ML18032A298
| ML18032A298 | |
| Person / Time | |
|---|---|
| Site: | Browns Ferry  |
| Issue date: | 05/13/1987 |
| From: | Evans P, Long J, Martin M TENNESSEE VALLEY AUTHORITY |
| To: | |
| Shared Package | |
| ML18032A274 | List: |
| References | |
| 72000, 72000-R03, 72000-R3, NUDOCS 8706040303 | |
| Download: ML18032A298 (63) | |
Text
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT TYPE; Management and Personnel Subcategory TITLE:
Personnel Records REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 1
OF 16 REASON FOR REVISION:
Incorporation of final evaluator comments.
PREPARED BY:
PREPARATION SIGNATURE
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M'T DATE PEER:
REVIEWS S
ATURE DATE r
TAS:,Iti yl SIGNATURE CONCURRENCES
, ~
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~~z S7 ATE CEG-H:
SIGNATURE APPROVED BY:
DATE SRP:
""SIGNATURE DATE SP MA AGER DATE N/A MANAGER OF NUCLEAR POWER CONCURRENCE (FINAL REPORT ONLY)
DATE
=SRP Secretary's signature denotes SRP concurrences are in files, t
1782T 870b04030 870522 PDR ADOCK 05000259 P
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TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 FRONT HATTER REV:
2 PAGE i OF viii Preface This subcategory report is one of a series of reports prepared for the Employee Concerns Special Program (ECSP) of the Tennessee Valley Authority (TVA).
The ECSP and the organization which carried out the program, the Employee Concerns Task Group (ECTG), were established by TVA's Manager of Nuclear Power to evaluate and report on those Office of Nuclear Power (ONP) employee concerns filed before February 1, 1986.
Concerns filed after that date are handled by the ongoing ONP Employee Concerns Program (ECP).
The ECSP addressed over S800 employee concerns.
Each of the concerns was a
formal, written description of a circumstance or circumstances that an employee thought was unsafe, unjust, inefficient, or inappropriate.
The mission of the Employee Concerns Special Program was to thoroughly investigate all issues presented in the concerns and to report the results of those investigations in a form accessible to ONP employees, the
- NRC, and the general public.
The results of these investigations are communicated by four levels of ECSP reports;
- element, subcategory,
- category, and final.
Ele'ment reports, the lowest reporting level, will be published only for those concerns directly affecting the restart of Sequoyah Nuclear Plant's reactor unit 2.
An element consists of one or more closely related issues.
An issue is a potential problem identified by ECTG during the evaluation process as having been raised in one or more concerns.
For efficient handling, what appeared to be similar concerns were grouped into elements early in the program, but issue definitions emerged from the evaluation process itself.
Consequently, some elements did include only one issue, but often the ECTG evaluation found more than one issue
- per, element.
Subcategory reports summarize the evaluation of a number of elements,
- However, the subcategory report does more than collect element level evaluations.
The subcategory level overview of element findings leads to an integration of information that cannot take place at the element level, This integration of information reveals the extent to which problems overlap more than one element and will therefore require corrective action for underlying causes not fully apparent at the element level.
To make the subcategory reports easier to understand, three items have been placed at the front of each report:
a preface, a glossary of the terminology unique to ECSP reports, and a list of acronyms (terms formed from the first letters of a series of words).
Additionally, at the end of each subcategory report the reader will find at least two attachments.
The first is a Subcategory Summary Table that includes the following information:
the concern
- number, a brief statement of the concern, and a designation of nuclear safety-related concerns.
The second attachment is a listing of the concerns included in each issue evaluated in the subcategory,
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBERS 72000 FRONT MATTER REV:
2 PAGE ii OF viii The subcategories are themselves summarized in a series of eight category reports.
Each category report reviews the major findings and collective significance of the subcategory reports in one of the following areas:
management and personnel relations industrial safety construction material control operations quality assurance/quality control welding engineering A separate report on employee concerns dealing with specific contentions of intimidation, harassment, and wrongdoing will be released by the TVA Office of the Inspector General.
Just as the subcategory reports integrate the information collected at the element level, the category reports integrate the information assembled in all the subcategory reports within the category, addressing particularly the underlying causes of those problems that run across more than one subcategory.
A final report will integrate and assess the information collected by all of the lower level reports prepared for the
- ECSP, including the Inspector General's report.
For more detail on the methods by which ECTG employee concerns were evaluated and reported, consult the Tennessee Valley Authority Employee Concerns Task Group Program Manual.
The Manual spells out the program's objectives,
- scope, organization, and responsibilities.
It also specifies the procedures that were followed in the investigation, reporting, and closeout of the issues raised by employee concerns.
0
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 FRONT MATTER REV:
2 PAGE iii OF viii ECSP GLOSSARY OF REPORT TERMS~
classification of evaluated issues the evaluation of an issue leads to one of the following determinations:
Class A:
Issue cannot be verified as factual Class B:
Issue is factually accurate, but what is described is wot a
problem (i.e., not a condition requiring corrective action)
Class C:
Issue is factual and identifies a problem, but corrective action for the problem was initiated before the evaluation of the issue was undertaken Class D:
Issue is factual and presents a problem for which corrective action has
- been, or is being, taken as a result of an evaluation Class E;
A problem, requiring corrective action, which was not identified by an employee
- concern, but was revealed during the ECTG evaluation of an issue raised by an employee concern.
t collective si nificance an analysis which determines the importance and consequences of the findings in a particular ECSP report by putting those findings in the proper perspective.
concern (see "employee concern" )
corrective action steps taken to fix specific deficiencies or discrepancies revealed by a negative finding and, when necessary, to correct causes in order to prevent recurrence.
criterion lural:
criteria a basis for defining a performance,
- behavior, or quality which ONP imposes on itself (see also "requirement" ).
element or element re ort an optional level of ECSP report, below the subcategory level, that deals with one or more issues.
em lo ee concern a formal, written description of a circumstance or circumstances that an employee thinks unsafe, unjust, inefficient or inappropriate; usually documented on a K-form or a form equivalent to the K-form.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAH REPORT NUMBER:
72000 FRONT HATTER REV:
2 PAGE iv OF viii grouping of employee concerns.
~fjndin s
includes both statements of fact and the judgments made about those facts during the evaluation process; negative findings require corrective action.
issue a potential problem, as interpreted by the ECTG during the evaluation
- process, raised in one or more concerns, K-form (see "employee concern")
evaluation judgment or decision may be based, root cause the underlying reason for a problem.
<Terms essential to the program but which require detailed definition have been defined in the ECTG Procedure Manual (e.gae generic, specific, nuclear safety-related, unreviewed safety-significant question).
