Effective Date: January 11, 2006
(71 F.R. 1864)
SOCIAL SECURITY ADMINISTRATION NOTICE OF SYSTEM OF RECORDS REQUIRED BY
THE PRIVACY ACT OF 1974
SYSTEM NUMBER: 60-0245
System name:
Negotiated
Grievance Procedure Records, Social Security Administration, Deputy
Commissioner for Human Resources, Office of Labor Management and Employee
Relations.
Security classification:
None.
System Location:
Office of Personnel
Personnel
Management Specialist
Social Security Administration
Categories of individuals covered by the system:
Current
and former employees of the Social Security Administration (SSA) who have filed
grievances under a negotiated grievance procedure.
Categories of records in the system:
This system of
records consists of a variety of records relating to an employee grievance
filed under procedures established by labor-management negotiations. These
records may include information such as:
employee's name,
Social Security number (SSN), grade, job title, employment history, the names
of supervisors, union representative and management officials, testimony of
witnesses, a variety of employment and personnel records associated with the
grievance, the arbitrator's decision or report, and a record of an appeal to
the Federal Labor Relations Authority and to the courts, and pleadings,
submissions and decisions on appeal. (NOTE: Copies of these records are kept
under the auspices of the Assistant Regional Commissioner, Management and
Operations Support and in the originating office.)
Authority for maintenance of the system:
5
U.S.C. 7121.
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 centrally and in each component of SSA. Information from this
system may be used by SSA officials for preparing statistical summary or
management reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure may
be made for routine uses as indicated below:
1. To the Office of Personnel Management,
the Merit Systems Protection Board, or the Office of the Special Counsel when
information is requested in connection with appeals, special studies of the
civil service and other merit systems, review of those agencies' rules and
regulations, investigation of alleged or possible prohibited personnel
practices, and for such other function of these agencies as may be authorized
by law, e.g., 5 U.S.C. 1205 and 1206.
2. To the Equal Employment Opportunity
Commission when requested in connection with investigations into alleged or
possible discriminatory practices in the Federal sector, examination of Federal
affirmative employment programs, compliance by Federal agencies with the
Uniform Guidelines on Employee Selection Procedures, or other functions vested
in the Commission.
3. To the appropriate Federal, State or
local agency responsible for investigating, prosecuting, enforcing or
implementing a statute, rule, regulation or order, where SSA becomes aware of a
violation or potential violation of civil or criminal law or regulation.
4. To the Department of Justice for the
purpose of obtaining its advice in determining whether particular records are
required to be disclosed under the Freedom of Information Act.
5. 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.
6. 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 a 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.
7. To a Federal agency having the power to
subpoena records, for example, the Internal Revenue Service or the Civil Rights
Commission, in response to a subpoena for information contained in this system
of records.
8. To officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting conditions of employment.
9. To contractors for the purpose of
collating, analyzing, aggregating or otherwise refining records in this system.
The contractor shall be required to maintain Privacy Act safeguards with
respect to such records.
10. To the Department of Labor in carrying
out its functions regarding labor-management relations to the Federal service.
11. To the Federal Labor Relations
Authority, its General Counsel, the Federal Mediation
and Conciliation Service, the Federal Service Impasses Panel, or an arbitrator
when information is requested in connection with investigations of allegations
of unfair practices, matters before an arbitrator or the Federal Service
Impasses Panel.
12. 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.
13. To the Department of Justice (DOJ), a
court or other tribunal, or another party before such tribunal when:
(a) Social Security Administration (SSA),
or any component thereof, or
(b) Any SSA employee in his/her official
capacity; or
(c) Any SSA employee in his/her individual
capacity where DOJ (or SSA where it is authorized to do so) has agreed to
represent the employee; or
(d) The United States or any agency thereof
where SSA determines that the litigation is likely to affect the operations of
SSA or any of its components, is a party to litigation or has an interest in
such litigation, and SSA determines that the use of such records by DOJ, a
court or other tribunal, or another party before such tribunal, is relevant and
necessary to the litigation, provided, however, that in each case, SSA
determines that such disclosure is compatible with the purpose for which the
records were collected.
14. To student volunteers, individuals
working under a personal services contract, and other workers who technically
do not have the status of Federal employees, when they are performing work for
the Social Security Administration (SSA), as authorized by law, and they need
access to personally identifiable information in SSA records in order to
perform their assigned Agency functions.
15. To any source from which additional
information is requested in the course of resolving a grievance, to the extent
necessary to identify the individual, inform the source of the purpose(s) of
the request, and to identify the type of information requested.
