information in the possession of or controlled by the Office of Personnel or any Independent Personnel Authority.  These policies are governed by--

1. P.L. 90-614 and DC Law 1-96, as amended, set forth in Title I of the District of Columbia Code, Section 1-1521 and following sections of Subchapter II of that Title; and
2. The District of Columbia Government Freedom of Information Regulations, set forth in the DC Register dated January 27, 1978.

3108.2    In addition to the data subject (the employee), the employee's authorized representative, parent, and legal representative shall not be excluded from coverage under this subsection.  However, they are more specifically covered by the records access provisions of sections 3112-3121 of this chapter.

3108.3    The restrictions on release of certain information to employees set forth in this subsection shall also apply to disclosure under sections 3114-3121 of this chapter.

3108.4    Access for Federal agencies may be made under this subsection, but is more specifically covered under section 3125 of this chapter.

3108.5    Access for personnel and law enforcement authorities shall be made in accordance with section 3102 of this chapter.

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3109     Places Where Information May be Obtained

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3109.1    A request for information which the requester believes is located in the Office of Personnel should be addressed to the File Room, DC Office of Personnel, 613 "G" Street, NW, Washington, D.C. 20001, or directly to the Cluster Personnel Office servicing the employee's agency.  If the information is known to be in the custody of an Independent Personnel Authority, the request for information from official personnel records should be sent to the Director of Personnel of that Authority.  If the location of the record is not known, the request should be sent to the Office of Personnel at the address shown above.

3109.2    If a request for information is made to an office that does not have possession of the information, that office shall promptly forward the request to the appropriate office and notify the requester that it has done so.

3109.3    For purposes of applying the time limits in the District of Columbia Government Freedom of Information Regulations, the request shall not be considered received until it arrives in the office having possession of the requested information.

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3110     Procedures for Obtaining Information

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3110.1    A request for information under the District of Columbia Government Freedom of Information Regulations may be made by letter or in person during business hours on a regular business day.

3110.2    Each request for information under the District of Columbia Government Freedom of Information Regulations should be clearly and prominently identified by means of a legend on the first page, such as "Freedom of Information Request." In addition, if sent by mail or otherwise submitted in an envelope or other cover, the outside should be clearly and prominently marked "FOI" or "Freedom of Information."

3110.3    A request under this section shall reasonably describe the information being requested, including relevant data such as name, number, date, subject, title of record, or other identifying particulars sufficient to enable the information to be located.  Requests for information contained in personnel records from persons other than the individual to whom the record pertains shall be processed subject to this section.

1. Requests for information from Official Personnel Folders and similar files should contain such information as name, date of birth, Social Security Account Number, agency where employed, and, if not presently employed, approximate dates of the most recent D.C. employment.
2. Requests for information from investigatory files should contain name, date and place of birth, and Social Security Account Number.
3. Requests for information concerning the results of examinations should include name, date of birth, Social Security Account Number, and identification number together with the title of the examination or the announcement number, date, and time of examination.

3110.4    Time of response, service charges and other conditions of disclosure shall be those specified in the Freedom of Information Regulations.

3110.5    The denial of a request (for access or disclosure) by the employee or his or her authorized representative shall be made and appealed as specified in sections 3114 through 3122 of this chapter.

3110.6    Denial of a request received from a member of the public not covered by sections 3114 through 3121 of this chapter may be appealed to the Mayor, as provided in the Freedom of Information Regulations.

3110.7    If the Mayor denies the request, or fails to respond within the time limits of the District of Columbia Freedom of Information Act, the person seeking the information may institute proceedings in the Superior Court of the District of Columbia, as provided in that Act.

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3111     Procedure for Disclosure of Information

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3111.1    When the Office of Personnel or an Independent Personnel Authority receives requests for information under the Freedom of Information Regulations of the District of Columbia, it shall provide or disclose the requested information promptly, subject to the following conditions:

1. The request reasonably describes the information sought.
2. The request is submitted according to the procedures specified in section 3117 of this chapter.
3. Any applicable fees for records search, copying, printed matter, or computer services have been paid or waived as specified in the Freedom of Information Regulations of the District of Columbia.
4. Disclosure of the information is permitted by this chapter.