TVA EHPLOYEE CONCERNS SPECIAL PROGRAH REPORT NUHBER:
72000 FRONT HATTER REV:
2 PAGE v OF viii Acronyms AI AISC ALARA ANS ANSI ASHE ASTH AMS BFN BLN CAQ CAR CATD CCTS CEG-H CFR CI CHTR COC DCR DNC Administrative Instruction American Institute of Steel Construction As Low As Reasonably Achievable American Nuclear Society American National Standards Institute American Society of Hechanical Engineers American Society for Testing and Haterials American Melding Society Browns Ferry Nuclear Plant Bellefonte Nuclear Plant Condition Adverse to Quality Corrective Action Report Corrective Action Tracking Document Corporate Commitment Tracking System Category Evaluation Group Head Code of Federal Regulations Concerned Individual Certified Haterial Test Report Certificate of Conformance/Compliance Design Change Request Division of Nuclear Construction (see also NU CON)
la
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 FRONT MATTER REV:
2 PAGE vi OF viii DNE DNQA DNT DOE DPO DR ECN ECP ECP-SR ECSP ECTG EEOC EQ EMRT Division of Nuclear Engineering Division of Nuclear Quality Assurance Division of Nuclear Training Department of Energy Division Personnel Officer Discrepancy Report or Deviation Report Engineering Change Notice Employee Concerns Program Employee Concerns Program-Site Representative Employee Concerns Special Program Employee Concerns Task Group Equal Emplo'yment Opportunity Commission Environmental Qualification Emergency Medical Response Team EN DES Engineering Design ERT FCR FSAR FY GET HCI HVAC INPO Employee
Response
Team or Emergency
Response
Team Field Change Request Final Safety Analysis Report Fiscal Year General Employee Training Hazard Control Instruction Heating, Ventilating, Air Conditioning Installation Instruction Institute of Nuclear Power Operations Inspection Rejection Notice
TVA EMPLOYEE CONCERNS SPECIAL PROGRAH REPORT NUHBER:
72000 FRONT HATTER REV:
2 PAGE vii OF viii L/R M6dLI HI MSPB MT NCR NDE NPP NPS NQAH NRC NSB NSRS Labor Relations Staff Hodifications and Additions Instruction Haintenance Instruction Herit Systems Protection Board Hagnetic Particle Testing Nonconforming Condition Report Nondestructive Examination Nuclear Performance Plan Non-plant Specific or Nuclear Procedures System Nuclear Quality Assurance Manual Nuclear Regulatory Commission Nuclear Services Branch Nuclear Safety Review Staff NU CON Division of Nuclear Construction (obsolete abbreviation, see DNC)
NUHARC Nuclear Utility Management and Resources Committee OSHA ONP OMCP PHR PT QA QAP QC QCI Occupational Safety and Health Administration (or Act)
Office of Nuclear Power Office of Morkers Compensation Program Personal History Record Liquid Penetrant Testing Quality Assurance Quality Assurance Procedures Quality Control Quality Control Instruction
TVA EMPLOYEE CONCERNS SPECIAL PROGRAH REPORT NUMBER:
72000 FRONT HATTER REV:
2 PAGE viii OF viii QCP QTC RIF RT SQN SI SOP SRP SMEC TAS TSL TVA TVTLC Quality Control Procedure Quality Technology Company Reduction in Force Radiographic Testing Sequoyah Nuclear Plant Surveillance Instruction Standard Operating Procedure Senior Review Panel Stone and Mebster Engineering Corporation Technical Assistance Staff Trades and Labor Tennessee Valley Authority Tennessee Valley Trades and Labor Council Ultrasonic Testing Visual Testing MBECSP Matts Bar Employee Concern Special Program MBN MP Matts Bar Nuclear Plant Work Request or Mork Rules Morkplans
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 2
OF 16 1.0 CHARACTERIZATION OF ISSUES 1.1 Introduction This report covers the subcategory of Personnel Records.
It addresses 8 issues raised about the maintenance, the accuracy, the disappearance, the misleading coding, the unauthorized
- access, and the falsification of TVA personnel history records (PHRs) and the access to non-PHR files by the employees.
All the concerns in this subcategory are generically applicable to any TVA site
~
In addition to the Employee Concerns Task Group (ECTG) evaluation, this subcategory report includes a review of the results of the Employee
Response
Team (ERT) Investigation Report "Personnel Records Concerns" and line managements response to that report.
The comments from the ERT investigation have been incorporated into the Findings section (4.0).
To locate the issue in which a particular concern is evaluated, consult the following attachments:
Attachment A, Subcategory Summary Tables Attachment B, List of Concerns by Issue All Management and Personnel Category concerns having a technical component (including all concerns designated Nuclear Safety-related) are shared with the appropriate technical category for investigation and resolution of that technical component.
Report(s) sharing a concern with this report are identified in the entry for that concern on Attachment A.
1.2 Descri tion of Issues There are 22 concerns in the Personnel Records subcategory report (72000).
These 22 concerns are grouped into four elements addressing a total of 8 issues.
Two of the issues were about management's maintenance of separate records which employees could not access, Three of the issues were about the inaccuracy of the records and the requirements of the Privacy Act.
One of the issues was about the misuse of information by supervisors.
One miscellaneous issue was about unauthorized access of a personnel record by another employee and one miscellaneous issue was about management falsifying personnel record documents.
1.2.1 Secret Records About one half of the concerns in this element specifically mentioned the Construction Office or the Division of Nuclear Construction (DNC) Superintendent; three mention
4
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 3
OF 16 Office of Nuclear Power (ONP) plant operations organizations:
two at Watts Bar Nuclear Site (WBN) and one at Sequoyah Nuclear Site (SQN).
Two were not specific about the organizational group.
A.
Issue 72001 TS,L Files and "Secret" Records This issue contains eight concerns addressing the possible maintenance of personnel files other than the official TVA PHRs.
Most of the concerns in this element stated that employees cannot review these non-PHR personnel files; thus employees have no knowledge of the file contents and no opportunity to contest information in the files.
B.
Issue 72002 - Personnel Notes Ke t b Su ervisor One concern raises an issue about misuse of personnel notes made by supervisors, 1.2.2 Flawed Records The issues in this element address Privacy Act requirements that records on individuals be maintained with such
- accuracy, completeness, relevance, and timeliness as to ensure fairness to the individual in any determinations made on the basis of those records.
Ten of these eleven concerns were from DNC at WBN.
The source of the other concern was unspecified.
Issue 72003 - Inaccurate or Out-of-Date Personnel'ecord Documents Most of the concerns in this issue contend that personnel record documents are inaccurate or out of date; therefore, determinations made on the basis of such accords would not be fair to the individual.
B.
Issue 72004 Disa earance of Trades and Labor (T&L)
Files This issue addresses the disappearance of personnel files kept in the Construction Superintendent's office.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 4
OF 16 C.
Issue 72005 - Eli ibilit Codes for Re-em lo ment This issue contends that personnel files contain a code on eligibility for rehire which is often in conflict with the evaluation of the employee.
1.2.3 Misuse of Records The two concerns in this element were from DNC at WBN.
A.
Issue 72006 - Su ervisors Misused Information in Personnel Records One concerned individual (CI) suggests that information in field files was used to keep supervisors informed on "whistle blowers."
The other CI contends that social security numbers were used without the employees'uthorization to monitor and track employee activities such as training.
1.2.4 Miscellaneous Three concerns in this element were from DNC at WBN.
The other concern was from ONP at SQN.
A.
