PSC Privacy Act System Notices-Systems of Records (SORs)
Privacy Act: [09-40-0001] Public Health Service (PHS) Commissioned Corps General Personnel Records, HHS/PSC/HRS
System NO: 09-40-0001
System name:
Public Health Service (PHS) Commissioned Corps General Personnel Records, HHS/PSC/HRS.
Security classification:
None.
System location:
Division of Commissioned Personnel (DCP)/HRS/PSC, Room 4-36,
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857-0001.
PHS Health Data Center, GW Long Hansen's Disease Center,
Carville, Louisiana 70721.
National Personnel Record Center, Civilian Personnel Records, 111
Winnebago Street, St. Louis, Missouri 63118.
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and
organizations to which PHS Commissioned Corps officers are assigned.
Contact the System Manager for the location of specific records.
Contact the Rockville, Maryland location before writing to other
record sites.
Names and addresses of contractors given information under
routine use 7 can be obtained from the System Manager at the location
identified below.
Categories of individuals covered by the system:
Individuals who are part of or who have some relationship with
the PHS Commissioned Corps, including: Active duty commissioned
officers, former commissioned officers, inactive reserve officers,
retired commissioned officers, deceased commissioned officers,
dependents and survivors of the above, former spouses of officers,
and applicants to the PHS Commissioned Corps.
Categories of records in the system:
These records contain:
Applications for appointment, references and other documents
relating to qualifications or suitability for appointment and
assignment.
Official Personnel Folders (OPF), for all officers who are, or
were at one time, on active duty, which include: All documents
related to the application and appointment process; effectiveness
reports; career development and training records; documents relating
to assignment, promotion, retention, separation and all other
personnel actions; records of personnel actions relating to pay,
travel and allowances (including overseas educational allowances for
dependents); documentation of dependent status used to determine
entitlement or eligibility for benefits and identification and
privilege cards; applications and records of service action relating
to the Commissioned Officer Student Training and Extern Programs
(COSTEP) officers; survivor benefit elections; information supporting
officer awards, honors and commendations; documentation supporting
non-board terminations and reprimands issued after final
administrative action; pay records and medical data after death of
subject individual; and leave records.
Worksheets, internal forms, internal memoranda and other
documents which result in, or contribute to, an action resulting in a
record identified in 2. above.
Service Record cards (summarizing personnel actions).
Correspondence relating to the above.
Authority for maintenance of the system:
The Public Health Service Act (42 United States Code [U.S.C.]
202-217, 218a, 224, 228, 233, and other pertinent sections); The
Social Security Act (42 U.S.C. 410(m) et seq.); portions of Title 10,
U.S.C., related to the uniformed services; portions of the Title 37,
U.S.C., related to pay and allowance for members of the uniformed
services; portions of Title 38, U.S.C., related to benefits
administered by the Department of Veterans Affairs; sections of 50
U.S.C. App., related to the selective service obligations and the
Soldiers' and Sailors' Civil Relief Act; Executive Order (E.O.) 9397,
"Numbering System for Federal Accounts Relating to Individual
Persons"; E.O. 10450, "Security Requirements for Government
Employment"; and E.O. 11140, which delegates the authority to
administer the PHS Commissioned Corps from the President to the
Secretary, HHS.
Purpose(s):
The information is used by the Program Support Center (PSC), DCP,
HHS Operating Divisions (OPDIVs) and other organizations where
commissioned officers are assigned, to:
Determine qualifications and suitability for appointment,
selection, career development, training, promotions, assignments,
mobilization, temporary duty, and other types of officer utilization.
Determine eligibility for pay, allowances, entitlements,
privileges, and benefits.
Prepare the Commissioned Officer Roster and Promotion
Seniority of the Public Health Service.
Determine the eligibility or entitlements of dependents and
beneficiaries for benefits based on the service of a PHS commissioned
officer.
Give legal force to personnel transactions and establish
officer rights and obligations under the pertinent laws and
regulations governing the commissioned corps personnel system.
Provide material for research by the Office of the Secretary,
HHS, concerning the activities of health professionals.
Provide information to HHS components seeking to collect an
overdue debt to the Federal Government, but only to the extent
necessary to collect that overdue debt.
Provide information about professional qualifications, past
performance and career interests of PHS officers to Department and
Agency officials involved in the selection or assignment of an
officer to a particular program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records or information from these records may be used:
To locate individuals for personnel research or survey
response, and in the production of summary descriptive statistics and
analytical studies in support of the function for which the records
are collected and maintained, or for related work force studies.
