11.3.20  Personnel Records (Cont. 1)

11.3.20.14 
Retirement Records

11.3.20.14.1  (12-31-2001)
Voluntary Retirement

  1. Documents such as health and life insurance forms that are maintained as a permanent part of the OPF, are included in the retirement records once a retirement application is received.

  2. SF-2801, Application for Retirement , is completed when an employee indicates a desire to retire.

  3. A retirement file by employee name is not usually established per se, but those documents necessary to process the retirement application are handled as a group.

  4. In some instances where it is anticipated that difficulties may arise in a particular case, a file may be established by employee name so that the necessary documents are maintained.

  5. Copies of certain documents may be maintained by the AWSS office after the employee's separation, but should be destroyed within six months.

11.3.20.14.2  (05-27-2005)
Disability Retirement

  1. The personnel records necessary for disability retirement, other than medical records, are the same as for voluntary retirement. A preliminary submission to the OPM for approval of the retirement is required for the disability retirement.

  2. Once the preliminary disability retirement records are received by the OPM and a claim number has been assigned, the records are included in OPM/Central-1, Civil Service Retirement and Insurance Records.

  3. Medical records associated with a disability retirement are discussed in IRM 11.3.20.15.1 below.

11.3.20.14.3  (05-27-2005)
Access to Retirement Records

  1. These records are subject to the access provisions of the Privacy Act by the individual to whom the records pertain.

  2. The special provisions for access under the Privacy Act for medical records are described in IRM 11.3.20.15.7 below.

  3. Intra-management memorandums and discussions that may occur during an agency initiated disability retirement may receive protection from disclosure under the (b)(5) exemption of the FOIA and the (d)(5) provision of the Privacy Act.

  4. Once retirement records are received by OPM, all requests should be addressed to OPM.

  5. Guidelines for processing FOIA requests for these records can be found at IRM 11.3.13.9.12.

11.3.20.15  (09-24-2013)
Medical Records

  1. Medical records are compiled and maintained by the agency at the request of both the employee and the agency.

  2. Medical files for AWSS purposes are maintained in the AWSS offices.

  3. The medical records associated with the Health Unit are maintained in the Health Unit.

  4. Medical records are maintained by employee name and the purpose of the file will determine its inclusion in a system of records.

  5. Most medical records are included in OPM/GOVT-10, Employee Medical File System Records .

  6. OPM also includes medical records associated with the OPF In OPM/GOVT-1, General Personnel Records.

11.3.20.15.1  (09-24-2013)
Medical Records Pertaining to Disability Retirement

  1. This addresses only the medical records associated with a disability retirement.

  2. A separate file is not required for disability retirement. The confidentiality associated with medical records should be maintained, and a file by employee name would prevent unnecessary observation of the records.

  3. OPM requires approval by an OPM medical officer prior to an employee separating by disability retirement and the agency may wish to maintain a copy of the records while the OPM medical officer performs the review. In certain circumstances, the employee's physician may provide the agency with the SF-3112-C, Physician's Statement, in a sealed envelope.

  4. Disability retirement records are listed in both OPM/GOVT-10, Employee Medical File System Records, and Treasury/IRS 36.003, General Personnel and Payroll Records. The medical records associated with a disability retirement should be accessed under Treasury/IRS 36.003.

  5. The documents which are to be included in the disability retirement package are described in FPM Supplement 831-1, Subchapter S10-7. These include:

    • SF-2801, Application for Immediate Retirement (CSRS)

    • SF-3112, Documentation in Support of Disability Retirement

    • SF-3112-A, Supervisor's Statement

    • SF-3112-D, Agency Certification of Reassignment and Accommodation Efforts and

    • SF-3112-E, Disability Retirement Application Checklist

11.3.20.15.2  (09-24-2013)
Medical Determination Records

  1. OPM procedures for establishing the records and file are addressed in 5 CFR § 831.1203 and 1204.

  2. These records are listed in both OPM/GOVT-10 and Treasury/IRS 36.003. Access to these records should be made under Treasury/IRS 36.003.