Issue 72007 Unauthorized Access to Personnel Records This issue contends that there was unauthorized access to the personnel records of another employee.
B.
Issue 72008 - Falsification of Personnel Records This issue contains two contentions that management has falsified documents in personnel records.
2.0
SUMMARY
2.1 Summar of Issues This subcategory report examined the issues stemming from employee concerns about the personnel records kept on them.
2.2 Summar of Evaluation Process The evaluator has reviewed all the information available on the concerns in this subcategory.
The information pertinent to the evaluation of the issues has been considered and incorporated in this report;
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 5
OF 16 The evaluation of these issues involved research into ONP, and particularly WBN, personnel recordkeeping system; inspection of personnel files; and the conducting of interviews, 2.3 Summar of Findin s
The issues concentrated on trades and labor (TSL) field files rather than the employee's permanent file, the Personal History
- Record, which is usually referred to as the PHR.
One specific finding was that the procedure used elsewhere for removing outdated warning letters from the personnel files was not used for TEL files in the Office of the Construction Superintendent.
2,4 Summar of Collective Si nificance The major problem in this subcategory was that during the time period when these issues were raised, neither employees nor construction management recordkeepers seemed to be aware of employees'ights to review the personnel records kept on them.
2.5 Summar of Causes The cause was seen as the lack of instruction for both supervisors and employees on employee rights under the Privacy Act of 1974.
2.6 Summar of Corrective Action Handbook of information on the requirements of the Privacy Act and an article in Inside TVA informing employees of their right of access to their personnel records'.0 EVALUATION PROCESS 3.1 General Methodolo The evaluation of this subcategory was conducted according to the Evaluation Plan for the ECTG and the Evaluation Plan for the Management and Personnel Group.
The concern case files were reviewed.
Source documents were researched and interviews conducted in order to identify the requirements and criteria which applied to the issues addressed in the concerns.
The concerns were
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 6
OF 16 grouped into four elements; the elements were subdivided into issues.
The issues were evaluated against the identified requirements and criteria to determine findings.
A collective significance analysis was conducted; causes were indicated for negative findings; and corrective actions for the negative findings were initiated or determined to have already been initiated.
3.2 S ecific Methodolo The documents reviewed included the Privacy Act of 1974, the Office of Management and Budget Guidelines which implement the Act, the TVA Code and Instructions, TVA's last two annual Privacy Act reports to the Office of Management and Budget, TVA Instructions on employee records, TVA manuals on two automated systems relevant to employee records, and two earlier responses to employee concerns.
A review was made of investigations and responses developed by the Project Manager's Office (PMO),
and the Office of Employee Relations.
Information from these investigations was used. in the development of this report.
In addition, the "Sensitive Files" from Quality Technology Company (QTC) were also reviewed, Nine interviews were held.
They included lead personnel officers for DNC, for WBN Project Personnel Office; and WBN Plant Personnel Office; a WBN Construction Management Assistant (CMA); and managers in TVA's Labor Relations Staff.
Two telephone interviews were held:
one with the CMA at Bellefonte Nuclear Project (BLN) and one with a personnel officer at SQN Personnel Office.
Records inspected included the grievance log in the CMA's office; logs of warning letters issued to Salary Policy and to TEL employees; TSL personnel files and notebooks of forms TVA 77 in
'the Construction Superintendent's office; paper copy personnel files in WBN Project Personnel Office; and microfiche PHRs in WBN Project Personnel Office and the Division of Construction Personnel Office.
Files for inspection were identified primarily from the various.
logs.
All entries that involved the concerns in this subcategory were selected from the T6L grievance log for January 1984 through December
- 1985, the salary policy log for January 1982 through June
- 1983, and the TSL warning, letter log from January through May 1984, T6L files were also randomly selected by retrieving, one
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 7
OF 16 file from a position twelve inches from the front of each of the first 19 file drawers.
For TEL files that were inspected and found to contain documents related to the issues in this subcategory, the corresponding personnel records were inspected in WBN Project Personnel Office.
4.0 FINDINGS Overview of TVA's Personnel Record S stem TVA's official record on employees is the PHR that is maintained in Knoxville in the TVA Division of Personnel.
PHR "field files" are maintained in the office of the employee's division personnel officer or, in the case of construction T6L employees, in the office of the employee's project personnel officer or area employment officer.
Other files on employees are maintained by supervisors or by administrative officers acting for a group of supervisors.
These files are referred to as "supervisor's files" or "S/A files.."
Supervisors also have the option of maintaining personal notes to serve as memory joggers.
The basic structure of TVA's personnel record system predates WBN construction project.
However, other aspects of the system have been changed since the beginning of that project through implementation of the Privacy Act of 1974 and conversion of PHRs and field files to microform in 1980.
The Privacy Act imposes reguirements for the protection of information on individuals. It also gives individuals the right to review certain information maintained about them and the right to request corrections and amendments in that information.
Conversion of PHRs to microform included the replacement of most, "paper copy" field files with microfiche copies of the PHR, thus eliminating discrepancies in contents of these two files.
Supervisors, particularly those who did not have ready accessibility to the microfiche PHR, continued to maintain paper-form S/A files.
4.1 Secret Records 4.1,1 Issues 72001 T&L Files and "Secret" Records This issue addresses the contention that management keeps "secret" personnel records (non-PHR files which employees cannot review).
This would be a violation of the Privacy Act.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 8
OF 16 Discussions Personnel records called "TEL files" are maintained in the Office of the Construction Superintendent at WBN and other nuclear construction sites.
Their use is governed by the Privacy Act of 1974.
The Privacy Act prohibition of "secret" records on individuals is reflected in the TVA Code under II PRIVACY:
TVA permits an individual, except as authorized by law, to ascertain what records pertaining to that individual are maintained in TVA systems of records, to gain access to and to request correction or amendment of such records.
A vsystem of records" is a set of records from which personal information about an individual can be retrieved by use of the individual's name or other personal identifier such as social security number, badge
- number, etc.
- Thus, TEL files, as well as other S/A files, TVA PHR, and PHR field files, are a system of records under the Privacy Act and are subject to the Act's requirements.
One WBN management employee who shares the responsibility for maintaining the TRL files said that if an employee so
- requests, he may see his TEL file without the file being prescreened.
A follow-up interview with the same individual reaffirmed that employees can review their TEL files on request and have been able to do so since at least 1977.
- However, another WBN management representative (who also assists in maintaining these files) stated the following in an earlier response to one of the concerns in this group:
Employees would not see these documents unless an adverse personnel action resulted.
If an adverse personnel action does result, the employee has an opportunity to review any documents upon which the
~ action was based.
A management representative responsible for maintaining TEL files at BLN reported that employees may review specific documents from their T&L file if the superintendent approved the employee's request.
Employees are not permitted to review the entire file.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 9
OF 16 A management employee responsible for maintaining, personnel files on Operations personnel at SQN reported that those employees may access their PHRs but may not access the paper field file.
When employee inquires about information in the paper field file, a clerk checks the file and relays information to the employee.
Conclusion No evidence was found of "secret" personnel records in the DNC Personnel Office (Salary Policy employees),
WBN Project Personnel Office (TS,L employees),
or WBN Site Personnel Office.