3111.2    If disclosure of the requested information is subject to a restriction or prohibition specified in this chapter, the Office of Personnel or Independent Personnel Authority shall so inform the requester and shall not disclose the information except as provided in this chapter.

3111.3    If part of the requested information is exempt from disclosure and part is not, the Office of Personnel or an Independent Personnel Authority shall disclose reasonably segregable portions of the material after deleting exempt portions.

3111.4    The Office of Personnel or Independent Personnel Authority shall not disclose a record from a system of personnel records without obtaining the prior written consent of the data subject, except as provided in this chapter.

3111.5    Upon written consent of the employee, information from the employee's personnel record may be disclosed, but only to the extent that the information would be available to the employee under this chapter.

3111.6    The Office of Personnel, Independent Personnel Authorities, and agencies may disclose information from a system of personnel records without the prior consent of the data subject, when such disclosure is:

1. The record of a deceased data subject;
2. To an official of the DC Government who has a need for the record in the performance of his or her duties and who is a "personnel authority" as defined in section 3102 of this chapter;
3. To an official of the DC or Federal Government who is a "law enforcement authority" as defined in section 3102 of this chapter;
4. Required under subsections 3113.1 and 3113.3 through 3113.5 of this chapter;
5. To a parent of a minor data subject, or the legal guardian of a data subject, under sections 3114 through 3121 below;
6. To the Bureau of the Census or other agency authorized by the Office of Personnel or Independent Personnel Authority for purposes of planning or carrying out a census or survey or related activity;
7. To a recipient who has provided the Office of Personnel or Independent Personnel Authority with advance adequate written assurance that a record will be used solely as a statistical, research, or reporting record and the record is to be transferred in a form that is not individually identifiable.  Assurance shall include:
   1. A statement of the purpose for requesting the records; and
   2. Certification that the records will be used only for statistical purposes;
8. To the National Archives of the United States as a record which has sufficient historical or other value to warrant its evaluation by the Administrator of General Services or his or her designee to determine whether the record has such value;
9. To a person pursuant to a showing of compelling circumstances affecting the health and safety of an individual (not necessarily the data subject).  Upon such disclosure, the data subject shall be notified in writing of the disclosure.  This requirement is met when notification is transmitted to the last known address of the data subject;
10. Pursuant to the order or subpoena of a court of competent jurisdiction; or
11. Determined by the head of the Office of Personnel or an Independent Personnel Authority to be a necessary and proper disclosure and not a clearly unwarranted invasion of personal privacy.

3111.7    Information from the personnel record of a deceased employee may be disclosed unless it pertains to someone other than the data subject and disclosure would be a clearly unwarranted invasion of the living person's privacy, or should otherwise be withheld under law or regulation.

3111.8    All disclosures from a system of personnel records shall be accounted for by keeping a written record of the disclosure as specified in this subsection, except for disclosure from the record of a deceased data subject, disclosure to personnel authorities and law enforcement authorities as defined in section 3102 of this chapter, and disclosure under the Freedom of Information Act, which consists of those listed in subsections 3113.1 through 3113.5 of this chapter.

3111.9    Whenever an accounting of disclosure is required, the accounting shall include--

1. The description of the record disclosed;
2. The name, position title, and address of the person to whom the disclosure was made;
3. The method and purpose of disclosure;
4. The name and position title of the person making the disclosure; and
5. The date of the disclosure of the record.

3111.10    The Office of Personnel or Independent Personnel Authority shall record the accounting of disclosure and shall retain this accounting for at least three years or the life of the record, whichever is longer.  This accounting of disclosure may be maintained either in the record itself or elsewhere, in a manner that permits an accurate and complete response to any proper request for an accounting of all disclosures made.

3111.11    An individual may request access to the accounting of the disclosure of the individual's personnel record, and the custodian of the record shall respond within ten (10) working days with the information in the disclosure accounting record.

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3112     Limitations on Disclosure from Specific Personnel Records

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3112.1    Medical information about an applicant, employee, or annuitant shall not be made available to the public by the Office of Personnel or an Independent Personnel Authority.