  3. The same documents necessary for a disability retirement must also be completed for an agency initiated disability retirement.

11.3.20.15.3  (09-24-2013)
Health Unit Records

  1. Agency Health Unit records are initiated at the request of an employee seeking medical attention or advice.

  2. These records are maintained by employee name in the Health Units. The records are included in OPM/GOVT-10, Employee Medical file System Records.

  3. Records maintained in Health Units operated by the Internal Revenue Service and private units contracted by the IRS are included in OPM/GOVT-10.

  4. Those records maintained in Health Units operated by the Public Health Service or other agencies are contained in systems of records published by the agency controlling the Health Unit.

11.3.20.15.4  (09-24-2013)
Alcohol, Drug Abuse and Employee Assistance Program Records

  1. The records associated with these programs are discussed in FPM Supplement 792-2, Subchapter S-4, Alcoholism and Drug Abuse Program Confidentiality.

  2. These records are included in OPM/GOVT-10, Employee Medical File System Records.

  3. When access is requested by either the individual to whom the record pertains or a third party, the restrictions of 5 CFR § 297.205 must be considered. Disclosure offices should coordinate with AWSS Personnel.

11.3.20.15.5  (12-31-2001)
Medical Qualification Records

  1. Medical qualification forms are required by the OPM so that agencies may make a medical fitness determination regarding an individual's physical or mental fitness for a position.

  2. These forms are completed by the applicant or employee and are included in OPM/GOVT-1, General Personnel Records, system of records.

  3. The forms may be filed in the OPF, but those parts of the forms which contain medical information are to be filed separately in the AWSS Personnel office.

  4. OPM instructions regarding these records are contained in 5 CFR § 339.301 through 306.

11.3.20.15.6  (05-27-2005)
Injury Compensation Records

  1. The injury compensation records are compiled when an employee incurs a work related injury or illness.

  2. The injury compensation records are completed by the employee, employee's supervisor and the employee's physician.

  3. The HCO/WCC (Worker's Compensation Center) office sends the original documents to the Department of Labor (DOL). The HCO office maintains a copy of the documents.

  4. These records are included in government-wide systems of records DOL/GOVT-1, Office of Workers' Compensation Programs, Federal Employees' Compensation Act File.

  5. Consult the ERC web site for instructions for injury compensation forms.

11.3.20.15.7  (06-13-2008)
Access to Medical Records

  1. Medical records are available to the individual to whom the record pertains under the provisions of the Privacy Act.

  2. Congress, however, enacted Section 552a(f) of that Act, which allows agencies to establish special procedures for the disclosure of medical records.

  3. These special procedures as outlined in 5 CFR § 297.205 are to be used when medical records, including psychological evaluation records, contain information of which a prudent physician would hesitate to inform the individual.

    1. The records, under these conditions, are to be released to the employee's designated physician rather than to the employee. When the medical records contain information which is unfamiliar or which the Disclosure Manager or AWSS office hesitates to release, the requested medical records should be reviewed by a physician to determine whether the records can be released to the individual or designated physician.

    2. In those offices which have a physician, the review may be made locally. If a geographic area has a Medical Officer, this individual may complete the review. If neither a local physician nor geographic area Medical Officer is available, OPM will provide the services of its Regional Medical Officer.

11.3.20.15.8  (05-27-2005)
Release to a Designated Physician

  1. When a determination has been made by a medical authority that the records are to be released to a designated physician, the employee must be so informed. The employee must also be requested to provide the name and address of a designated physician to whom the records are to be provided.

  2. In those circumstances in which the employee declines to designate a physician, the services of the Health Unit physician or geographic area Medical Officer, if available, may be used.