- However, while this issue is not technically accurate, it has revealed a
problem:
TEL records in the Construction Superintendent's office and some other paper field files were not consistently made available to employees to the extent required by the Privacy Act.
4.1,2 Issue 72002 - Personal Notes Ke t b Su ervisors This issue which contains one concern addresses the misuse of personnel notes kept by supervisors.
Discussion Maintenance of personal notes is not prohibited by the Privacy Act but under some circumstances the notes are subject to its provisions.
More specifically, Office of Management and Budget guidelines provide that uncirculated personal
- notes, paper, and records which are retained or discarded at the author's discretion and over which the agency exercises no control or dominion (e.g.,
personal telephone lists) are not considered to be agency records within the meaning of the Privacy Act.
- However, the courts have ruled that when personal notes have been circulated or used to bear. negatively on worker's employment status or situation, they must be handled in a manner consistent with the letter and spirit of the Privacy Act.
Information from interviews indicated that some supervisors keep personal notes.
Supervisors are taught in training
- courses, and are encouraged by management, to keep personal notes on employees to serve as memory joggers.
Supervisors are told also that their personal notes are not subject to review by employees.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 10 OF 16 Conclusion The advice to supervisors that the notes are not subject to review by the employee is accurate only as far as the notes are not circulated or used to support a personnel action.
- However, mere maintenance of personal notes by TVA supervisors is not a violation of the Privacy Act and is within TVA recommended
- practice, Therefore, this issue is factually accurate, but does not constitute a problem requiring corrective action.
4.2 Flawed Records 4.2.1 Issue 72003 Inaccurate or Out-of-Date Personnel Record Documents This issue addresses inaccurate or out-of-date personnel record documents.
Determinations using such documents would be unfair to an individual.
Discussion Based upon requirements of the Privacy Act, the implementing TVA instruction states:
TVA maintains all records used in making determinations about an individual with such accuracy, relevance, timeliness, and completeness to ensure fairness to the individual in any determination which may be made on the basis of that record.
The instruction on employee records provides that the PHR contain information officially recognized and pertinent to personnel actions and record requirements.
All information proposed for filing in the PHR is submitted to the division personnel officer who screens it according to guidelines for authenticity and appropriateness, Removal of Out-of-Date Varnin Letters The TVA instruction on employee records provides:
Letters of reprimand, admonishment,
- caution, or warning are retained until recalled by a written request from the personnel officer of the issuing division.
When a
reprimand, admonishment,
- caution, or warning is included in or used in support of a notice of adverse,
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 11 OF 16 disciplinary, or other personnel
- action, the letter cannot be recalled unless the action in the notice is cancelled.
Otherwise, the recall is made at the end of three years or earlier at the option of employee's
- division, This evaluation found that temporary warning letters that include a six-month limit {a) are not removed from the TSL files in the office of the Construction Superintendent,
{b)
- are, except when inadvertently overlooked, removed from the paper field file in the project personnel office and from the nuclear plant site personnel office, and {c) are not submitted to the PHR and thus are not in either the microfilm PHR or the microfiche PHR field file.
Other "disciplinary" letters which are removed from the PHR because the passage of time are not removed from the TEL files in the Construction Superintendent's
- office, The accuracy and completeness of a document is situation specific and cannot be determined on a general basis.
However, information from interviews showed that records maintained in personal files are checked for accuracy and completeness by those who prepared the record and the superiors and personnel officers who also sign them.
Job relatedness of information is situation specific and cannot be determined on a general basis.
- However, documents filed in the PHR are those that the division personnel officer has determined are officially recognized and pertinent to personnel actions and record reguirements.
Although "job relatedness" is not a
controlling factor, it is one of the factors the personnel officer looks at and makes a judgment determination on appropriateness for. filing in the PHR.
Chan es in TEL files No documented guidance on notifying employees of changes in the record was found.
- However, the employee is given a
copy of most personnel forms that are prepared.
The reason for a record change is not always explained to the employee.
The issuing
'personnel officer decides, based on the nature of the change, whether a specific explanation is indicated and, if so, notifies the employee of the reason for the change.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER'2000 REVISION NUMBER:
3 PAGE 12 OF 16 Conclusion A number of safeguards protect against the transfer of outdated or faulty data from the TSL files to the permanent
- PHRs, However, employees are not always informed of changes to their personnel files and temporary letters of reprimand are not removed from T&L files in the Office of the Construction Superintendent.
Therefore, the failure to remove temporary letters of reference does constitute a
problem, but corrective action.was initiated before the evaluation of this issue was completed.
4.2.2 Issue 72004 Disa earance of TSL Files This issue contains one concern which addresses the disappearance of personnel files from the Construction Superintendent's office.
Discussion The TVA instruction on employee records provides:
Individual documents in the S/A file are destroyed when superseded or earlier if no longer needed for reference.
The entire S/A file is destroyed when the employee leaves the organization component where the file is maintained.
Conclusion No evidence was found to indicate that TEL files disappear.
The routine DNC practice is to maintain TEL files for at least as long as the construction project continues.
Therefore, this issue is not factually accurate, 4.2.3 Issue 72005 Eli ibilit Codes for Re-em lo ent This issue contains one concern which addresses the contention that personnel files contain an eligibility code which could conflict with the evaluation of the employee for rehire.
Discussion All TVA employees must meet basic security and suitability criteria." Employees who leave TVA under conditions listed below are subject to re-evaluation for compliance with the
0
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 13 OF 16 security and suitability criteria before they are re-employed.
Such employees include those who are discharged for, or resigned following notice of discharge for the following reasons:
security reasons misuse of Government property or official authority or position unapproved absences failure to satisfy training program requirements other than work performance unsatisfactory work refusal to perform work assigned unsatisfactory conduct in work area falsifying records relating to employment violation of article II of the General A reement; discharge recommended by Joint Committee conduct off job (includes violation of political activity policy and participating in strike against TVA)
The re-employment of applicants who are subject to re-evaluation for compliance with the security and suitability criteria is delayed with a temporary restriction (which is indicated by a code) until the re-evaluation is completed.
The process of detecting re-employment applicants who are subject to re-evaluation is now automated in the Security and Suitability System.
Before implementation of the Security and Suitability System, the appropriate restriction code was placed in the automated Employee Information System.
Employment restriction codes are used in the automated personnel data systems to ensure that applicants meet the security and suitability requirements for TVA employment.
Employment restrictions may stem from statutory, negotiated, or other requirements, as well as from ratings on employee evaluations and, therefore, are at times inconsistent with conclusions drawn from the performance ratings.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER; 72000 REVISION NUMBER:
3 PAGE 14 OF 16 Conclusion This issue is factually accurate, but what is described is not a problem.
The codes do not serve the same purpose as performance ratings.
Therefore, differences between them do not constitute inconsistencies in the system.
4.3 Misuse of Records 4.3.1 Issue 72006 - Su ervisors Misused Information in Personnel Records This issue contains two concerns which contend that supervisors misuse information in personnel records.