3112.2    Medical information about an applicant, employee, or annuitant may be disclosed by the Office of Personnel or an Independent Personnel Authority to the applicant, employee, or annuitant, or a representative designated in writing, except that medical information concerning a mental or other condition of such a nature that a prudent physician would hesitate to inform a person suffering from it of its exact nature and probable outcome shall be disclosed only to a licensed physician designated in writing for that purpose by the individual or his or her designated representative.

3112.3    The Office of Personnel and Independent Personnel Authorities make information available to the public that will assist members of the public in understanding the purpose of, and in preparing for, examinations.  They make information available to the public relative to the types of questions and the categories of knowledge or skill pertinent to a particular examination.

3112.4    The following materials shall not be available to the public:

1. Testing and examination materials used solely to determine individual qualifications.
2. Test material, including test plans, item analysis data, criterion instruments, and other material the disclosure of which would compromise the objectivity of the testing process.

3112.5    Each employee entrusted with test material shall protect the confidentiality of that material and ensure that it is released only as required to conduct an examination authorized by the Office of Personnel or an Independent Personnel Authority.

3112.6    The applicant's answers in a written test may be reviewed by the applicant only in the presence of an employee of the Office of Personnel or an Independent Personnel Authority in an appropriate office.  The test booklet shall not be made available in connection with such review.

3112.7    Information concerning the results of examinations shall be released only to those parties explicitly designated by the individual.

3112.8    The names of applicants for positions or eligibles on registers, certificates, employment lists, or other lists of eligibles, or their ratings or relative standing shall not be information available to the public.

3112.9    Investigatory records compiled for law enforcement purposes shall be exempted from disclosure to the extent that the production of such records would--

1. Interfere with enforcement proceedings;
2. Deprive a person of a right to a fair trial or impartial adjudication;
3. Constitute an unwarranted invasion of personal privacy;
4. Disclose the identity of a confidential source;
5. Disclose confidential information furnished only by the confidential source (in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation);
6. Disclose investigative techniques and procedures; or
7. Endanger the life or physical safety of law enforcement personnel.

3112.10    All requests for investigative reports of investigations conducted by the Office of Personnel or an Independent Personnel Authority shall be forwarded to the Director of Personnel of the Office of Personnel or of the Independent Personnel Authority making the investigation.  If the investigative file on the subject of investigation contains investigatory information that originated in another agency, the Director of Personnel receiving the request shall refer a copy of the subject's request to that agency for its decision concerning release of the investigatory information that originated in that agency.

3112.11    Copies of reports of investigation conducted by the Office of Personnel or an Independent Personnel Authority shall be furnished upon request to the subject of investigation or to his or her representative designated in writing, with the exception of any material that is exempted from disclosure under this section.

3112.12    The Office of Personnel or an Independent Personnel Authority, in suitability rating actions, shall disclose to an applicant, eligible, or appointee, or a representative designated in writing, such information from the report of investigation as the Office of Personnel or Independent Personnel Authority determines is sufficient to enable him or her to respond to an interrogatory or other question without revealing the source of information obtained under an expressed or implied pledge of confidence.

3112.13    The Office of Personnel or an Independent Personnel Authority shall furnish a report of investigation to the government agency concerned.

3112.14    The Office of Personnel or an Independent Personnel Authority shall not make a report of investigation or information from a report under its control available to the public, to witnesses, or, except as provided in this section, to the parties concerned in the investigation.

3112.15    Any other provision of this section notwithstanding, no Federal investigative records shall be disclosed.  Requests for disclosure of Federal records shall be referred to the US Office of Personnel Management.

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3113     Disclosure of Information

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3113.1    The following information about most present and former government employees shall be available to the public:

1. Name.
2. Present and past position titles.
3. Present and past grades.
4. Present and past salaries.
5. Present and past duty stations (which includes room numbers, shop designations, or other identifying information regarding buildings or places of employment).

3113.2    Disclosure of this information shall not be made where the information requested is a list of present or past position titles, grades, salaries, and/or duty stations of government employees which, as determined by the official responsible for custody of that information:

1. Is selected in such a way as to constitute a clearly unwarranted invasion of personal privacy because the nature of the request calls for a response that would reveal more about the employees on whom information is sought than the five enumerated items; or
2. Would otherwise be protected from mandatory disclosure under an exemption of the DC Freedom of Information Act.

