ML22300A230

NRC 8 - Employee Disciplinary Actions, Appeals, Grievances, and Complaints Records

ML22300A230
Person / Time
Issue date:	10/24/2022
From:	NRC/OCIO
To:
References
Download: ML22300A230 (5)

Text

SYSTEM NAME AND NUMBER:

Employee Disciplinary Actions, Appeals, Grievances, and Complai nts RecordsNRC 8.

SECURITY CLASSIFICATION:

Unclassified

SYSTEM LOCATION:

Primary systemOffice of the Chief Human Capital Officer, NRC, Two White Flint North,

11545 Rockville Pike, Rockville, Maryland.

The Office of the Inspector General (OIG) employee files are lo cated with the NRCs

OIG, 11555 Rockville Pike, Rockville, Maryland.

Duplicate systemA duplicate syst em may be maintained, in whole or in part, in the

Office of the General Counsel, NRC, One White Flint North, 1555 Rockville Pike, Rockville,

Maryland, and at NRC's Regional Offices at locations listed in Addendum I, Part 2.

SYSTEM MANAGER(S):

Chief, Policy, Labor and Employee Relations Branch, Office of t he Chief Human Capital

Officer, U.S. Nuclear Regulatory Commission, Washington, DC 205 55-0001. For OIG

employee records: Director, Resource Management and Operations Support, Office of the

Inspector General, U.S. Nuclear Regulatory Commission, Washingt on, DC 20555-0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 3132(a); 5 U.S.C. 3502, 5 U.S.C. 3571, 5 U.S.C. 4303, as amended; 5 U.S.C.

7513; 29 U.S.C. 633a; 29 U.S.C. 791; 42 U.S.C. 2000e-16; 42 U.S.C. 2201(d), as amended.

PURPOSE(S) OF THE SYSTEM:

The purpose of this system is to maintain the records of curren t and former NRC

employees, including annuitants, who have filed complaints, gri evances or appeals and/or have

been the subject of proposed or final disciplinary actions or h ave been suspected of misconduct.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Current and former NRC employees w ho are involved in any employee and/or labor relations actions or proceedings.

CATEGORIES OF RECORDS IN THE SYSTEM:

Includes all documents related to: disciplinary actions; advers e actions; appeals;

complaints, including but not limited to those raised under the agencys prevention of

harassment program; grievances; arbitrations; and negative dete rminations regarding within-

grade salary increases. It contains information relating to d eterminations affecting individuals

made by the NRC, Office of Personnel Management, Merit Systems Protection Board,

arbitrators, courts of law, or other tribunals. The records m ay include the initial appeal or

complaint, letters or notices to the individual, records of hea rings when conducted, materials

placed into the record to support the decision or determination, affidavits or statements,

testimony of witnesses, investigative reports, instructions to an NRC office or division

concerning action to be taken to comply with decisions, and rel ated correspondence, opinions,

and recommendations.

RECORD SOURCE CATEGORIES:

Individuals to whom the record pertains, NRC employees, manager s, and contractors,

Office of Personnel Management and/or Merit Systems Protection Board officials; affidavits or

statements from employees, union representatives, or other pers ons; testimony of witnesses;

reports of inquiries (findings); official documents relating to the appeal, grievance, or complaint,

including but not limited to those raised under the agencys pr evention of harassment program

and Allegations of Retaliation for Raising Safety Concerns (ARR SC) program; Official Personnel

Folder; and other Federal agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CAT EGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

In addition to the disclosures permitted under subsection (b) o f the Privacy Act, the NRC

may disclose information contained in this system of records wi thout the consent of the subject

individual if the disclosure is compatible with the purpose for which the record was collected under the following routine uses:

a. To furnish information to other Federal organizations, incl uding but not limited to, the

Office of Personnel Management, Merit Systems Protection Board, Office of Special Counsel