Discussion Based on requirements in the Privacy Act, TVA policy is that "TVA...
uses... records of identifiable personnel information in a manner that ensures that such action is for a necessary and lawful purpose; Conclusion No evidence was revealed in interviews with management representatives to support allegations of use of personnel record information to keep supervisors informed on "whistle blowers" or to track employee activities.
Therefore, this issue could not be verified as factually accurate.
4.4 Miscellaneous 4.4.1 Issue 72007 - Unauthorized Access to Personnel Records This issue contained one concern which contends unauthorized access to the personnel records of another employee was permitted.
Discussion Based on requirements in the Privacy Act, TVA Instruction II PRIVACY, Procedures, Provides:
"Records maintained in a TVA system of records are not disclosed except pursuant to a written request by or prior written consent of the individual unless disclosure is permitted by TVA policy in TVA Code under II PRIVACY'."
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 15 OF 16 Conclusion This issue contends a single instance of unauthorized access to personnel records of another employee.
Information on the K-form is insufficient to permit investigation of this contention.
No additional information is available, Therefore, this issue could not be verified as factually accurate.
4.4.2 Issue 72008 - Falsification of Personnel Record Documents This issue addresses two concerns which contend that management falsified documents in personnel
- records, Discussion Xnformation on the K-forms is insufficient to permit investigation of this contention, No additional information is available.
Conclusion This issue could not be verified as factually accurate, 5.0 COLLECTIVE SIGNIFXCANCE The issues in this subcategory do not, by themselves, require sweeping corrective action.
During the period when these issues were raised, both management and employees at MBN seemed confused about employees'ights to review their personnel field files.
Additionally, DNC was not ensuring, a systematic purging of the outdated warning letters in its files at VBN, Action has been taken to correct both situations.
However, suspicion of management's motives is evident in almost all of the concerns in this category.
That suspicion does form a small part of a much larger problem.
The employees who raised these concerns did not perceive their managers as trustworthy:
whenever the concerned individuals {Cls) had doubts about what was being done with or to their
- records, they assumed the worst.
The corrective action spelled out in section 7.0 of this report is intended to not just correct specific shortcomings, but to restore employee confidence that their records are correct and accurate.
- However, an overall employee perception of management untrustworthiness is not a problem which can be dealt conclusively at the subcategory level. It will require comprehensive corrective action at the category and final report levels.
TVA EMPLOYEE CONCERNS SPECIAL PROGRAM REPORT NUMBER:
72000 REVISION NUMBER:
3 PAGE 16 OF 16 6.0 CAUSE 6.1 The effort taken to purge all PHRs and most T&L files of outdated warning letters was not taken by the Office of the Construction Superintendent.
6.2 Neither supervisors nor employees were adequately informed of employee rights under the Privacy Act of 1974.
7.0 CORRECTIVE ACTION 7.1 Corrective Action Alread Taken WBN management has initiated a project to remove from the T&L files the six-month warning letters issued from the beginning, of WBN Project to July 1983, Handbook information about the requirements of the Privacy Act and information on maintaining employee records and personal notes in compliance with the Act.
The handbook is now in reproduction.
It is intended for distribution to all TVA supervisors.
7.2 Corrective Action Initiated as a Result of This Evaluation An article was published in the January 6,
1987 issue of Inside TVA {Volume 8, No. 1) providing a detailed explanation of employees'ights to examine their personnel records.
{CATD No. 720-NPS-Ol) 8.0 ATTACHMENTS Attachment A Subcategory Summary Table Attachment B List of Concerns by Issue
FEREWCE ECPS132J-ECPS132C EQUEWCY REQUEST P
ISSS Rlill EGORY:
ttP t'1GT.
8 PERS.
ISSUES TENNESSEE LEY AUTHORITY OFFICE Of tlUCLEAR POllER EMPLOYEE COtlCERN PROGRAtl SYSTEM (ECPS)
EMPLOYEE COtlCERN IWFORMATIOtl BY CATEGORY/SUBCATEGORY SUBCATEGORY'20 IH"CCURATE AtlD OUT-Of-DATE RECORDS r
PAGE
i RUtl TIME I6: 00: 19 RUW DATE 03/19/87 SUB OtlCERH tlUtlBER CAT CAT S
N R PLT D
LOC 1
REPORT APPL 2 SAF RELATED BF BL SQ ttB HISTORICAL CONCERW REPORT ORIGIN CONCERt( DESCRIPTION REF.
SECTION CAT MP SUBCAT 72P;. 080-00101 l'1P 72003 W HBH T50186 1
W tl tl W
2 WA WA tIA HA QTC CI'S PERSOtltlEL RECORDS llERE CHANGED SIGtlIFICAHTLY tlITHOUT ItlFORMItlG CI A
S TO ldHY.
(tlAMES/DETAILS TO THE SPE CIFIC CASE ARE Ktl0llH TO QTC AtlD WITH HELD TO tlAIWTAIW CotlFIDEWTIALITY.)
CONSTRUCTIOtl DEPT.
COtlCERtl.
CI HAS HO FURTHER ItlFORMATIOtl.
86-239-SQW Ol tlP 72001 H SQtl 1
W t3 H
H 2
WA tlA tlA WA
-85"045-00301 MP 72003 N HBN 1 tl tl tl N
T50261 2
WA WA tlA tlA 172-00301 thP 72001 H HBN 1
W W
tl N
T50088 2 tlA HA tlA NA HSRS QTC QTC AH AtlOWYMOUS INDIVIDUALMAILED IW A SAFETY COHCERtl TO ttSRS STATItlG THAT tlAtlAGEtlEtlT KEEPS A SECRET FILE SEPAR ATE FROtl PERSOtlWEL FILE Otl ALL OPERA TIOHS PERSOWtlEL.
EMPLOYEE SERVICE REVIEllS DO tlOT CONT AIH COMPLETE ItlFORtlATIOtl.
DETAILS K HOlltl TO QTC, ltITHHELD DUE TO COtlFIDE NTIALITY.
WO FURTHER IWFORtlATIOW MA Y BE RELEASED.
COtlSTRUCTIOH DEPARTtl EWT CONCERN.
CMA OFFICE tlOT COOPERATItlG WITH CRAF T (INSULATORS) REGARDIWG PERSONAL MA TTERS AtlD ACCESS TO PERSOtltlEL FILES.
ADDITIOtlAL DETAILS IW FILE.
RELEA SE OF DETAILS COULD COMPROttISE CI 'S COHfIDEtlTIALITY. 2c41-00601 T50 153 tlP 72001 S tlBtl 02 MP 72006 S
HBH 1W tl HH 2
HA NA tlA HA 1 tl H
tl tl 2 tlA HA tlA WA IH-85-241-006 QTC THO SETS OF PERSOWtlEL RECORDS EXIST:
OtlE AT PERSOtltlEL OFFICE AtlD OtlE AT SUPERIWTEtlDEWT'S (tlAME GIVEtl) OFFIC E.
THE PERSOtltlEL FILE KEPT IH THE S
UPERIWTEtlDEtlT'S OFFICE CAtlWOT BE VIE HED BY INDIVIDUALS AWD OFTEN DISAPPE AR.