  3. When the IRS Health Unit physician or Medical Officer is unavailable and the employee refuses to designate a physician, the records cannot be released, however, the requirements of the Privacy Act are considered to have been met.

  4. Once the medical records are sent to the designated physician, the disclosure to the employee and any financial charges involved are the responsibility of the employee and the employee's physician.

11.3.20.16  (05-27-2005)
Official Personnel Folder (OPF)

  1. The Official Personnel Folder (OPF) is an OPM file which is maintained by and in the custody of the agency which is currently employing the individual.

  2. The OPF is included in OPM/GOVT-1, General Personnel Records, and includes those records on the right/permanent side of the OPF. The records on the left/temporary side of the OPF are agency records and solely under the control of the agency and are included in Treasury/IRS 36.003, General Personnel and Payroll Records system of records.

11.3.20.16.1  (05-27-2005)
Documents in the OPF

  1. FPM Chapters 293 and 297 contain the basic instructions on the maintenance of the OPF. Other chapters and supplements also contain instructions on the maintenance and completion of various records which are filed in the OPF.

  2. The OPF is the official record of an individual's career in the Federal government.

  3. The documents in the OPF record the qualifications, training, experience, promotions, and other items concerning an employee.

  4. Certain records that are maintained in the OPF while an employee is employed are removed when the employee retires.

  5. When an employee retires and receives a Civil Service retirement annuity, the records, OPF and retirement, are solely under the control of OPM.

  6. When an individual separates from Federal service, the OPF, including the remaining SF-7, Service Record Card , are solely under the control of OPM. Access to the OPF by a separated employee is to be made in accordance with the instructions in OPM/GOVT-1.

11.3.20.16.2  (05-27-2005)
Access to Records Pursuant to the Freedom of Information Act

  1. Guidelines for processing FOIA requests for OPF records can be found at IRM 11.3.13.9.12.

11.3.20.16.3  (05-27-2005)
Access to the OPF Pursuant to the Privacy Act

  1. The release of information (other than public information) from the right (long term) side of the Official Personnel Folder (OPF) is to be in accordance with the routine uses published by OPM rather than the routine uses published by the IRS.

  2. The OPM has provided agencies with a routine use (OPM/GOVT-1, General Personnel Records) to release information from the OPF to other prospective employing Federal agencies for the purpose of selecting the employee for a position.

  3. OPM/GOVT-1, also provides a routine use for other prospective employers at the request of the individual.

  4. OPM/GOVT-1, designates four additional items that may be released to prospective non-Federal employers without the prior written consent of the employee. They are:

    1. Tenure of employment

    2. Civil service status

    3. Length of service in the agency and the Government and

    4. When separated, the date and nature of actions as shown on the Notification of Personnel Action, Standard Form 50

  5. When prospective non-Federal employers request information (other than public information and the four additional items above), prior written consent must be secured from the employee.

  6. The release of information to such agencies as State unemployment compensation boards is provided by routine use of OPM/GOVT-1, General Personnel Records.

  7. IRS Personnel Notices of Systems of Records parallel those of OPM. The records maintained by IRS include the OPF as well as those records controlled solely by IRS.

  8. The SF-78 (prior to 1969) should not be maintained in the OPF and examination papers should be destroyed one year after appointment.

  9. A request to access the OPF by the individual to whom the record pertains may be granted by the agency maintaining it.

  10. If the OPF is properly filed, all documents should be available to the employee. The charge out card is also available to the employee.

11.3.20.16.4  (12-31-2001)
Amendment Request

  1. A request to amend a record in the OPF may be granted or denied by the agency maintaining the OPF.

  2. If denied, the appeal rights must be directed to OPM.

11.3.20.17  (05-27-2005)
Position Classification Files

  1. These records and files are compiled and maintained in the AWSS office to meet the requirements of OPM in classifying and describing positions at the proper grade or level.

  2. These files and records are maintained by position designation or numbers rather than by an individual identity. The documents describe position and the organization of a functional area.