3113.3    In addition to the information that may be made available under subsection 3113.1 above, the following information may be made available to a prospective employer of a current or former DC Government employee:

1. Tenure of employment.
2. Civil service status.
3. Length of service in the agency and DC Government.
4. When separated, the date of separation shown on the Notification of Personnel Action.  The reason for separation shall not be disclosed without the prior written consent of the data subject.

3113.4    For verification of employment, as requested by credit firms, the same information may be furnished as for a prospective employer, except the reason for separation will not be furnished.

3113.5    Information for historical or educational research purposes may be released as follows:

1. The General Services Administration, National Archives and Records Service, may make information from the Official Personnel Folder of an employee separated from the service available to a person engaged in research for historical or educational purposes or for similar purposes when the person has written permission from the Office of Personnel or an Independent Personnel Authority to receive such information.
2. This permission shall be requested in writing from the Director of Personnel of the Office of Personnel or an Independent Personnel Authority.  Requests for this type of information should include identifying information as described in section 3110 of this chapter, and verification from a publishing, educational, research, or other similarly recognized institution that the information is being sought for historical, educational, or other similar purposes.
3. Information made available under this subsection shall be in the form of an abstract of the former employee's service in the government and, when the employee has been separated at least five years, an abstract of educational and experience background as reflected in the application for employment with the DC Government.  Information that is derogatory to the former employee shall not be made available under this subsection.

3113.6    Except as provided in this section, information required to be included in an Official Personnel Folder shall not be available to the public.

3113.7    Information from the Official Personnel Folder may be disclosed to a prospective District or Federal Government employer.

3113.8    The Office of Personnel or an Independent Personnel Authority, upon a request which identifies the individual from whose file the information is sought, shall disclose the following information from an appeal file to a member of the public, except when the disclosure would constitute a clearly unwarranted invasion of personal privacy:

1. Confirmation of the name of the individual from whose file the information is sought and the names of the other parties concerned.
2. The status of the case.
3. The decision in the case.
4. The nature of the action appealed.
5. With the consent of the parties concerned, other reasonably identified information from the file.

3113.9    The Office of Personnel or an Independent Personnel Authority shall disclose to the parties concerned the information contained in an appeal file except when the disclosure would violate the proscription against the disclosure of medical information.

3113.10    For the purposes of subsections 3113.8 and 3113.9 above, "the parties concerned" means the applicant for government employment, government employee, or former government employee involved in the proceedings, his or her representative designated in writing, and the representative of the Office of Personnel or Independent Personnel Authority involved in the proceeding.

3113.11    The Office of Personnel or an Independent Personnel Authority shall not disclose information from retirement files and records.

3113.12    All requests for retirement information shall be referred to the District agency having primary responsibility for the retirement program.

3113.13    Disclosure shall be made to the extent and in the manner provided by DC or Federal regulations applicable to the retirement system involved.

3113.14    The annual and sick leave records of an employee, or information from these records, shall not be made available to the public by the Office of Personnel or Independent Personnel Authority or other government agency.  However, the leave record, or information from it, shall be disclosed to the employee concerned or, with his or her written consent, to a representative of the employee or any other person that he or she authorizes to have the record.

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3114     Employee Access to and Amendment of Official Personnel Records

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3114.1    The official personnel records of a District employee shall be disclosed to the employee or a representative of his or her choice.

3114.2    The disclosure shall be made in the presence of a representative of the agency having custody of the records.

3114.3    No employee or representative shall have access to information in an official personnel record that is subject to specific restrictions on disclosure to the employee as stipulated in sections 3112 and 3113 of this chapter.

3114.4    Each employee shall have the right to present information immediately germane to any information contained in his or her official personnel record and seek to have irrelevant, immaterial, or untimely information removed from the record, as provided in section 3120 of this chapter.

3114.5    For the purpose of and under the conditions specified in this section and sections 3115 through 3121, the rights of access to and amendment of official personnel records by an authorized representative of an employee, a parent of a minor employee, and a legal guardian of an employee shall be the same as those of the employee.