16. To an appropriate licensing
organization or Bar association responsible for investigating, prosecuting,
enforcing or implementing standards for maintaining a professional licensing or
Bar membership, if the Social Security Administration becomes aware of a
violation or potential violation of professional licensing or Bar association
requirements.
17. To another Federal agency, a court, or
a party in litigation before a court or in an administrative proceeding being
conducted by a Federal agency, when the Government is a party to the judicial
or administrative proceeding.
18. To the Office of the President for
responding to an individual pursuant to an inquiry received from that
individual or from a third party on his or her behalf.
19. To the General Services Administration
and the National Archives Records Administration (NARA) under 44 U.S.C. 2904
and 2906, as amended by the NARA Act of 1984, information which is not
restricted from disclosure by Federal law for the use of those agencies in
conducting records management studies.
20. To the Secretary of Health and Human
Services or to any State, the Commissioner shall disclose any record or
information requested in writing by the Secretary for the purpose of
administering any program administered by the Secretary, if records or
information of such type were so disclosed under applicable rules, regulations
and procedures in effect before the date of enactment of the Social Security
Independence and Program Improvements Act of 1994.
21. We
may disclose information to appropriate Federal, State, and local agencies,
entities, and persons when (1) we suspect or confirm that the security or
confidentiality of information in this system of records has been compromised;
(2) we determine that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity theft or
fraud, or harm to the security or integrity of this system or other systems or
programs of SSA that rely upon the compromised information; and (3) we
determine that disclosing the information to such agencies, entities, and
persons is necessary to assist in our efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm. SSA will use
this routine use to respond only to those incidents involving an unintentional
release of its records.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are
maintained in paper form (e.g., file folders).
Retrievability:
These records
are retrieved by the names of individuals who have filed a grievance.
Safeguards:
Records
maintained by management are stored in secured rooms with access limited to
those whose official duties require access.
Access http://www.socialsecurity.gov/foia/bluebook/app_g.htm for additional
information relating to SSA data security measures.
Retention and disposal:
As negotiated by
the local parties to a labor contract. If not covered by contract, records are
retained for 3 years after the grievance case is closed and are then destroyed.
System manager(s) and address(s):
Office of Personnel
Personnel
Management Specialist
Room
L1141
Notification procedures:
Generally, an
individual who has filed a grievance under a negotiated procedure is aware of
that fact and has been provided access to the file. However, an individual can
determine if this system contains a record about him/her by writing to the
system manager(s) at the above address and providing his/her name, SSN or other
information that may be in the system of records that will identify him/her. An
individual requesting notification of records in person should provide the same
information, as well as provide an identity document, preferably with a
photograph, such as a driver's license or some other means of identification.
If an individual does not have any identification documents sufficient to
establish his/her identity, the individual must certify in writing that he/she
is the person claimed to be and that he/she understands that the knowing and
willful request for, or acquisition of, a record pertaining to another
individual under false pretenses is a criminal offense.
If notification is requested by telephone,
an individual must verify his/her identity by providing identifying information
that parallels information in the record to which notification is being
requested. If it is determined that the identifying
information provided by telephone is insufficient, the individual will be
required to submit a request in writing or in person. If an individual
is requesting information by telephone on behalf of another individual, the
subject individual must be connected with SSA and the requesting individual in
the same phone call. SSA will establish the subject individual's identity
(his/her name, SSN, address, date of birth and place of birth, along with one
other piece of information, such as mother's maiden name) and ask for his/her
consent in providing information to the requesting individual.
If a request for notification is submitted
by mail, an individual must include a notarized statement to SSA to verify
his/her identity or must certify in the request that he/she is the person claimed
to be and that he/she understands that the knowing and willful request for, or
acquisition of, a record pertaining to another individual under false pretenses
is a criminal offense. These procedures are in accordance with SSA Regulations
(20 CFR 401.40(c)).
Record access procedures:
Same
as Notification procedures. Requesters should also reasonably specify
the record contents being sought. This procedure is in accordance with SSA
Regulations (20 CFR 401.40(c)).
Contesting record procedures:
Same
as Notification procedures. Also, requesters should reasonably
identify the record, specify the information they are contesting and the
corrective action sought, and the reasons for the correction, with supporting
justification showing how the record is incomplete, untimely, inaccurate or
irrelevant. These procedures are in accordance with SSA Regulations (20 CFR
401.40(c)).
Record source categories:
Information in
this system of records is (1) supplied by the individual on whom the record is
maintained; or (2) derived from information supplied by the individual; or (3)
supplied by the testimony of witnesses; or (4) supplied by management
representative or union officials; or (5) supplied by SSA officials.
Systems exempted from certain provisions of the Privacy Act:
None.