While published statistics and studies do not contain individual
identifiers, in some instances the selection of elements of data
included in the study may be structured in such a way as to make the
data individually identifiable by inference.
To disclose information to a congressional office from the
record of an individual in response to a verified inquiry from the
congressional office made at the written request of that individual.
To the Department of Justice, a court or other tribunal, when:
(a) HHS, or any component, thereof; or (b) any HHS employee in his or
her official capacity; or (c) any HHS employee in his or her
individual capacity where the Department of Justice (or HHS, where it
is authorized to do so) has agreed to represent the employee; or (d)
the United States or any agency thereof where HHS determines that the
litigation is likely to affect HHS or any of its components, is a
party to litigation or has interest in such litigation, and HHS
determines that the use of such records by the Department of Justice,
the court or other tribunal is relevant and necessary to the
litigation and would help in the effective representation of the
governmental party, provided, however, that in each case HHS
determines that such disclosure is compatible with the purpose for
which the records are collected.
To disclose pertinent information to appropriate Federal,
State, or local agencies; international agencies; or foreign
governments responsible for investigating, prosecuting, enforcing or
implementing statutes, rules, regulations or orders when PHS becomes
aware of evidence of a potential violation of civil or criminal law.
To disclose information to an individual who has been asked to
provide a reference, to the extent necessary to clearly identify the
individual to whom the reference will pertain, inform the source of
the purpose(s) of the reference, and to identify the type of
information requested from the source, where necessary to obtain
information relevant to an agency decision concerning the hiring or
retention of any employee, the issuance of a security clearance, the
conducting of a security or suitability investigation of an
individual, the classifying of jobs, the letting of a contract, or
the issuance of a license, grant or other benefit.
To disclose to any agency in the executive, legislative or
judicial branch; the District of Columbia Government; a State or
local government agency; a professional credentialing agency or a
non-profit institution, in response to its request, or at the
initiation of the PHS, information in connection with the hiring of
an employee; the issuance of a license, grant or other benefit by the
requesting agency; or the lawful statutory administrative, or
investigative purpose of the agency to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter.
When the Department contemplates contracting 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 will be required to
maintain Privacy Act safeguards with respect to such records. These
safeguards are explained in the section entitled "Safeguards."
To disclose information to the Department of State and
officials of foreign governments for the issuance of passports, visas
and other clearances before an active, retired or inactive officer is
assigned to that country.
To disclose information to the Department of Labor, the
Department of Veterans Affairs, Social Security Administration or
other Federal agencies having special employee benefit programs; to a
Federal, State, county or municipal agency; or to a publicly
recognized charitable organization when necessary to adjudicate a
claim under a benefit program, or to conduct analytical studies of
benefits being paid under such programs, provided such disclosure is
consistent with the purposes for which the information was originally
collected.
To disclose information to the Office of Management and
Budget (OMB) at any stage in the legislative coordination and
clearance process in connection with private relief legislation as
set forth in OMB Circular No. A-19, or for budgetary or management
oversight purposes.
To respond to interrogatories in the prosecution of a divorce
action or settlement for purposes stated in 10 U.S.C. 1408 ("The
Former Spouses' Protection Act").
To disclose information about the entitlements and benefits
of a beneficiary of a deceased officer, retiree, or annuitant for the
purpose of making disposition of the estate.
To disclose information to the Department of Defense, United
States Coast Guard or Federal Emergency Management Agency, to the
extent necessary to facilitate participation of PHS employees in
planning, training, and emergency operations in support of civil
defense activities and to provide support in the event of a national
emergency.
To disclose information to Government training facilities
(Federal State, and local) and to non-Government training facilities
(e.g., private vendors of training courses or programs, private
schools), for training purposes such as crediting of work experience
in the COSTEP, or verification of status or income.
To disclose information to the Defense Enrollment/Eligibility
Reporting System, uniformed services medical treatment facilities and
to the Department of Defense, Office of the Civilian Health and
Medical Program of the Uniformed Services when the information is
needed to verify the eligibility of an officer, his/her dependents,
or a former spouse for medical benefits.
To disclose information to agencies or organizations
established in medically underserved areas which apply to the
National Health Service Corps for the assignment of commissioned
officers to such agencies or organizations.