  3. These files and records may be available under the FOIA.

11.3.20.17.1  (05-27-2005)
Position Descriptions and Related Documents

  1. Each position within the IRS has a position description.

  2. A position description is the written record of the basic duties and responsibilities that are assigned to a position.

  3. There are certain positions, such as Revenue Officer, which have identical duties and responsibilities at a particular grade, nationwide. For these positions, the OPM encourages the use of a multi-position description or standard position description.

  4. When a standard position description is developed for a position, the description is used by all AWSS offices. Standard position descriptions may also be developed for positions within a Campus when there are substantially identical positions.

  5. Infrequently, a position description with a particular grade may be assigned to "incumbent only." This occurs when an individual brings particular skills and responsibilities to a position. Even in these cases, the position description depicts the duties and responsibilities of a position, not the personal information of the individual.

  6. Each position description should have an evaluation statement. The evaluation statement is a written explanation of how the classification determination was made. The instructions for preparation of evaluation statements are found in IRM 6.511, Position Classification and Position Management.

  7. Each position description is assigned a number. To search for a specific position description, search the Intranet web site through AWSS or use HR Connect.

11.3.20.17.2  (09-24-2013)
Annual Position Review

  1. These files are compiled and maintained in the AWSS office under the requirements of OPM in FPM Chapter 312.

  2. The documents and records are maintained according to organizational areas, except for narrative reports which include recommendations for management's consideration, and may be accessible under the provisions of the FOIA. The narrative reports may be exempt under the (b)(2) and (b)(5) exemptions of the FOIA.

  3. The annual position review is conducted jointly by AWSS and management officials .

  4. The files contain the schedule for the review, size of the desk audit sample, positions to be desk audited, the type of review and the explanation of the selection of positions being reviewed.

  5. Supervisors have the responsibility of performing the initial review concerning the accuracy of the position descriptions and position needs. The supervisor then provides Personnel/Human Resources with recommendations concerning the descriptions and position needs.

  6. Personnel/Human Resources prepares narrative reports of findings with advice and recommendations for consideration by management based on the results of the review. These documents may be exempted under the (b)(2) and (b)(5) exemptions of the FOIA.

  7. Refer to IRM 6.511.1.8.7, Position Review Program (PRP)for guidance and additional information.

  8. Desk audits including those made as a part of the annual position review are discussed in IRM 11.3.20.17.3 below.

11.3.20.17.3  (05-27-2005)
Desk Audits

  1. These records are maintained in the AWSS Office with the position description of the particular position.

  2. A desk or work audit is a review of the duties and responsibilities of a position which is accomplished by interviewing the employee in the position and the supervisor of the position.

  3. Desk audits may be performed when an employee appeals the position description; during an annual or other position review; anytime management is considering a change to a particular position; or when OPM is requesting a review of a particular position under the Factor Evaluation System. When audits by OPM require access to returns and return information, procedures outlined in IRM 11.3.20.9.2 above, Disclosures Permitted by IRC §6103(l)(4)(B) above, will apply.

  4. The desk audit provides the classifier with first-hand knowledge of the responsibilities of the position so that changes, if necessary, may be made to the position description.

  5. The information contained in the desk audit report relates solely to the position and contains no evaluative information concerning the work performance of the employee in the position.

  6. The notes made by the classifier are preliminary thoughts which may later be researched for applicability to changes in the position description. If retained, the notes may be exempt under FOIA exemption (b)(5).

11.3.20.18  (05-27-2005)
Position Management Program Files

  1. These files are maintained in the AWSS offices and in the organizational area management offices.

  2. These files contain information concerning reorganization of IRS human resources.

  3. The files contain surveys and studies regarding the organization of a functional area and the changing needs of the function. Also included are recommendations and draft proposals for the reorganization of the function and the allocation or reallocation of the human resources.

