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SORN 09-90-0012

DEPARTMENT OF HEALTH AND HUMAN SERVICES 09-90-0012 

System name: Executive Development Records, HHS/OS/ASPER.

Security classification:  None.

System location:  Personnel offices shown in Applicants for Employment Records, HHS System 09-90-0006, Appendix 1.

Categories of individuals covered by the system:  Members of the Senior Executive Service, supergrade employees (GS-16-18) and equivalents, incumbents of managerial positions and employees in grades GS-13-15 who have applied for Executive  Development Programs.

Categories of records in the system:  This system consists of a variety of records relating to an employee's application for, and participation in, the executive development program. In addition to the employee's name, the system contains the employee's title, grade and salary, Social Security Account Number, organization in which employed, date of entry into the Executive Development Program, training needs while participating in the program, individual's development plan, basis for participation in the Executive Development Program.

Authority for maintenance of the system:  5 U.S.C. 4101 et. seq.

Purpose(s): 

These records are used to document employee's application for and participation in the executive development program. They may be used as a basis for promotion, transfer, or reassignment. These records are maintained in each component of the Department. See also “Retrievability'' below.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

Information in this system of records is used:

(1)   In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the

statute, or rule, regulation or order issued pursuant thereto.

(2)   A record from this system of records may be disclosed 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.

(3)   In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use to the appropriate agency, whether state or local charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

(4)   Where federal agencies having the power to subpoena other federal agencies' records, such as the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for records in this system of records, the Department will make such records available.

(5)   Where a contract between a component of the Department and a labor organization recognized under E.O. 11491 or 5 U.S.C. Chapter 71 provides that the agency will disclose personal records relevant to the organization's mission, records in this system of records may be disclosed to such organization.

(6)   The Department contemplates that it will contract with a private firm for the purpose of collating, analyzing, aggregating or otherwise refining records in this system. Relevant records will be disclosed to such a contractor. The contractor shall be required to maintain Privacy Act safeguards with respect to such records.

(7)   By the Office of Personnel Management, Merit Systems Protection Board (including its Office of the Special Counsel), Equal Employment Opportunity Commission, and the Federal Labor Relations Authority (including the General Counsel of the Authority and the Federal Service Impasses Panel) in carrying out their functions.

(8)   Disclosure may be made 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.

(9)   In the event of litigation where the defendant is (a) the Department, any component of the Department, or any employee of the Department in his or her official capacity; (b) the United States where the Department determines that the claim, if successful, is likely to directly affect the operations of the Department or any of its components; or (c) any Department employee in his or her individual capacity where the Justice Department has agreed to represent such employee, the Department may disclose such records as it deems desirable or necessary to the Department of Justice to enable that Department to present an effective defense, provided such disclosure is compatible with the purpose for which the records were collected.

(10)     Records may be disclosed to student volunteers, individuals working under a personal                               services contract, and other individuals performing functions for the Department but technically not having the status of agency employees, if they need access to the records in order to perform their assigned agency functions.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:   

Storage:  Information in this system of records is maintained in file folders, magnetic tape, punch cards, and forms.

Retrievability:  Records are indexed by name and Social Security Account Number.  They may be used as base for preparing management, budgetary or statistical reports to support organizational planning or manpower utilization studies.

Safeguards:  Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.

Retention and disposal:  Records of an unsuccessful applicant are retained for 60 days after notification that he or she was not selected for participation, and are then destroyed. Records of a participant are retained for 5 years after the individual has ceased to participate in the program, and are then destroyed.

System manager(s) and address:  Heads of personnel offices which service the organizational unit in which the individual is employed. See Applicants for Employment Records, HHS System 09-90-0006, Appendix 1.

Notification procedure:  Same as above. Individuals should include their name, grade, title, and organization when contacting the system manager.

Record access procedures:  Same as notification procedures. Requesters should also reasonably specify the record contents being sought. (These access procedures are in accordance with Department Regulations (45 CFR 5b.5(a)(2)), Federal Register, October 8, 1975, page 47410).

Contesting record procedures:  Contact the official at the address specified under notification procedures above, and reasonably identify the record and specify the information to be contested and state the corrective action sought and the reasons for the correction. (These procedures are in accordance with Department Regulations (45 CFR 5b.7), Federal Register, October 8, 1975, page 47411).

Record source categories:  Information in this system of records is: (1) Supplied directly by the individual, or (2) derived from information supplied by the individual, or (3) supplied by Department officials.

System exempted from certain provisions of the act:  None.


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