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OFFICIAL RECORDS
Section 1. Material placed in an employee's Official
Personnel File (OPF)/Employee Performance File (EPF), Medical, Security,
Training folder or other DOT/FAA file(s) shall comply with Federal Personnel
Manual requirements and shall be maintained in accordance with the applicable
provisions of the Privacy Act and its implementing regulations and this
Agreement. This includes those files maintained at the employee's facility.
Those records maintained by the Employer under a system of records pursuant to
the Privacy Act shall be the only records kept on the employee. Where required
by law, rule or regulations, any material which becomes a part of the
employee's records shall bear the signature of the person originating the
material. The employee shall be given copies of all FAA initiated material
which is placed in his/her OPF/EPF. Copies of materials in other FAA files may
be obtained in accordance with Section 11 of this Article.
Section 2. There shall be maintained only one OPF/EPF for each employee
in the bargaining unit. The OPF/EPF shall be located in the appropriate Human
Resource Management Division. The employee and his/her designated
representative is entitled to review his/her OPF/EPF, Medical, Security,
Training folder or DOT/FAA file in the presence of a management official,
provided access to that information is in accordance with the applicable
provisions of the Privacy Act and other applicable laws, rules and
regulations.
Section 3. Upon an employee's written request, his/her OPF/EPF,
Medical, Security, Training folder, or other DOT/FAA file and its contents, or
a true and certified copy thereof, shall be forwarded to his/her facility,
except for material restricted by law, rule or regulation. This shall normally
be accomplished within thirty (30) days of the receipt of the request, except
when the folder is needed elsewhere for official Agency business. In those
cases, the employee will be notified why the file was not available. The
employee and/or, upon his/her written authorization, his/her Union
representative, will be permitted to examine the employee's folder/files, on
duty time, if otherwise in a duty status, as forwarded to the facility, in the
presence of a management official.
Section 4. Letters of reprimand and documents related to them shall be
retained in the OPF for no more than two (2) years. If at the end of one (1)
year it is decided that it is no longer warranted, the reprimand and related
documents shall be removed. In the event a letter of reprimand is ruled by
appropriate authority to have been unjustly issued, the reprimand and related
documents shall be removed immediately and destroyed. Any reference to a
letter of reprimand which has been expunged from the OPF must be removed from
the Employee Record Card, SF-7B card.
Section 5. Access to an employee's OPF/EPF Medical and Security file
shall be granted to other persons only as authorized by law and OPM
regulation. The Employer shall maintain a log of all persons, outside the
Civil Aviation Security and Human Resource Management offices, who have
accessed an employee's OPF/EPF or Security file in the performance of their
duties. If no such log currently exists, it will be generated and filed in the
employee's OPF/EPF or Security file at the time the first request for access
to his/her file is received and granted. This includes those files maintained
at the employee's facility except for personnel who routinely maintain the
files. Upon written request, the employee shall be permitted to review the log
and make a copy in the presence of a management official.
Section 6. An employee, pursuant to OPM regulations, may request that a
record maintained by the Employer be corrected or amended if he/she believes
the information is incorrect. The Employer will advise the employee within
fifteen (15) days of its determination concerning the employee's request. An
employee who attempts unsuccessfully to correct or amend a record maintained
by the Employer will be advised of the reasons for the refusal and may have a
statement of disagreement placed in his/her folder.
Section 7. In accordance with 5 USC 552a, any disclosure of an
employee's record, containing information about which the individual has filed
a statement of disagreement, the Employer shall clearly note any portion of
the record which is disputed and also provide copies of the employee's
statement and, if appropriate, the Employer's reasons for not making the
amendments.
Section 8. Use of the Employee Record Card, SF-7B card, shall be
optional at each facility. Employees shall be notified in writing, normally
within five (5) calendar days after any notation on his/her SF-7B for which
the employee would not otherwise receive documentation. Employees shall, upon
request, be provided access to the SF-7B card consistent with applicable law
and regulations. The provisions of Section 7 regarding corrections or
amendments are also applicable to the Employee Record Card.
Section 9. Personal records, notes or diaries maintained by a
supervisor with regard to his/her work unit or employees are merely extensions
of the supervisor's memory, and may be retained or discarded at the
supervisor's discretion. Such notes are not subject to the provisions of the
Privacy Act so long as the following conditions are met:
a. They are kept and maintained for the supervisors
personal use only.
b. They are not circulated to anyone else, including secretarial staff or
another supervisor of the same employee.
c. They are not under the control of the FAA in any way or required to be
kept by the FAA.
d. They are kept or destroyed solely as the supervisor sees fit.
Such records, notes or diaries are not to be regarded by the
supervisor as a "secret black book" to use against employees (i.e., notes
should include the praiseworthy acts of employees as well as problems). They
are to be current and pertinent to help focus on meaningful issues when
counseling, evaluating performance, assisting in career development, and
similar day-to-day responsibilities.
Such records, notes or diaries shall not be used as a basis to support the
following:
a. a performance evaluation of less than fully successful;
b. the denial of a career ladder promotion;
c. the denial of a within-grade increase;
d. disciplinary or adverse actions;
unless the employee has been shown and provided a copy of
such documentation within a reasonable period of time, not to exceed fifteen
(15) days, after it has been determined that the information will be used for
such purpose, and within a sufficient amount of time before it is used. If an
employee is shown a note, record, or diary as part of the administrative
process, he/she shall be given the opportunity to submit a written response
contesting the information contained therein.
Section 10. In the event an employee is the subject
of a security investigation and such investigation produces a negative
determination, any information or documents obtained and made a part of the
Security file shall not be released or shared without the express written
authorization of the employee, except pursuant to 5 USC 552a(b) and 5 CFR
297.401.
Section 11. Each employee, upon written request, and/or his/her
designated representative, upon written authorization, shall be allowed to
prepare an itemized listing and/or copy, in the presence of a management
official, of any/all of the OPF/EPF, SF-7B card, Medical, Security, Training
folder or other DOT/FAA file, with the exception of records restricted by law
or regulation.
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