  4. Inasmuch as these files contain intra-management recommendations and proposals, the documents may be exempted under FOIA exemptions (b)(2) and (b)(5). Those documents which prescribe the final decisions are available.

  5. Documents which prescribe the allocation of resources would be available under the FOIA unless the disclosure would identify areas of interest and concentration of efforts which would affect civil and criminal law enforcement. Those documents which could affect civil and criminal law enforcement would be exempt from disclosure under FOIA exemptions (b)(2) and (b)(5).

11.3.20.19  (05-27-2005)
Classification Appeal Files

  1. The Classification Appeal File is established, compiled and maintained as a result of an employee's formal written request for a change in the classification of the employee's position.

  2. The classification appeal is to be maintained in the AWSS Office by position, title, series, and grade. If old files are maintained by employee's name, the files are included in Treasury/IRS 36.001, Appeal, Grievances, and Complaints Records.

  3. The instructions for the classification appeal procedure are addressed in IRM 6.511.

11.3.20.19.1  (05-27-2005)
Documents in the File

  1. The file should include:

    • The employee's request for a change in classification

    • Documentation of discussions

    • Desk audit report; and

    • Decision on the appeal

  2. If an appeal is filed with the Department of Treasury or OPM, the records and file are under Treasury's or OPM's control.

11.3.20.19.2  (12-31-2001)
Access to the File

  1. The documents in the file are available to the appellant.

  2. The documents in the file can be disclosed to a third party after deletions of personal identifiers have been made.

11.3.20.20  (05-27-2005)
Disciplinary Action Files

  1. These records are compiled in anticipation of a proposed disciplinary action against an employee. Disciplinary action matters under 31 U.S.C. 330 (conference and practice) are handled by OPR who will follow the general rules of this subsection in processing requests.

  2. The definition and requirements of the various types of disciplinary action are found in the Labor Relations IRM.

  3. These files are a part of Treasury/IRS 36.003, General Personnel and Payroll Records. Copies may also exist in Treasury/IRS 00.007, Employee Complaint and Allegation Referral Records. OPR claimant representative disciplinary files fall under Treasury/IRS 37.003 and 37.005.

11.3.20.20.1  (05-27-2005)
Documents in the File

  1. The documents and records that must be included in the file are described in the Labor Relations IRM.

  2. The specific records will depend upon the basis for the action. Certain records must be included. They are as follows:

    1. Proposed letters of charges

    2. The final notice of decision

    3. The employee's replies, if any and

    4. The basis for the action which may include records from other systems

  3. Only copies of those portions of the investigation report that are used as the basis of the proposed action are to be maintained in the AWSS Office.

11.3.20.20.2  (05-27-2005)
Access to the File

  1. Since these records are maintained as a part of Treasury/IRS 36.003, the file is accessed under the provisions of the Privacy Act.

  2. These files may contain intra-management memorandums and discussions which may receive protection from access by the individual to whom a file pertains under the (d)(5) provision of the Privacy Act and FOIA exemption (b)(5).

  3. Disclosure of tax information from these files is subject to the confidentiality provisions of IRC §6103.

  4. Unflagged TIGTA Reports of Investigation may be released to the subject consistent with IRS rules and statutory considerations.

11.3.20.21  (12-31-2001)
Adverse Action Files

  1. These records are compiled in anticipation of proposing and taking adverse action against an employee.

  2. These files are maintained by the employee's name in the AWSS Office and are included in Treasury/IRS 36.003, General Personnel Records.

  3. Issues involving FPM instructions regarding adverse actions and IRS instructions regarding adverse actions are to be coordinated between AWSS Personnel and Disclosure offices.

