Records Management and Privacy of Records
Policies and procedures on the establishment, maintenance, disclosure and disposition of official records.
Whenever a subordinate agency makes a personnel change through a competitive or non-competitive procedure, the agency must submit a Personnel Action Request (PAR) to the D.C. Department of Human Resou...
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This DPM instruction is being issued to inform and officially distribute to District government agencies the credentialing request form developed by the Department of Human Resources (DCHR). Employee ...
The purpose of this E-DPM instruction is to inform agencies of enhancements made to the PeopleSoft system relating to telecommuting; and apprise subordinate agencies of the requirement to designate em...
The purpose of this instruction is to inform management officials and employees in general, and the general public that: Effective September 9, 2013, the D.C. Department of Human Resources (DCHR...
The purpose of this Electronic-District Personnel Manual (E-DPM) instruction is to rescind DPM Instruction No. 31A-3, Health Information Privacy Policies and Procedures, dated April 14, 2003. The reas...
|3101||Cooperation with the US Office of Personnel Management|
|3102||Disclosure of Official Information to Personnel and Law Enforcement Authorities|
|3103||Basic Policies for Maintenance of Personnel Records|
|3104||Collection of Information|
|3105||Safeguarding Information About Individuals|
|3106||Rules of Conduct|
|3107||Official Personnel Folder|
|3108||Availability of Official Personnel Information|
|3109||Places Where Information May be Obtained|
|3110||Procedures for Obtaining Information|
|3111||Procedure for Disclosure of Information|
|3112||Limitations on Disclosure from Specific Personnel Records|
|3113||Disclosure of Information|
|3114||Employee Access to and Amendment of Official Personnel Records|
|3115||Identification Requirements for Inquiries and Requests for Access|
|3116||Requests for Access|
|3117||Methods of Access|
|3118||Response to Access Request|
|3119||Request for Amendment of Record|
|3120||Basis for Denial of Request for Amendment|
|3121||Administrative Review of Denial of Access or Amendment|
|3123||Transfer of Official Personnel Folder|
|3124||Disposition of Folders of Former Employees|
|3125||Exchange of Official Personnel Information|
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.
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:
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:
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:
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:
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:
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:
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:
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:
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.
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:
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:
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:
3104.8 EEO data may be used:
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.
3105.1 Controls shall be established in accordance with the following:
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--
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:
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.
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:
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.
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--
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.
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.
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.
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.
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:
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:
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--
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.
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:
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--
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.
3113.1 The following information about most present and former government employees shall be available to the public:
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:
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:
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:
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:
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.
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.
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:
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:
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--
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:
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.
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.
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:
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.
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:
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:
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:
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:
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.
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:
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—
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:
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.
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).
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—
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.
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.
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.