CI GAVE EXAMPLES OF ItlDIVIDUALS (NAME Ktl011tl) ltHOSE FILES HAVE DISAP PEARED.
CONSTRUCTION DEPT.
CONCERN.
CI HAS tlO tIORE INFORMATION.
tlO FO LLOHUP REQUIRED.
CotlCERWS ARE GROUPED BY FIRST 3 DIGITS OF SUBCATEGORY NUMBER.
P
'ERENCE ECPS132 J-ECPS132C
- QUEtlCY REQUEST ISSS Rl<M
.GORY:
thP MGT. 8 PERS.
ISSUES TEtlHESSEE LEY AUTHORITY OFFICE OF tlUCLEAR POHER EtlPLOYEE COtfCERN PROGRAM SYSTEM (ECPS)
Et'1PLOYEE COtlCERH IHFORtiATIOW BY CATEGORY/SUBCATEGORY SUBCATEGORY~ 720 TRL FILES AtlD "SECRET RECORDS" r
PAGE
2 RUtl TIME 1I:00: 19 RUlf DATE 03/1Ã/87
)tlCERN WUtiBER CAT S
tf SUB R PLT CAT D LOC 1
REPORT APPL 2 SAF RELATED BF BL SQ llB HISTORICAL COtlCERH REPORT ORIGIN CotlCERW DESCRIPTIOH REF.
SECTION CAT MP SUBCAT - 720 453-00201 T50033 MP 72001 N llBtl 1tf HHH 2
HA HA WA tfA IT IS POSSIBLE THAT "LETTERS" CALLED FILE tfOTES ARE Itl A PERSON'S FILE I tl THE COtfSTRUCTIOtf OFFICE THAT COULD BE VERY DISCRItiIWATItfG AtfD THE Et1PL OYEE IS NEVER GIVEN AW OPPORTUNITY T 0 CONTEST THE ALLEGATIOtfS OR tiAY HOT EVEN KtlOH THEY EXIST. 680-00801 T50137 612-00301 T50058 tiP 72005 H llBtf 1 tl H
tf H
IH-85-680-008 2
HA HA WA NA MP 72001 H MBtf 1
H tf tf tf IN-85-612-003 2 tfA t!A tfA tfA QTC QTC PERSONtfEL RECORDS COtlTAIW A "CODE" A T THE TOP OF A SHEET THAT IS OFTEtf I tl CONFLICT ffITH THE EVALUATIOtlS SHOlf H Otl THE BODY OF THE SHEETS I.E.
tfOT ELIGIBLE FOR REHIRE>
YET EVERYTHItfG llRITTEW Otl THE SHEET INDICATES THE PERSON SHOULD BE ELIGIBLE FOR REHIRE THIS IS UtlFAIR TO EtiPLOYEES.
COW STRUCTIOtl DEPT.
COWCERtl.
CI HAS tf0 tiORE INFORMATION.
tf0 FOLLOll-UP REQU IRED.
MAtfAGEMEHT MRITES AtfD INSERTS FILE tl OTES Itf EMPLOYEE'S PERSOtlWEL FILE llI THOUT EMPLOYEE'S KHOl'lLEDGE AND OPPOR TUtlITY TO PRESEtlT DEFEtlSE.
-85"612-00ii01 MP 72003 H llBH 1
tf tl W
tl T50058 2
HA tfA WA NA
'85-631-X0201 IH 60300 S
MBH 1
tf H
tl Y
T50160 2
HBH 1 tl H
tf H
2 tlA tlA tlA HA QTC QTC TVA'S POLICY IS TO REMOVE A "LETTER" FROM At( EtiPLOYEE'S PERSOtftlEL FILE A FTER SIX MONTHS IF HO OTHER LETTER I S
RECEIVED>
YET LETTERS ARE HOT BEItl G REMOVED.
SUPERVISORS FALSIFIED CI'S "77" FORM (DETAILS TO THE SPECIFIC CASE ARE KWOHtl TO QTC AtlD HITHHELD TO tiAIWTA IW COWFIDEtlTIALITY).
CONSTRUCTION D
EPT.
COtfCERtf.
CI HAS tf0 tiORE INFORM ATIOW.
CONCERNS ARE GROUPED BY FIRST 3 DIGITS OF SUBCATEGORY NUMBER,
I
FEREWCE ECPS132J-ECPS132C EQUEtfCY REQUEST P - ISSS RHt1 EGORY:
tlP 1'1GT.
8 PERS.
ISSUES TENNESSEE LEY AUTHORITY OFFICE OF tfUCLEAR POWER
- Et1PLOYEE CONCERN PROGRA11 SYSTEM (ECPS)
EMPLOYEE COtfCERtl IHFORt1ATIOtf BY CATEGORY/SUBCATEGORY SUBCATEGORY: 720 It(ACCURATE AtlD OUT-OF-DATE RECORDS PAGE
'3 RUtl TINE 14 - 00: 19 RUtl DATE " 03/19/87 S
H SUB R PLT OtlCERW tfUHBER CAT CAT D LOC 1
REPORT APPL 2 SAF RELATED BF BL SQ WB HISTORICAL CONCERN REPORT ORIGIN CONCERN DESCRIPTION REF.
SECTIOtl CAT
- tlP SUBCAT 720 631-00101 IH 60300 S
WBtf T50137 02 HP 72003 S
WBtf 1 tl tl tl Y
2 tlA NA tlA tlO 1
tl H
H tl 2 tfA HA tfA tfA QTC CI "77" FORH COtlTAItlS It/CORRECT DATA (DETAILS TO THE SPECIFIC CASE ARE KtlOWtl TO QTC AtlD HITHELD TO tlAIHTAItl CONFIDENTIALITY).
CONST.
DEPT.
Colic ERtl. CI HAS NO NORE ItfFORt1ATIOtl. THI S
CONCERN HAS BEEN REVISED TO DELETE Atf ADDITIOtlAL CONCERN WHICH HAS BEE W ADDRESSED.
THIS CONCERN WAS ASSIGN ED TO OGC TO INVESTIGATE OH 7-6-85.
WO FOLLOlf-UP REQUIRED.
'85-913-00501 t'1P 72006 tf WBtf 1
W H
W tf T50092 2
HA HA HA NA 1 -85"002-02001 t1P 72001 S
WBtf 1
W H
tl H
T5 0166 2
NA tfA tlA HA 02 t4P 72006 S
WBH 1
W H
tl tf 2
HA tfA WA tfA I "85-003-03001 tfP 72003 tf WBH 1
H W
W tl T50228 2
WA HA tfA HA QTC QTC QTC TVA USES SOCIAL SECURITY NU11BERS FOR THE NOtlITORIHG AWD TRACKItlG OF EthPL OYEES ACTIVITIES (TRAItfltfGp ERTp ETC
.)
WITHOUT THE Et1PLOYEE'S AUTHORIZAT IOW.
DOES THIS ACTIVITY VIOLATE FED ERAL LA1'l?
C/I HAS tl0 FURTHER ItlFORt1 ATIOW. tlO FOLLOW UP REQUIRED.