11.3.20.21.1  (05-27-2005)
Documents in the File

  1. Certain documents are required by the instructions listed in IRM 6.752, Disciplinary Suspensions and Adverse Actions. These documents must be maintained in the file and consist of the following:

    1. Copy of notice of proposed disciplinary suspension

    2. Any written reply and affidavits, evidence or material attached thereto

    3. Transcript or summary of oral reply (if any) and exhibits thereto

    4. Copy of final decision

    5. Copies of all correspondence to and from the employee and/or representative and

    6. Proof of delivery of the notice and decision

  2. If a Treasury Inspector General for Tax Administration (TIGTA) report is used to document the charges, only copies of those portions that relate to the charges are to be retained by AWSS.

11.3.20.21.2  (12-31-2001)
Access to the File

  1. These files are part of Treasury/IRS 36.003 and are accessed under the provisions of the Privacy Act.

  2. The employee and/or designated representative, upon request, are to receive copies of the information used to support the proposed changes.

  3. Those documents of intra-management discussion and recommendations may be protected under the (d)(5) provision of the Privacy Act and the (b)(5) exemption of the FOIA with respect to the individual to whom the record pertains.

  4. Tax information in these files should be disclosed only as authorized by IRC § 6103.

11.3.20.22  (05-27-2005)
Equal Employment Opportunity Complaint Files

  1. The Equal Employment Opportunity (EEO) complaint files consist of materials compiled in connection with a complaint against the agency.

  2. Because a complaint file may be in the custody of various EEO Program officials, depending on the stage of complaint processing, a request for a complaint file should be made to the Regional Complaints Center Director who will process the complaint for the IRS if the complaint is formal, or by the IRS disclosure office if the allegation is still informal.

  3. The EEO complaint files are included in Treasury/IRS 36.001, Appeals, Grievances and Complaints Records and EEO/GOVT-1, EEO Complaint Records and Appeal Records. See IRM 11.3.20.22.1 below.

11.3.20.22.1  (05-27-2005)
Documents in the File

  1. The procedures for processing EEO complaints are contained in Equal Employment Opportunity (EEOC) regulations 29 CFR 1614, EEOC Management Directive (MD) 110, and the Department of the Treasury Handbook for Processing Complaints of Employment Discrimination (Handbook) (1/96).

  2. The EEO Counselor shall destroy the report of counseling, as well as the notes of all counseling sessions and the results thereof, 45 days after the notice of final interview has been issued, unless otherwise notified by the appropriate EEO officer.

  3. A formal complaint must be filed in accordance with 29 CFR 1614 or the Handbook. If the formal complaint is accepted, an investigator will be appointed.

  4. The investigation procedures and the documentation of the investigative file are described in 29 CFR § 1614, EEOC MD 110, and Part III of the Handbook. EEOC MD 110 and the Handbook detail the investigation procedures and the documentation of the investigative file.

  5. The EEO complaint file shall, at a minimum, contain all the documents specified in EEOC MD 110 and the Handbook.

  6. When a hearing is held, all documents received and copies of interrogatory transcripts are included in the file. The EEOC Administrative Judge will send to the head of the agency or designee the finding and analysis of the complaint, the decision and remedial action, when appropriate.

  7. The agency decision will advise the complainant of the right to appeal a decision to the (EEOC) or the Merit System Protection Board (MSPB), as appropriate, and of the right to seek judicial review of the complaint.

11.3.20.22.2  (05-27-2005)
Access

  1. The complainant and/or representative is entitled to the complaint/investigative file as described in Part III of the Handbook.

  2. Access to the investigative file is described in Part III of the Handbook.

  3. A request for access to an EEO complaint/investigative file by an individual, other than the complainant (the subject of the file) and/or his/her representative, or an EEO Program official who is responsible for the processing of the complaint, is to be evaluated under the FOIA.

  4. Requests to access a complaint file must be submitted to the agency in which the complaint file originated. Upon denial to access the file, the requester must be advised of his/her appeal rights under the Privacy Act and the FOIA.

  5. The EEOC has oversight responsibility for access to complaint/investigative files under both the Privacy Act and the FOIA.