(OSC), and Equal Employment Opportunity Commission (EEOC) under applicable requirements

related to complaints, investigations and appeals;

b. To provide appropriate data to union representatives and th ird parties (that may

include the Federal Services Impasses Panel and Federal Labor R elations Authority) in

connection with grievances, arbitration actions, and appeals;

c. A record from this system of records which indicates a viol ation of civil or criminal law,

regulation or order may be referred as a routine use to a Feder al, State, local or foreign agency

that has authority to investigate, enforce, implement or prosec ute such laws. Further, a record

from this system of records may be disclosed for civil or crimi nal law or regulatory enforcement

purposes to another agency in response to a written request fro m that agencys head or an

official who has been delegated such authority;

d. A record from this system of records may be disclosed as a routine use to a Federal,

State, local, or foreign agency to obtain information relevant to an NRC decision concerning

hiring or retaining an employee, letting a contract, or issuing a security clearance, license, grant

or other benefit;

e. A record from this system of records may be disclosed as a routine use to a Federal,

State, local, or foreign agency requesting a record that is rel evant and necessary to its decision

on a matter of hiring or retaining an employee, issuing a secur ity clearance, reporting an

investigation of an employee, letting a contract, or issuing a license, grant, or other benefit;

f. A record from this system of records may be disclosed as a routine use in the course

of discovery; in presenting evidence to a court, magistrate, ad ministrative tribunal, or grand jury

or pursuant to a qualifying order from any of those; in alterna tive dispute resolution proceedings,

such as arbitration or mediation; or in the course of settlemen t negotiations;

g. A record from this system of records may be disclosed as a routine use to a

Congressional office from the record of an individual in respon se to an inquiry from the

Congressional office made at the request of that individual;

h. A record from this system of records may be disclosed as a routine use to NRC-paid

experts or consultants, and thos e under contract with the NRC on a "need-to-know" basis for a

purpose within the scope of the pertinent NRC task. This acces s will be granted to an NRC

contractor or employee of such contractor by a system manager o nly after satisfactory

justification has been provided to the system manager;

i. A record from this system of records may be disclosed as a routine use to appropriate

agencies, entities, and persons w hen (1) NRC suspects or has confirmed that there has been a

breach of the system of records, (2) NRC has determined that as a result of the suspected or

confirmed breach there is a risk of harm to individuals, NRC (i ncluding its information systems,

programs, and operations), the Federal Government, or national security; and (3) the disclosure

made to such agencies, entities, and persons is reasonably nece ssary to assist in connection

with NRC efforts to respond to the suspected or confirmed breac h or to prevent, minimize, or

remedy such harm; and

j. A record from this system of records may be disclosed as a routine use to another

Federal agency or Federal entity, when the NRC determines that information from this system of

records is reasonably necessary to assist the recipient agency or entity in (1) responding to a

suspected or confirmed breach or (2) preventing, minimizing, or remedying the risk of harm to

individuals, the recipient agency or entity (including its info rmation systems, programs, and

operations), the Federal Government, or national security, resu lting from a suspected or

confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:

Records are maintained on paper and computer media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:

Records are retrieved by individuals name.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records are retained under the National Archives and Records Ad ministrations General

Records Schedule 2.3: Employee Relations Records, Administrativ e grievance, disciplinary, and

adverse action files, Item 060, Administrative grievance files, Item 061, Adverse action files, and

Item 062, Performance-based action files, respectively. Destro y no sooner than 4 years but no

less than 7 years after case is closed.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Records are maintained in locked file cabinets and in a securit y-controlled access

automated system. Access to and use of these records is limite d to those persons whose

official duties require such access.

RECORD ACCESS PROCEDURES:

Same as Notification procedures. Some information was receiv ed in confidence and

will not be disclosed to the extent that disclosure would revea l a confidential source.

CONTESTING RECORD PROCEDURES:

Same as Notification procedures.

NOTIFICATION PROCEDURES:

Individuals seeking to determine whether this system of records contains information

about them should write to the Freedom of Information Act or Pr ivacy Act Officer, Office of the

Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001,

and comply with the procedures contained in NRCs Privacy Act r egulations, 10 CFR part 9.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.