TWO SETS OF PERSOtftlEL FILES EXIST, 0
WE AT KNOXVILLE (THE OFFICIAL FILE)
AtlD OtlE AT WBtlPp WHICH IS USED TO KE EP SUPERVISIOtl ItfFORt1ED OH "WHISTLE BLOWERS".
COtlST.
DEPT.
COtfCERtl.
C/
I HAS tl0 FURTHER IWFORt1ATIOtf.
tl0 FO LLOW-UP REQUIRED.
CI EXPRESSED A COtlCERtl REGARDIWG A tf ENORAtfDUH WRITTEN BY A TVA HAHAGER P
LACED IW CI'S PERSOtltlEL FILE.
CI CL AIt1S THE t1EMORAtfDUtf DOCUNEtlTS SEVERA L
FACTS BUT ALLOkfS THE READER TO FOR M THE WRONG It1PRESSIOtl.
CI STATED T HE tlEHORAWDUN STATED THE AUTHOR'S OP ItlIOtl RATHER THAtf PROVEN FACTS Itl TW 0
PARAGRAPHS.
(tlAllES/DETAILS KtlOWW TO QTC AWD WITHHELD TO t1AItlTAItl COtl FIDEWTIALITY.
WO FURTHER ItfFORMATIO tl HAY BE RELEASED.)
COtlCERW.
CI HAS WO FURTHER INFO RHATIOH.
COtlCERWS ARE GROUPED BY FIRST 3 DIGITS OF SUBCATEGORY NUHBER.
FEREtlCE ECPS132J-ECPS132C EQUEHCY REQUEST P
ISSS RHH EGORY-HP tlGT. 8 PERS.
ISSUES TEtltlESSEE LEY AUTHORITY OFFICE OF tlUCLEAR POWER EtlPLOYEE COtlCERH PROGRAtl SYSTEM (ECPS)
EHPLOYEE COtlCERW ItlFORl'lATIOtl BY CATEGCRYp'SUBCATEGORY SUBCATEGORY'20 TSL FILES AWD "SECRET RECORDS" PAG
'(j RUtl TINE I0: 00: 19 RUtl DATE 03p'19/87 OtlCERtl tlUtlBER CAT S
H SUB R PLT CAT D LOC 1
REPORT APPL 2 SAF RELATED BF BL SQ NB HISTORICAL -
CONCERN REPORT ORIGIN CONCERN DESCRIPTIOW REF.
SECTION
(
CAT MP SUBCAT 720 "85-008-00
HHICH ARE REHOVED FROtl TH E KNOXVILLE FILE DUE TO THE PASSAGE OF TItlEp ARE NEVER REtlOVED FROtl THE SITE FILE.
COtlVERSELYp ITEtlS ARE AD DED TO THE SITE FILE !IHICH ARE tlEVER ADDED TO THE KtlOXVILLE FILE.
'- 065-00301 IH 60300 S ttBtt 1 tl tl W
Y T50257 2
HA tkA HA tl0 02 NP 72008 S llBN 1
H H
tl tl 2 tlA tlA tlA tlA
'tl-86-00~i-00801 IH 60600 S
SQtl 1
W H
Y N
'50263 2 tlA HA tl0 tlA 02 NP 72007 S
SQH 1
H W
W N
2 tlA tlA WA HA sP-86-003-00101 HP 72003 W llBH 1
H tl N
N T50206 2
NA tlA WA tlA 85-063-00101 tlP 72003 H HBH 1
tl tl H
H T50100 2
HA tlA NA HA QTC QTC QTC QTC TVA HAttAGEHEttT FALSIFIED EttPLOYEE'S PERSOtltlEL RECORDS.
(HAHESp'DETAILS T 0 THE SPECIFIC CASE ARE Ktl0lttl TO QTC AWD NITHHELD TO HAIWTAIW CottFIDEWTI ALITY).
CI HAS WO FURTHER IWFORNATI Otl.
tl0 FURTHER IWFORtlATIOW tlAY BE R
EL EASED.
AW EtlPLOYEE GAINED UNAUTHORIZED ACCE SS TO RECORDS PERTIWEtlT TO ANOTHER E
tlPLOYEE.
(t<AHES/DETAILS KHOHtl TO QT Cp HITHHELD TO NAIttTAItk COtlFIDEtlTIAL ITY).
WO FURTHER ItlFORHATIOtl HAY'BE RELEASED.
tlUCLEAR POWER COtlCERtl.
CI HAS WO FURTHER IWFORtlATIOW.
CI FEELS HE IS BEING TREATED UWJUSTL Y IW THAT TVA IS USING DOCUtIEWTS AGA INST HItl THAT ARE ItlACCURATE.
(tlAtlE Sp'DETAILS KtlOHtl TO QTC AtlD HITHHELD TO tlAIWTAIW CONFIDENTIALITY).
WO FU RTHER ItlFORtlATIOtl NAY BE RELEASED.
COtlSTRUCTIOW DEPARTtlEtlT COtlCERW.
CI HAS tl0 FURTHER IWFORtlATION.
PLACEthEtlT OF tlOW-JOB RELATED itATERIA L Itl CI'S PERSOtltlEL FILE.
DETAILS K tlOtlW TO QTCp NITHELD DUE TO COWFEWTI ALITY.
CI HAS tl0 FURTHER ItlFORt!ATIO tl.
tlO FOLLOW UP REQUIRED.
COtlCERtlS ARE GROUPED BY FIRST 3 DIGITS OF SUBCATEGORY tlUt1BER,
- FEREt)C ECPS132 J-ECPS132C EQUEt)CY
- REQUEST
'P ISSS - Rl)H "EGORY~
t1P thGT.
8 PERS.
ISSUES TEtlt)ESSEE
~
LEY AUTHORITY OFFICE OF NUCLEAR POIIER EMPLOYEE COt)CERN PROGRA)1 SYSTEH (ECPS)
Et1PLOYEE COHCERt) It)FORIIATIOt) BY CATEGORY/SUBCATEGORY SUBCATEGORY: 720 INACCURATE AND OUT-OF-DATE RECORDS PAG
'5 RUt) TINE ll:00:19 RUt) DATE 03/19r'87 SUB
'OWCERN HUIIBER CAT CAT S
H R PLT D
LOC 1
REPORT APPL 2 SAF RELATED BF BL SQ t)B HISTORICAL CONCERN REPORT ORIGIN CONCERN DESCRIPTIOH REF.
SECTIOtl CAT
" HP SUBCAT 720 Oc6-01101 tIP 72003 N I)BN T50250 1
H W
H H
2 t)A HA t)A t)A QTC CI IS CONCERNED OVER A NEHO ISSUED B
Y A SUPERVISOR (WANE AHD DEPT.
KWON)I
)
DATED 0/20i85 I<HIGH DEALS I)1TH BOR ROIIED PERSOtlt)ELr SPECIFICALLYr REPOR TIt)G llHETHER A BORROHED Et'1PLOYEE IS A PROBLEt1 ft'IPLOYEE.
