SORN 09-90-0015

System name: Grievance Records Filed Under Procedures Established by Labor-Management Negotiations, HHS/OS/ASPER.

Security classification:   None.

System location:  Personnel offices shown in Applicants for Employment Records, HHS System 09-90-0006, Appendix 1 and offices of operating officials in organizational units serviced by those personnel offices. 

Categories of individuals covered by the system:  Current Federal employees of the Department covered by a collective bargaining agreement.

Categories of records in the system:  This system of records consists of a variety of records relating to an employee's grievance filed under procedures established by labor-management negotiations. Examples of information which may be included in this system of records are the employee's name, SSN, grade, job title, testimony of witnesses, material placed into the record to support the decision, the arbitrator's decision, the arbitrator's report, and a record of an appeal to the Federal Labor Relations Authority.

Authority for maintenance of the system:  Title 5, United States Code, Chapter 71.

Purpose(s): 

Records in this system are used to initiate, consider, and resolve employee grievances filed under procedures established by labor-management negotiations. These records are maintained in each component of the Department. See also “Retrievability'' below.

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

Information in this system may be released to:

(1)   The Office of Personnel Management, Merit Systems Protection Board (including its office of the Special Counsel), and the Equal Employment Opportunity Commission, in carrying out their functions.

(2)   In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the     statute, or rule, regulation or order issued pursuant thereto.

(3)   In the event the Department deems it desirable or necessary, in determining whether particular records are required to be disclosed under the Freedom of Information Act, disclosure may be made to the Department of Justice for the purpose of obtaining its advice.

(4)   A record from this system of records may be disclosed as a “routine use'' to a federal, state or local agency maintaining civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.

A record from this system of records may be disclosed to a federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter.

(5)   In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use to the appropriate agency, whether state or local charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

(6)   Where federal agencies having the power to subpoena other federal agencies' records, such as the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for records in this system of records, the Department will make such records available.

(7)   Where a contract between a component of the Department and a labor organization recognized under E.O. 11491 or 5 U.S.C. Chapter 71 provides that the agency will disclose personal records relevant to the organization's mission, records in this system of records may be disclosed to such organization.

(8)   The Department contemplates that it will contract with a private firm for the purpose of collating, analyzing, aggregating or otherwise refining records in this system. Relevant records will be disclosed to such a contractor. The contractor shall be required to maintain Privacy Act safeguards with respect to such records.

(9) The Department of Labor.

(10) The Federal Labor Relations Authority including the General Counsel of the Authority and the Federal Service Impasses Panel.

(11) Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.

(12) In the event of litigation where the defendant is (a) the Department, any component of the Department, or any employee of the Department in his or her official capacity; (b) the United

States where the Department determines that the claim, if successful, is likely to directly affect the operations of the Department or any of its components; or (c) any Department employee in his    

her individual capacity where the Justice Department has agreed to represent such employee, the Department may disclose such records as it deems desirable or necessary to the Department of Justice to enable that Department to present an effective defense, provided such disclosure is compatible with the purpose for which the records were collected.

(13) Records may be disclosed to student volunteers, individuals working under a personal services contract, and other individuals performing functions for the Department but technically not having the status of agency employees, if they need access to the records in order to perform their assigned agency functions. 

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

Storage:  Records are maintained in file folders.

Retrievability:  Records are retrievable by name. Information from this system may be used by Department officials for preparing statistical summary or management reports.

Safeguards:  Records maintained by management are stored in secured rooms with access limited to those whose official duties require access.

Retention and disposal:  As negotiated by the local parties to the contract. If not covered by contract, records are retained for 3 years after the grievance case is closed and are then destroyed. (See HHS Personnel Instruction 293-1, Exhibit X293-1-1, item 31a.)

System manager(s) and address:  Personnel Officers shown in Applicants for Employment Records, HHS System 09-90-0006, Appendix 1 who service the organizational unit in which the individual is employed.

Notification procedure:  Same as above. Individuals should include their name, grade, title and organizational unit when contacting the system manager.

Record access procedures:  Same as notification procedures. Requesters should also reasonably specify the record contents being sought (These access procedures are in accordance with Department Regulations (45 CFR 5b.5(a)(2)) Federal Register, October 8, 1975, page 47410)

Contesting record procedures:  Contact the official at the address specified under notification procedures above, and reasonably identify the record and specify the information to be contested, and state the corrective action sought and the reasons for the correction. (These procedures are in accordance with Department Regulations (45 CFR 5b.7) Federal Register, October 8, 1975, page 47411)

Record source categories: Information in this system of records is: (1) Supplied directly by the individual, or (2) derived from information supplied by the individual, or (3) supplied by testimony of witnesses, or (4) supplied by union officials, or (5) supplied by Department officials.

Systems exempted from certain provisions of the act: None.