EMPLOYEE RECORDS

Material placed in an employee's Electronic Official Personnel Folder (eOPF), Employee Performance File (EPF), Medical, Security, Training folder(s) or other DOT/FAA file(s) shall comply with the OPM Operating Manual, The Guide to Personnel Record Keeping, 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 Agency 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 regulation, any material that becomes a part of the employee's records shall bear the signature/e-signature of the person originating the material.

There shall be only one (1) eOPF and EPF maintained for each employee in the bargaining unit. The eOPF and EPF shall be secured in a location consistent with applicable law and regulation. Employees shall be afforded a reasonable amount of duty time for any activity involving the access to his/her eOPF and will be provided instructions on how to access the eOPF system. The employee shall be given notification of Agency- initiated material when it is placed in his/her eOPF and/or EPF and provided access to and the ability to make copies of such material. Copies of materials in other Agency files may be obtained in accordance with Section 12 of this Article.

The employee and his/her designated representative are entitled to review his/her EPF, Medical, Security, Training folder(s) or other 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 law, rule, or regulation.

Upon an employee's written request, a true and certified copy of his/her EPF, Medical, Security, Training folder(s), or other DOT/FAA file and its contents, shall be forwarded to the address as requested by the employee, except for material restricted by law, rule, or regulation. This shall be in electronic format or hard copy. 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 folders/files, on duty time, if otherwise in a duty status, as forwarded to the facility, in the presence of a management official.

Within ten (10) days of a request, the Agency shall provide duty/official time for an employee and/or a Union representative, if requested by the employee, to view his/her eOPF/EPF, Medical, Security, Training folder(s), or other DOT/FAA file when available via the intranet. The Agency shall provide an intranet-connected terminal located in a private area and allow printing and/or downloading of any Agency maintained documents. This Section will be granted independent of whether or not the employee has made a request pursuant to Section 3.

When an employee cannot access the eOPF system, he/she may make an individual request in writing to the applicable Human Resource Management Office Shared Service Center, through the Air Traffic Manager, to receive a copy of his/her eOPF. The Agency will provide the requested eOPF to the employee no later than fifteen (15) days after receipt of the request.

Documents relating to counseling sessions involving discipline and/or conduct (e.g. letters of confirmation of discussion or any other similar documents), oral admonishments confirmed in writing, and written admonishments shall be retained in an employee’s individual record for a period of time not to exceed two (2) years from the date of issuance. If at the end of one (1) year it is decided that it is no longer warranted, these documents shall be removed.

Performance Records of Conference (PRoC) or any similar document(s) shall not be retained for more than eighteen (18) months from the date of the event giving rise to the documentation.

In the event an appropriate authority rules any of these documents to be unjustly issued, that specific document and any related documentation shall be removed from the employee’s record immediately and destroyed. Any reference to that document must be removed from the employee’s record.

Letters of Reprimand and documents related to them shall be retained in the eOPF 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 Letter of Reprimand and related documents shall be removed. In the event a Letter of Reprimand is ruled by an appropriate authority to have been unjustly issued, the Letter of Reprimand and related documents shall be removed immediately and destroyed. Any reference to a Letter of Reprimand which has been expunged from the eOPF must be removed from any other record.

Access to an employee's eOPF/EPF, Medical, and Security file(s) shall be granted to other persons only as authorized by law and OPM regulation. The Agency shall maintain a log of all persons, outside the Security and Hazardous Materials Safety (ASH) and Human Resource Management (AHR) offices, who have accessed an employee's eOPF/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 eOPF/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 place of employment 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.

An employee, pursuant to OPM regulations, may request that a record maintained by the Agency be corrected or amended if he/she believes the information is incorrect. The Agency 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 Agency will be advised of the reasons for the refusal and may have a statement of disagreement placed in his/her folder.

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 Agency shall clearly note any portion of the record which is disputed and also provide copies of the employee's statement and, if appropriate, the Agency's reasons for not making the amendments.

Personal records, notes, or diaries maintained by a supervisor:

a. 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:

(1) They are kept and maintained for the supervisor's personal use only.

(2) They are not circulated to anyone else, including secretarial staff or another supervisor of the same employee.

(3) They are not under the control of the Agency in any way or required to be kept by the Agency.

(4) They are kept or destroyed solely as the supervisor sees fit.

b. Such records, notes, or diaries 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 and should include the praiseworthy acts of employees as well as problems.

Such records, notes, or diaries shall not be used as a basis to support the following:

(1) a performance evaluation of less than fully successful;

2) the denial of a promotion;

(3) the denial of a pay increase; or

(4) 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 thirty (30) days from the incident giving rise to the notation. If an employee is shown a record, note, 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.

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.

Each employee, upon written request, and/or his/her designated representative upon written authorization, shall be allowed, in the presence of a management official, to copy information contained in the EPF, Medical, Security, Training folder(s), or other DOT/FAA file, with the exception of records restricted by law or regulation.