COtlSTRUCTIOtl DE PARTtlEt)T COtlCERt).
t)0 FURTHER It)FORtl ATIOtl IS AVAILABLEIW THE FILE.
t)0 FOLLOW UP REQUIRED.
"85-046-01201 11P 72002 t) IIBt) 1 tl tl H
tl T50139 2 IN HA HA HA
- 075-00201 IH 60600 S
HBW 1
H tl t)
Y T50176 2
NA t)A t)A HO 02 NP 72001 S IIBH
~ 1 tl tl tl tl 2
t)A HA HA HA 22 COt)CERt)S FOR CATEGORY HP SUBCATEGORY 720 COt)CERHS ARE GROUPED BY FIRST 3 DIGITS OF SUBCATEGORY NUMBER.
QTC QTC SUPERVISOR
( HAtlE AND DEPT.
KHOHW) KE EPS A
BOOK I<HERE THIS SUPERVISOR tlAK ES ENTRIES AWD PLACES COI'1HEHTS HADE BY OR ABOUT Et1PLOYEES UNDER HIS SUPE RVISIOtl.
THIS SUPERVISOR DOES WOT A
LLOI) THE EHPLOYEES TO READ OR t1AKE E
WTRIES INTO THIS BOOK.
CI STATES TH IS VIOLATES THE 1974 PRIVACY ACT AWD IHFORIPATIOI) ISSUED BY THE Et)GIHEERI t)G ASSOCATIOtl STATIt)G THAT THIS TYPE OF ACCESS DEt)IAL IS IHPROPER.
t)UCL EAR POHER DEPT.
CONCERN.
CI COULD WO T PROVIDE AWY ADDITIONAL INFORMATIOH WO FOLLOI< UP REQUIRED.
THERE ARE THO SETS OF PERSOt)t)EL FILE S:
ADtlII)ISTRATIVECONFIDENTIAL PERSO HHEL FILE At)D REGULAR PERSOt)WEL FILE THE E)1PLOYEES ARE OIILY PERIIITTED TO SEE THE REGULAR PERSOt)t)EL FILE At(
D THE ADt1IHISTRATIVE COHFIDEtlTIAL PE RSOtlt)EL FILE COt)TAIt)S DATA THAT IS N
ITHHELD FROth THE Et'1P LOYEES r I ~ E ~ r TV A REFUSIWG TO RELEASE At) APPLICANT F OR AW ANNOUNCED JOB OPENING THAT COW STITUTES ADVAWCEHEWT fOR THE EtlPLOYE ES'ROFESSIOt)AL CAREER.
(IIAtIES/DET AILS TO THE SPECIFIC CASE ARE KHOHt)
TO QTC AHD HITHHELD TO HAIWTAIW
ATTACHHENT 8 PERSONNEL RECORDS List of Concerns by Element/Issue The Personnel Records Subcategory (72000) is comprised of 22 concerns which are grouped into four elements addressing eight issues.
"Secret Records" 72001 - T6L files and "Sec"et Records" I-86-239-SQN IN-85-172-003 IN-85-241-006+
IN-85-453-002 IN-85-612-003 PH-85-002-020~
PH-85-008-004~
WI-85-075-002 72002 - Personnel notes kept by supervisors WI-85-046-012 Flawed Records 72003 Inaccurate or out-of-date personnel record documents EX-85-080-001 IN-85-045-003 IN-85-612-004 IN-85-631-001 PH-85-003-030 PH-85-008-004~
MBP-86-003-001 MI-85-043-001 WI-85-046-011 72004 - Disappearance of TEL files IN-85-241-006~
72005 Eligibility codes for ro-employment IN-85-480-008 Hisuse of Records 72006 - Supervisors misused information in personnel records IN-85-913-005 PH-85-002-020%'age 1 of 2
ATTACHMENT 8 (continued)
Miscellaneous 72007 Unauthorized access to personnel records SQM-86-004-008 72008 Falsification of personnel records IN-85-631-X02 PH-85-045-003
< Concern addressed in more than one issue.
Page 2 of 2
ECTG C.3 Attachment A
Page 1 of 1 Revision 2
ECSP Corrective Action Trackin Document
~(CATD XNITIATION A
licable ECSP Re ort No.:
72000 1.
2
~
3.
5.
6.
Immediate Corrective Action Required:
0 Yes g
No Stop Pork Recommended:
0 Yes Pf No CATD No.
720-NPS-01 4.
INXTIATION DATE 01-21-87 RESPONSIBLE ORGANIZATION:
TVA Division of Personnel PROBLEM DESCRIPTION: 0 QR pf NQR TVA mana ement and em lo ees are not ade uatel informed of em lo ee ri hts under the Privac Act of 1974.
7
~
8.
9.
PREPARED BY:
NAME Joh Lon CONCURRENCE:
CEG-H APPROVAL:
ECTG PROGRAM MGR.
C3 ATTACHMENTS DATE:
01-21-1987 DATE: 2 CORRECTIVE ACTION 10.
PROPOSED CORRECTIVE ACTION PLAN:
An article will be distributed in TVA's ublication for em lo ees Inside TVA rovidin a detailed ex lanation of em lo ees'i hts to access their ersonnel records.
NOTE; The above article a
eared in the Januar 6
1987 issue of Inside TVA (Volume 8
No. 1).
This CATD was subse uentl issued in accordance with ECTG Polic Statement No.
9 to document corrective action..
,ll.
PROPOSED BY:
DIRECTOR/
GR:
12.
CONCURRENCE:
CEG-H:
SRP:.
ECTG PROGRAM MGR:
D ATTACHMENTS DATE:
ATE:
DATE:
DATE!
DATE:
DATE:
VERIFICATION AND CLOSEOUT 13.
Approved corrective actions have been verified as satisfactorily implemented.
SIGNATURE TXTLE DATE 3334T
Y l
ATTACHHENT B PERSONNEL RECORDS List of Concerns by Element/Issue The Personnel Records Subcategory (72000) is comprised of 22 concerns which are grouped into four elements addressing eight issues.
"Secret Records" 72001 T6L files and "Secret Records" I-86-239-SQN IN-85-172-003 XN-85-241-006"-
XN-85-453-002 IN-85-612-003 PH-85-002-020" PH-85-008-004~
WI-85-075-002 72002 Personnel notes kept by supervisors WX-85-046-012 Flawed Recor ds 72003 - Inaccurate or out-of-date personnel record documents EX-85-080-001 XN-85-045-003 XN-85-612-004 IN-85-631-001 PH-85-003-030 PH-85-008-004=
WBP-86-003-501 MI-85-043-001 Wl-85-046-011 72004 Disappearance of TSL files IN-85-241-006-72005 Eligibility codes for re-employment IN-85-480-008 Nisuse of Records 72006 Supervisors misused information in personnel records IN-85-913-005 PH-85-002-020=
Page 1 of 2
'I fP
ATTACHMENT B (continued)
Miscellaneous 72007 - Unauthorized access to personnel records SQM-86-004-008 72008 Falsification of personnel records IN-85-631-X02 PH-85-045-003
< Concern addressed in more than one issue, Page 2 of 2
).
~
t N
I 1