  6. When a complainant has appealed a final agency decision or order on an equal employment opportunity matter to the EEOC, to the MSPB, or requested the EEOC to review a final decision in a negotiated grievance action, subsequent requests for such records should be made to the EEOC or MSPB, as appropriate.

  7. Requests received by the EEOC for records that originated in another agency, but which are now in the custody of the EEOC will be coordinated with the originating agency in accordance with 29 U.S.C. § 1610.6.

  8. If access to records that originated in another agency, but which are now in the custody of the EEOC is denied, the appeal rights will be those given by the EEOC to the requester.

11.3.20.23  (12-31-2001)
Supervisory Documentation Files

  1. These records are compiled and maintained at the discretion of the supervisor except in those functional areas which require the supervisor to maintain such files as described in the IRM.

  2. The Supervisory file, to the extent it is an agency record, is included in Treasury/IRS 36.003, General Personnel Records.

  3. The records maintained in these files are primarily used to evaluate and counsel employees on work performance.

  4. These files contain information prescribed by the negotiated contracts as well as those prescribed by the FPM and IRM.

11.3.20.23.1  (05-27-2005)
Documents Included in the File

  1. The Supervisory File may include promotion appraisal forms, narrative recordation, commendations, copies of awards, copies of SF-50's and SF-1126's, requests for training, and training evaluations.

  2. These files may also include documents required by functional managers. These documents contain information such as case loads, time reports and other work related information.

  3. Care should be taken that out-dated and irrelevant material are not maintained which could adversely affect an employee.

11.3.20.23.2  (05-27-2005)
Access

  1. Access by the individual to whom the record pertains is to be processed under the Privacy Act.

  2. In most cases, these records would be protected from third party disclosures under FOIA exemption (b)(6). There may, however, also be records exempt under FOIA exemption (b)(5).

  3. The records that are maintained in the supervisory file may at times be included in other files such as grievance and promotion files. Tax information in these files should be disclosed only as authorized by IRC § 6103. Those records containing labor relations advice are subject to 5 U.S.C. § 7114(b)(4)(C).

11.3.20.23.3  (05-27-2005)
Access by Employee Representatives

  1. In certain circumstances, an employee is entitled to representation by a union official in a meeting with a supervisor. Personal information (about the employee) contained in the employee's records may be discussed in such meetings. The employee and an accompanying individual of the employee's choice may have access to such personal information.

  2. The union official may also contact the supervisor for copies of documents discussed and/or reviewed in a previous meeting at which the employee and representative were in attendance. The supervisor cannot discuss additional topics or expand upon the discussion with the representative without the prior written consent or presence of the employee.

11.3.20.24  (09-24-2013)
Upward Mobility Records

  1. The Upward Mobility records on employees who have applied for the program are maintained in the AWSS offices.

  2. The records are maintained by the employee's name and are maintained as a part of Treasury/IRS 36.003, General Personnel and Payroll Records, and/or OPM/GOVT-5, Recruiting, Examining and Placement Records.

  3. The employee's file may consist of an employee's application which includes a skills and education inventory, supervisory evaluation, and development plans.

  4. The employee has access to all information in his/her file.

11.3.20.25  (05-27-2005)
Investigation Records

  1. The IRS Restructuring and Reform Act of 1998 included specific provisions impacting investigations of IRS employees. The law provided for the appointment of a Treasury Inspector General for Tax Administration (TIGTA), effective January 19, 1999, who reports directly to the Secretary of the Treasury.

  2. The systems of records Treasury/IRS 60.008 - Security, Background and Character Investigation Files (NBIC), and Treasury/IRS 60.011 - Internal Security Management Information System (ISMIS), continue to exist with the IRS since the National Background Investigations Center, which generates such investigations and utilizes the ISMIS database, remains with the IRS.