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3115     Identification Requirements for Inquiries and Requests for Access

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3115.1    Unless the information sought is required to be released under the Freedom of Information Act or other statute, the Office of Personnel or agency shall require proof of identity from a requester, and reserve the right to determine the adequacy of any such proof of identity before responding to a specific inquiry or request for access to a record in a system of records.

3115.2    The general identifying information items that a custodian of personnel records may ask to be furnished by the data subject before a specific inquiry is answered or access is granted include the following:

1. Full name, signature, and home address.
2. Date and place of birth.
3. The current or last place and dates of District employment, if appropriate.
4. Social Security Account Number (for systems of records retrieved by this identifier).

3115.3    A request/inquiry from someone other than the data subject involving data available only to the data subject shall contain copies of any document that establishes the relationship or authorizes access as follows:

1. Where the requester is the parent or legal guardian of a data subject who is a minor, the requester shall identify the relationship with the data subject and furnish a certified or authenticated (e.g., notarized) copy of any document establishing parentage or appointment as legal guardian.
2. Where the requester is the legal guardian of a data subject who has been declared incompetent by the courts, the requester shall identify the relationship with the data subject and furnish a certified or authenticated copy of the court's appointment of guardianship.
3. Where the requester is a representative of the data subject, the requester shall identify the relationship with the data subject or the data subject's parent or legal guardian, and furnish documentation designating the representative as having authority to act on behalf of the data subject.

3115.4    When the requester appears in person and cannot be identified by sight and signature, proof of identity shall be required in the form of--

1. A document bearing the individual's signature and photograph (for example:  driver's license, passport, or military or civilian identification card); or
2. Two documents bearing the individual's signature (for example:  medicare card; unemployment insurance book; employer identification card; professional, craft, or union membership card).

3115.5    When a request is made by the parent, legal guardian, or authorized representative of the data subject, the means of identifying the requester, and his or her authority for acting on behalf of the subject, shall be as prescribed in subsection 3115.3 of this section.  In addition, the requester shall establish the identity of the data subject in the manner prescribed in subsections 3115.1 and 3115.2 of this section.

3115.6    When a written inquiry or request is received from the data subject, or from the data subject's parent, legal guardian, or authorized representative, it shall be signed and:

1. For an inquiry, contain sufficient identifying information about the data subject to permit searching of the record system(s) to permit response; and
2. For a request:
   1. From the data subject, contain sufficient information to locate the record and establish that the requester and the data subject are the same (e.g., matching signatures); or
   2. From the data subject's parent, legal guardian, or authorized representative, contain sufficient information to locate the record and match identity with the data subject, and such documentation of association or authorization as is prescribed in this section.

3115.7    The signed request from the data subject, or from the data subject's parent, legal guardian, or authorized representative specified in this subsection shall be sufficient proof of identity of the requester unless for good cause the custodian of the personnel records or his or her designee determines that there is a need to require some notarized or certified evidence of the identity of the requester.

3115.8    The custodian of the personnel records or his or her designee may modify the types of proof of identity required and the method by which it is provided, on a case-by-case basis and within the limits prescribed in this section.

3115.9    When provisions of this section are alleged to have the effect of impeding an individual in exercising rights of access, the Office of Personnel or the agency shall consider from the individual making the request reasonable alternative suggestions regarding proof of identity and authority for access to records.

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3116     Requests for Access

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3116.1    A data subject shall be granted access to the data subject's own records upon request, except where denial is authorized under sections 3112 and 3113 of this chapter.  To request access, the individual should contact the DC Office of Personnel or the Independent Personnel Authority having custody of the records.  Requests may be made in person or by mail.  Requests should specify the name of the system of records, if known.  All individuals requesting access to records shall meet the identification requirements set forth in section 3115 above.  Agencies may provide forms to facilitate the servicing of requests under these regulations.

3116.2    When an individual cites the Freedom of Information Act and requests personnel records about himself or herself, the request shall be processed under this section, as it provides greater access.

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3117     Methods of Access

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3117.1    The following shall be methods for allowing access to records when such access has been granted by a custodian of the personnel records or his or her designee:

1. Inspection in person may be made in the office designated by the custodian of personnel records during the hours specified by the agency; or
2. Generally, the DC Office of Personnel, or the Independent Personnel Authority having custody of the records, shall not furnish certified copies of records.
3. Where copies of records are to be furnished, they may be mailed at the request of the data subject or, as determined by the DC Office of Personnel or the Independent Personnel Authority having custody of the records, only after payment of any fee levied in accordance with the Freedom of Information Regulations is received.

