United States Department of Veterans Affairs

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:

  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. To disclose information to another Federal agency or to a court when the Government is party to a judicial proceeding before the court.
  6. 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.
  7. 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.
  8. 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.
  9. 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.
  10. 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.
  11. 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.
  12. 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.
  13. 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:

  1. Name.
  2. Date of birth.
  3. Approximate date of closing of the case and kind of action taken.
  4. 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:

  1. Name.
  2. Date of birth.
  3. Approximate date of closing of the case and kind of action taken.
  4. 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:

  1. Name.
  2. Date of birth.
  3. Approximate date of closing of the case and kind of action taken.
  4. 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:

  1. By the individual on whom the record is maintained.
  2. By testimony of witnesses.
  3. By agency officials.
  4. From related correspondence from organizations or persons.


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