To disclose information to an officer assigned to Federal
health care facilities or private sector (i.e., other than Federal,
State, or local government) agencies, boards or commissions (e.g.,
the Joint Commission on Accreditation of Healthcare Organizations),
to obtain accreditation or other approval rating but only to the
extent that the information disclosed is relevant and necessary for
that purpose.
To disclose to a private employer who is considering hiring a
former officer information such as the officer's dates of employment,
salary, job title and description, duty station and character and
nature of separation.
To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission by the President's Reorganization
Plan No. 1 of 1978.
To disclose to Federal and non-Federal agencies information
allowing the consideration and selection of officers for honor awards
made as a result of the individual's work as a commissioned officer,
and to publicize those awards granted. This may include disclosure to
other public and private organizations, including the news media,
which grant or publicize officer awards and honors.
To disclose information to officials of the Selective Service
System to allow crediting of active service performed by an
individual with PHS so that the individual may be properly classified
if draft laws once again become operative.
To disclose administrative and personnel information,
including data elements reflected in the Officer Information Summary,
to authorized officials in Federal agencies and other programs where
commissioned officers are assigned such as the State Department; the
Department of Defense; the Department of Justice, Bureau of Prisons
and the Immigration and Naturalization Service; the Transportation
Department, United States Coast Guard; the Environmental Protection
Agency; the Department of the Interior, the United States Park
Service; and the Commerce Department, National Oceanic and
Atmospheric Administration.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
Automated files are stored on disks, microfiche, electronic
medium and magnetic tapes. Nonautomated (hard-copy) files are kept in
offices, and may be stored in Lektrievers, safes, cabinets, bookcases
or desks.
Retrievability:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
Safeguards:
Authorized Users
Automated Records. Access to and use of automated records is
limited to: (1) Personnel employed in the PSC and the Office of the
Surgeon General (OSG)/OS, (2) personnel employed in DCP, (3)
authorized officials in HHS components and organizations where
commissioned officers are assigned whose official duties require such
access, and (4) authorized officials in other Federal agencies, such
as those in routine use 22 above, where commissioned officers are
assigned whose official duties require such access. Automated data is
provided to Department personnel officials to update information
contained in their personnel records and pay, leave and attendance
systems. The Human Resources Service (HRS) provides computer design,
programming and support to DCP, and has access to the data to the
extent necessary to facilitate the provision of these services to
DCP. However, HRS personnel are not authorized to grant access to or
make disclosures from automated data in this system to anyone or any
organization without the written approval of the Director of DCP or
to an official to whom this authority has been delegated.
Nonautomated records. Access to and use of nonautomated
records is limited to departmental employees whose official duties
require such access or to individuals needing access to the
information for purposes stated under routine uses. These individuals
are permitted access to records only after they have satisfactorily
identified themselves as having an official need to review the
information and have provided satisfactory proof of their identities.
Access is also granted to individuals who have written permission to
review the record when that permission has been obtained from the
individual to whom the record pertains. All individuals from outside
the Department, to whom disclosure is made pursuant to a routine use,
must complete Privacy Act nondisclosure oaths and must submit written
requests for access to these records showing the name and employing
office of the requester, the date on which the record is requested
and the purpose for reviewing the information in the records. This
written request is then placed into the record.
Physical safeguards
Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
locks. During nonwork hours, all cabinets, storage facilities, rooms
and offices are locked and the premises are patrolled regularly by
building security forces.
Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records
are not in use, they are closed and secured in desk drawers with
locks, filing cabinets with locks, or other security equipment, all
of which are kept inside authorized office space which is locked
whenever it is not in use. Keys to furniture and equipment are kept
only by the individual who is assigned to that furniture or equipment
and by the DCP security officer.
Procedural safeguards
Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel.
Access codes and passwords are changed on a random schedule. In
addition, programming for automated records allows authorized
personnel to access only those records that are essential to their
duties. Remote access to automated data from remote terminals is
restricted to the PSC, OSG and personnel officials where commissioned
officers are employed. No access is permitted to organizations that
do not have automated personnel record-keeping systems that comply
with Privacy Act requirements.
Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of DCP. When records are needed
at a remote location, copies of the records will be provided. When
copying records for authorized purposes, care is taken to ensure that
any imperfect or extra copies are not left in the copier room where
they can be read, but are destroyed or obliterated.