3117.2    Where the requester seeks to obtain original documents, the DC Office of Personnel, or the Independent Personnel Authority having custody of the records, may reserve the right to limit the request to copies of the original records.

3117.3    In no event shall original records be made available for review except in the presence of the custodian of the personnel records or his or her designee.  Section 22-3107 of the District of Columbia Code makes it a crime to deface, mutilate, destroy, abstract or conceal the whole or any part of any record filed in a public office.

3117.4    Special procedures may be applied when processing requests for medical records where the records contain information about medical conditions of such a nature that a prudent physician would hesitate to inform a person suffering from those conditions of their exact nature or probable outcome.

3117.5    If the procedures are to be applied, the information sought shall be released only to a licensed physician designated in writing for that purpose by the data subject or the data subject's authorized representative, parent, or legal guardian.

3117.6    The data subject or the data subject's parent, legal guardian, or authorized representative may be accompanied by someone of his or her choice during personnel access.

3117.7    Neither the data subject nor his or her representative shall be required to justify the decision to be accompanied during access to a record in the presence of the accompanying individual.

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3118     Response to Access Request

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3118.1    The DC Office of Personnel, or the Independent Personnel Authority having custody of the records, shall respond within ten (10) working days after receipt by the system manager or his or her designee to each specific inquiry for access.

3118.2    If the requested data or an answer to a specific inquiry cannot be furnished within the ten (10) day period, a response shall be sent within that time giving the status of the matter and the expected date the material or answer will be furnished, or requesting any additional information needed to process the specific inquiry or request for access.

3118.3    Action shall be completed as soon as possible thereafter, but not later than twenty (20) working days after receipt of the original specific inquiry, request for access, or receipt of the additional information that was requested.

3118.4    In unusual circumstances and for good cause, the custodian of the personnel records may decide that action cannot be completed within twenty (20) days.

3118.5    Unusual circumstances would exist, for example, when the record must be retrieved from archival storage or requested from another agency, when a voluminous amount of material must be reviewed, or when information on other individuals must be separated or deleted from a particular record.

3118.6    In any case, the official shall advise the individual of the reason for the delay and the date (not to exceed an additional twenty (20) working days) by which action can be expected to be completed.

3118.7    Unless the requester refuses to abide by the procedures for access to records as specified in this section, the custodian of the personnel records or his or her designee shall make the entire contents of the requested records available to a properly identified data subject or the data subject’s authorized representative, except for data that:

1. Is subject to a properly promulgated exemption under these regulations; or
2. Requires special procedures for access.

3118.8    Generally, it shall be the policy of the Office of Personnel that there shall be no charge for the first copy of the information being requested, unless large amounts of material must be produced.

3118.9    Thereafter, copies of the same records may be furnished on request after payment in accordance with the fee scheduled listed in the Freedom of Information Regulations of the District of Columbia.

3118.10    The custodian of the personnel records or his or her designee, at his or her discretion, may elect to furnish a copy of the material to the requester in person or by mail.

3118.11    Where it is necessary for the custodian of the personnel records or his or her designee to deny access to all or any part of the requested record, the decision shall be based on one of the reasons for denial set forth above.

3118.12    The agency or official claiming an exemption from the access provisions shall inform the requester of the basis for the denial and of the requester’s right to appeal the decision to exempt any or all of the requested records, as set forth below.

3118.13    If an access request is denied, the official custodian of the personnel records or his or her designee shall give the requester the following information:

1. The custodian of the personnel record’s or designee’s name, position title, and business mailing address.
2. The reason for the denial, including citation of appropriate sections of these regulations.
3. The individual’s opportunity for further administrative consideration, as provided in §§ 3121 and 3122.

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3119     Request for Amendment of Record

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3119.1    Data subjects may request the amendment of their records in writing or in person by contacting the custodian of the personnel record or his or her designee. Requests by mail may be expedited if the words "PERSONNEL RECORD AMENDMENT REQUEST" appear in capital letters on both the face of the envelope and the enclosed letter.

