63VA05
Grievance Records-VA
System location:
These records are located in personnel or
designated offices in the Veterans Administration (VA) in which the
grievances were filed.
Categories of individuals covered by the system:
Current or former VA employees who have submitted grievances with the agency in
accordance with part 771 of OPM Regulations (5 CFR part 771); VA
Personnel Manual MP-5, Part I, Chapter 771, and Part II, Chapter 8;
or a negotiated procedure.
Categories of records in the system:
The system contains records
relating to grievances filed by agency employees under Part 771 of
OPM Regulations and VA Personnel Manual MP-5, Part I, Chapter 771,
and Part II, Chapter 8. These case files contain all documents
related to the grievance, including statements of witnesses, reports
of interviews and hearings, examiner's findings and recommendations,
a copy of the original and final decision, and related correspondence
and exhibits. This system includes files and records of internal
grievance and arbitration systems that may be established through
negotiations with recognized labor organizations.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, 3302, E.O. 10577, 3 CFR 1954-1958 Comp. p218, E.O. 10987, 3 CFR 1959-1963
Comp. p519, 38 U.S.C. 4108 and 4115, agency employees, for personal
relief in a matter of concern or dissatisfaction which is subject to
the control of agency management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
- To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation.
- To disclose information to any source from which additional
information is requested in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request and identify the type of information
requested.
- To disclose information 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 conducting of a
security or suitability investigation of an individual, the
classifying of jobs, the letting of a contract, or the issuance of a
license, grant, or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to requesting
the agency's decision on the matter.
- To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
- To disclose information to another Federal agency or to a
court when the Government is party to a judicial proceeding before
the court.
- By the National Archives and Records Administration (General
Services Administration) in records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906.
- By the agency maintaining the records or the OPM in the
production of summary descriptive statistics and analytical studies
in support of the function for which the records are collected and
maintained, or for related work force studies. While published
statistics and studies do not contain individual identifiers, in some
instances, the selection of elements of data included in the study
may be structured in such a way as to make the data individually
identifiable by inference.
- To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel, the
Federal Labor Relations Authority and its General Counsel, or the
Equal Employment Opportunity Commission when requested in performance
of their authorized duties.
- To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
- To provide information to officials of labor organizations
reorganized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
- Relevant information from this system of records may be
disclosed to the National Practitioner Data Bank and/or State
Licensing Board in the State(s) in which a practitioner is licensed,
in which the VA facility is located, and/or in which an act or
omission occurred upon which a medical malpractice claim was based
when VA reports information concerning: (1) Any payment for the
benefit of a physician, dentist, or other licensed health care
practitioner which was made as the result of a settlement or judgment
of a claim of medical malpractice if an appropriate determination is
made in accordance with agency policy that payment was related to
substandard care, professional incompetence or professional
misconduct on the part of the individual; (2) a final decision which
relates to possible incompetence or improper professional conduct
that adversely affects the clinical privileges of a physician or
dentist for a period longer than 30 days; or, (3) the acceptance of
the surrender of clinical privileges or any restriction of such
privileges by a physician or dentist either while under investigation
by the health care entity relating to possible incompetence or
improper professional conduct, or in return for not conducting such
an investigation or proceeding. These records may also be disclosed
as part of a computer matching program to accomplish these purposes.
- Identifying information in this system, including name,
address, social security number and other information as is
reasonably necessary to identify such individual, may be disclosed to
the National Practitioner Data Bank at the time of hiring and/or
clinical privileging/reprivileging of health care practitioners, and
other times as deemed necessary by VA, in order for VA hiring,
privileging/reprivileging, retention or termination of the applicant
or employee.
- Relevant information from this system of records may be
disclosed to the National Practitioner Data Bank or to a State or
local government licensing board which maintains records concerning
the issuance, retention or revocation of licenses, certifications, or
registrations necessary to practice an occupation, profession or
specialty when under the following circumstances, through a peer
review process that is undertaken pursuant to VA policy, negligence,
professional incompetence, responsibility for improper care, and/or
professional misconduct has been assigned to a physician or licensed
or certified health care practitioner: (1) On any payment in
settlement (or partial settlement) of, or in satisfaction of a
judgment in, a medica1 malpractice action or claim; or, (2) on any
final decision that adversely affects the clinical privileges of a
physician or practitioner for a period of more than 30 days. These
records may also be disclosed as part of a computer matching program
to accomplish these purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the
individuals on whom they are maintained.
Safeguards:
These records are maintained in lockable metal filing
cabinets to which only authorized personnel have access.
Retention and disposal:
These records are disposed of three years
after closing of the case. Disposal is by shredding or burning.
System manager(s) and address:
Officials maintaining the system--
Personnel Officer at station where employed (see Appendix 1 for local
addresses). Official responsible for policies and procedures--
Assistant Administrator for Personnel (05), VA Central Office, 810
Vermont Avenue, NW, Washington, DC 20420.
Record access procedures:
It is required that individuals submitting grievances be provided a copy of the record under the
grievance process. They may, however, contact the agency personnel or
designated office where the action was processed regarding the
existence of such records on them. They must furnish the following
information for their records to be located and identified:
- Name.
- Date of birth.
- Approximate date of closing of the case and kind of action
taken.
- Organizational component involved.
Contesting record procedures:
It is required that individuals
submitting grievances be provided a copy of the record under the
grievance process. However, after the action has been closed, an
individual may request access to the official copy of the grievance
file by contacting the agency personnel or designated office where
the action was processed.
Individuals must provide the following information for their
records to be located and identified:
- Name.
- Date of birth.
- Approximate date of closing of the case and kind of action
taken.
- Organizational component involved.
Individuals requesting access must also follow the VA's Privacy
Act regulations regarding access to records and verification of
identity (38 CFR 1.577).
Contesting record procedures:
Review of requests from individuals
seeking amendment of their records which have been the subject of a
judicial or quasi-judicial action will be limited in scope. Review of
amendment requests of these records will be restricted to determining
if the record accurately documents the action of the agency ruling on
the case, and will not include a review of the merits of the action,
determination, or finding.
Individuals wishing to request amendment to their records to
correct factual errors should contact the agency personnel or
designated office where the grievance was processed.
Individuals must furnish the following information for their records to be located and
identified:
- Name.
- Date of birth.
- Approximate date of closing of the case and kind of action
taken.
- Organizational component involved.
Individuals requesting amendment must also follow the VA Privacy
Act regulations regarding amendment to records and verification of
identity (38 CFR 1.577).
Record source categories:
Information in this system of records is provided:
- By the individual on whom the record is maintained.
- By testimony of witnesses.
- By agency officials.
- From related correspondence from organizations or persons.
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