Contractor Guidelines. A contractor who is given records under
routine use 7 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the
records to have access to them, prevent unauthorized persons from
gaining access to the records, and return the records to the System
Manager immediately upon completion of the work specified in the
contract. Contractor compliance is assured though inclusion of
Privacy Act requirements in contract clauses, and through monitoring
by contract and project officers. Contractors who maintain records
are instructed to make no disclosure of the records except as
authorized by the System Manager and as stated in the contract.
Retention and disposal:
These records are maintained for varying periods of time.
Applicant files of individuals selected for appointment as
commissioned officers become a part of the OPF. Applicant files of
individuals not selected for appointment are maintained for one year
after the application process has been completed and are then
destroyed, unless an applicant requests that the file be held open
for an additional year. The OPF is maintained for one year after an
officer is separated from active duty, at which time such officer's
OPF is transferred to a Federal Records Center for permanent storage.
The OPF for inactive reserve officers is maintained at the PHS Health
Data Center. When inactive officers change status, the OPF is
returned to DCP.
The records of a deceased officer are maintained until one year
after an individual's death and are then transferred to a Federal
Record Center for permanent storage, unless a dependent of a deceased
officer continues to receive benefits from PHS based upon the
deceased's PHS service. When a dependent or beneficiary dies or
becomes ineligible for further benefits based on a deceased officer's
service, all records are maintained for one year in the event
information is needed from the records to help settle an estate, and
are then transferred to the Federal Records Center for permanent
storage.
Service Records Cards, which list critical data with regard to
the dates or all officers' appointments, reassignments, separations,
retirements and deaths, are maintained permanently by the System
Manager.
System manager(s) and address:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600
Fishers Lane, Rockville, Maryland 20857-0001.
Notification procedure:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
Record access procedures:
General procedures. An individual (and/or the individual's
legal representative) seeking access to his/her records may contact
the DCP Privacy Act Coordinator for information about obtaining
access to the records. Each individual seeking access will be
required to verify his/her identity to the satisfaction of the DCP
Privacy Act Coordinator. Refusal to provide sufficient proof of
identity will result in denial of the request for access until such
time as proof of identity can be obtained. The System Manager has
authority to release records to authorized officials within DCP, HHS
and other organizations where commissioned officers are assigned.
Requests in person. An individual who is the subject of a
record and who appears in person seeking access shall provide his/her
name and at least one piece of tangible identification (e.g., PHS
Commissioned Corps Identification Card, driver's license or
passport). Identification cards with current photograph are required.
The records will be reviewed in the presence of an appropriate DCP
employee who will answer questions and ensure that the individual
neither removes nor inserts any material into the record without the
knowledge of the DCP employee. If the individual requests a copy of
any records reviewed, the DCP employee will provide them to the
individual. The DCP employee will record the name of the individual
granted access, the date of access, and information about the
verification of identity on a separate log sheet maintained in the
office of the Privacy Act Coordinator, DCP.
Requests by mail. Written requests must be addressed to the
System Manager or the DCP Privacy Act Coordinator at the address
shown as the system location above. All written requests must be
signed by the individual seeking access. A comparison will be made of
that signature and the signature maintained on file prior to release
of the material requested. Copies of the records to which access has
been requested will be mailed to the individual. The original version
of a record will not be released except in very unusual situations
when only the original will satisfy the purpose of the request.
When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary
to assure payment of benefits to which the individual is entitled.
Requests by phone. Because positive identification of the
caller cannot be established with sufficient certainty, telephone
requests for access to records will not be honored.
Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures made outside the Department, if any,
that have been made from that individual's records.
Contesting record procedures:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the
record is inaccurate, incomplete, untimely or irrelevant.
Record source categories:
From individual officers, applicants, persons providing
references, dependents, former spouses of officers, governmental and
private training facilities, health professional licensing and
credentialing organizations, government officials and employees and
from the records contained in the following systems: 09-40-0002,
Public Health Service (PHS) Commissioned Corps Medical Records, HHS/
PSC/HRS; 09-40-0003, Public Health Service (PHS) Commissioned Corps
Board Proceedings, HHS/PSC/HRS; 09-40-0004, Public Health Service
(PHS) Commissioned Corps Grievance, Investigatory and Disciplinary
Files, HHS/PSC/HRS; 09-40-0005, Public Health Service (PHS)
Commissioned Corps Beneficiary-Contract Medical/Health Care Records,
HHS/PSC/HRS; and 09-40-0006, Public Health Service (PHS) Commissioned
Corps Payroll Records, HHS/PSC/HRS.
System from certain provision of the act:
None.
|