3119.2    Misaddressed or misdirected requests shall be forwarded promptly to the proper office. Time limits prescribed in this section will be measured from receipt at the proper office.

3119.3    In each instance when a forwarded request is received, the receiving office shall notify the data subject that the request was improperly addressed or marked, and inform him or her of the date when the request was received in the proper office.

3119.4    A request for amendment should include the following:

1. The precise identification of the records sought to be amended (for example, description, title, date, paragraph, sentence, line, and words).
2. The specific material to be deleted, if any.
3. The specific material to be added, if any, and the exact place at which it is to be added.
4. A statement of the reasons for the request, with all available documents and materials that substantiate the request.

3119.5    Upon receipt of a request to correct or amend a record, when the Office of Personnel or an agency finds that the request is not in accordance with the requirements prescribed in this section or section 3120 below, the custodian of the personnel records shall, in writing, communicate this determination. From the standpoint of meeting time limits, the request shall not be considered received until such clarifying information is received.

3119.6    The custodian of the personnel records shall respond in writing to a request to amend a record within ten (10) working days. Where appropriate, a response indicating the decision of the Office of Personnel or an agency regarding the request to amend shall be furnished at that time.

3119.7    Where a decision cannot be furnished within ten (10) working days, the response shall acknowledge receipt of the reasons for the delay (sic) and the approximate date (within twenty (20) working days) on which a decision will be issued.

3119.8    When the request for amendment is granted, the custodian of the personnel record or his or her designee shall make the requested amendment, informing the individual in writing of this action, and provide either a copy of the amended record, or in cases where a copy cannot be provided (for example, erasure of information from a record maintained only in computer media), a statement of how the amendment was effected.

3119.9    The custodian of the personnel records or his or her designee shall, where practical, and where records are used in determinations concerning individuals, advise all other known holders of the records of the amendment.

3119.10    The requester shall be informed that known prior recipients of the record have been requested to amend their copies.

3119.11    When the request for amendment is denied, the custodian of the personnel records or his or her designee shall inform the individual in writing that the request is denied and provide the following information:

1. The name and title of the custodian of the personnel records or his or her designee.
2. The reason for denial, including citation of the appropriate sections of these regulations.

3119.12    In those circumstances where the request is partially granted and partially denied, the custodian or his or her designee shall inform the requester how the amendment has been partially effected and the basis for the denial of part of the request.

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3120     Basis for Denial of Request for Amendment

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3120.1    The following criteria shall be considered by the custodian of the personnel records or his or her designee in reviewing initial requests for amendment of records:

1. The sufficiency of the evidence submitted by the data subject.
2. The factual accuracy of the information submitted and the information in the record.
3. The relevancy, necessity, timeliness, and completeness of the information in light of the purpose for which it was collected.
4. The degree of possibility that denial of the request could result in unfair determinations adverse to the data subject.
5. The character of the record sought to be amended.
6. The propriety and feasibility of complying with the specific means of amendment requested by the data subject.
7. The possible involvement of the record in a judicial or quasi-judicial process.

3120.2    The person requesting amendment of the record has the burden of supplying information in support of the propriety and necessity of the amendment request. The decision on the request shall then be rendered based on a review of the data submitted.

3120.3    The custodian of the personnel records shall not be required to gather supporting evidence for the individual and may reserve the right to verify the evidence which the individual submits.

3120.4    Amendment of a record shall be denied upon a determination by the custodian of the personnel records or his or her designee that—

1. The record is subject to an exemption under these regulations, and such exemption is claimed under section 3112 of this chapter;
2. The information submitted by the data subject is not accurate, relevant, or of sufficient probative value;
3. The amendment would violate an enacted statute or regulation;
4. The individual refuses to provide information which is necessary to process the request to amend the record; or
5. The record for which amendment is requested is a record presented in a judicial or quasi-judicial proceeding, or is reasonably expected to be used in a judicial or quasi-judicial proceeding, when such record may be germane to that proceeding.

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3121     Administrative Review of Denial of Access or Amendment

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3121.1    An employee or other person authorized to request access to or amendment of personnel records under sections 3104 through 3120 above, whose request has been denied, may request administrative review of the denial. Such review shall be made by the Director of the Office of Personnel or of the Independent Personnel Authority having custody of the records, and should be addressed, with the envelope clearly marked "Request for Administrative Review."