  3. The NBIC, formerly under the control of the Chief, Inspector, conducts personal security investigations under the auspices of the Assistant Commissioner (Support Services). IRS 60.008 - Security, Background, and Character Investigation Files, Inspection, was renumbered and renamed as "IRS 34.021 - Personnel Security Investigations, National Background Investigations Center-Treasury/IRS" . The "Exemption" claimed for the system is (k)(5). The second system of records, IRS 60.011 - Internal Security Management Information System (ISMIS) was renumbered and renamed as "IRS 34.022 - National Background Investigations Center Management Information System (NBICMIS) - Treasury/IRS" .

  4. The system of records Treasury/IRS 00.007, Employee Complaint and Allegation Referral records contains information on complaints directed to, or, inquiries or investigations conducted by the IRS or TIGTA relative to current and former employees of the IRS and IRS contractors. Most of these files relate to information sent to IRS by TIGTA for appropriate action after a decision is made not to investigate or the investigation is completed.

  5. TIGTA has its own systems of records published under Treasury/DO.3XX - TIGTA. See the Treasury website under FOIA for a listing of these systems and their contents.

  6. See IRM 11.3.20.20.2(4) above, relative to releases of TIGTA Reports of Investigation that may be in IRS files.

11.3.20.26  (05-27-2005)
Program Evaluation Records

  1. The program evaluation records are those intra-management and inter-office records which are compiled and maintained within AWSS Offices as the result of the review and evaluation of the program requirements and responsibilities of the AWSS function.

  2. These records are maintained at Headquarters level.

  3. The program evaluation records are reports of visitations, recommendations for improvements, suggestions for corrective actions where necessary, field concerns and requests for action, and discussion of findings.

  4. Requests for such documents must be evaluated in accordance with the FOIA. These documents, or portions thereof, may be exempt under the (b)(2) and (b)(5) exemptions.

11.3.20.27  (05-27-2005)
Congressional Inquiries on Individuals

  1. Routine uses for systems relating to disclosures to Congressional offices are limited to inquiries made at the written request of the individual who is the subject of the record(s).

  2. For those requests where there is either no indication that the request originated from the subject of the record(s) or when the original request was made by a family member, spouse, etc., disclosure to the Congressional office is not authorized. The Congressional office should be so advised and asked if it has any additional information which would enable the IRS to obtain the authorization. The requested information can be released immediately upon receipt of such written authorization. If the subject of the record is an IRS employee who, when contacted, authorizes, in writing, the release of the information, the requested information can be released.

  3. Public information may be provided to the Congressional office without any contact with the subject of the record(s).

  4. Letters or referrals from Congressional offices are maintained either as a part of the general correspondence files or are in files such as adverse or disciplinary files.

  5. For additional guidance with respect to Congressional inquiries, see IRM 11.3.4, Congressional Inquiries.

11.3.20.28  (09-24-2013)
Correspondence Files

  1. The Correspondence File includes:

    1. Documents pertaining to employees, individuals and various personnel management areas

    2. Inter/intra-office memorandums

    3. Inter/intra-agency correspondence

    4. Congressional correspondence and

    5. Correspondence with members of the public

  2. The correspondence pertaining to an individual is generally included in the system of records related to the purpose of the correspondence.

    Example:

    When an individual requests information concerning employment with the IRS, the correspondence is generally considered a part of OPM/GOVT-5, Recruiting, Examining and Placement Records.

  3. Correspondence which relates to various personnel management areas may be available under the FOIA.

  4. The correspondence files are located in local, campus and Headquarters AWSS Offices.

  5. Correspondence may also be included in Treasury/IRS 00.001, Correspondence Files and Correspondence Control Files.

11.3.20.29  (05-27-2005)
Office of Professional Responsibility (OPR)

  1. OPR conducts investigations of persons involved in practice before the IRS. Disciplinary action may be taken. Disclosures to subjects of these actions will be handled by OPR consistent with delegated authority (e.g., Delegation Order 11-2), the guidelines of this IRM section, and statutory requirements.


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