3121.2    The DC Office of Personnel, or the Independent Personnel Authority having custody of the records, shall respond in writing within ten (10) working days to each request for administrative review of a denial of disclosure or amendment.

3121.3    If a decision cannot be made within the ten (10) day period, an acknowledgment letter shall be sent within that time explaining the delay and furnishing an expected date for the decision.

3121.4    A decision on the request shall be made within thirty (30) working days after receipt of the request.

3121.5    Only for good cause shown, and at the discretion of the responsible official, may this time limit be extended. Any extension shall be made by written notification to the requester explaining the reason for the extension and furnishing a new expected date for the decision. Generally, such extension shall be for no more than an additional thirty (30) working days.

3121.6    The requester shall be notified in writing of the decision, and the responsible official shall:

1. Grant the requested amendment in its entirety and notify the requester of all actions taken to effect the amendment and notify known prior recipients of the record; or
2. Uphold the decision not to amend the record as requested and inform the requester of:
   1. The basis for the decision;
   2. The name and position title of the official responsible for the decision; and
   3. The procedures whereby the requester may appeal the decision; or
3. Grant the requested amendment in part and inform the requester as prescribed in this subsection. For that part denied, inform the requester as prescribed in this subsection.

3121.7    The custodian of the personnel records or designee who issued the denial decision shall be responsible for providing the record which was the subject of the amendment request, and shall otherwise cooperate with the reviewing official.

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3122     Appeals

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3122.1    All appeals of decisions by a Federal official regarding disclosure, access, or amendment of Federal records shall be made in accordance with the appeals provisions of Federal regulations.

3122.2    Appeals of decisions made in response to a request for information under the Freedom of Information Act shall be made as specified in subsections 3110.5 through 3110.7 of this chapter.

3122.3    An appeal of a decision rendered pursuant to sections 3114 through 3121 of this chapter shall be initiated by a "Request for Administrative Review" as set forth in section 3121 of this chapter.

3122.4    An appeal of a decision made in an administrative review è may be made by initiating an action in the Superior Court of the District of Columbia in accordance with DC Code § 1-1527(a).

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3123     Transfer of Official Personnel Folder

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3123.1    When the Office of Personnel or an Independent Personnel Authority hires a person who has served in a District position subject to this chapter, it shall request the transfer of the Official Personnel Folder pertaining to the person’s employment. The folder so obtained shall be used in lieu of establishing a new District Official Personnel Folder.

3123.2    When a person for whom an Official Personnel Folder has been established transfers from one personnel authority to another, the losing authority shall, upon request, transfer the folder to the new employing personnel authority.

3123.3    Before transferring the Official Personnel Folder, the losing personnel authority shall—

1. Remove those records of a temporary nature filed in the folder; and
2. Ensure that all permanent documents in the folder are complete, correct, and present in the folder in accordance with these regulations.

3123.4    When a former District employee is reappointed, the National Personnel Records Center (Civilian) or other repository will, upon request, transfer the folder to the new employing personnel authority.

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3124     Disposition of Folders of Former Employees

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3124.1    The Official Personnel Folders of temporary employees who are typically re-employed after a period of seasonal separation may be retained indefinitely by the employing authority.

3124.2    Folders of persons separated from employment may be retained by the losing Independent Personnel Authority for thirty (30) days after the separation, and may be retained for an additional sixty (60) days or until all required records have been procured and included in the Folder.

3124.3    Inactive personnel folders shall be transferred to the General Services Administration, National Personnel Records Center (civilian), 111 Winnebago Street, Saint Louis, Missouri 63118, or such other repository as may be designated by the DC Department of General Services.

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3125     Exchange of Official Personnel Information

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The Mayor, pursuant to the provisions of Sections 2801 and 3102 of Title XXXI of the Act, is required by Section 3108 of the Act to enter into an agreement with the United States Office of Personnel Management for the exchange of official personnel information, to the extent mutually agreed upon, between the District and Federal Governments in accordance with limitations imposed by law. Official personnel information shall be exchanged as required by the agreement and these regulations.

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