System of Records (SOR)
101VA08 - Professional Standards Board Action and Proficiency Rating Folder (Title 38)-VA
System location:
Active records are maintained at the Department of Veterans
Affairs (VA) Central Office, 810 Vermont Avenue, NW, Washington, DC
20420 and VA field facilities. Inactive records are retired to the
National Personnel Records Center, 111 Winnebago Street, St. Louis,
MO 63118. When VA determines that all or a portion of these records
need to be maintained in a different location, e.g., VA Central
Office, such records are covered by this system.
Categories of individuals covered by the system:
Current and former employees appointed under 38 U.S.C. 7306,
7401(1), 7401(3), and 7405, except students, trainees, medical
support personnel, and those appointed on a fee or without
compensation basis. This includes employees such as physicians,
dentists, podiatrists, optometrists, nurses, nurse anesthetists,
physician assistants, expanded-function dental auxiliaries, certified
respiratory therapy technicians, registered respiratory therapists,
licensed physical therapists, licensed practical or vocational
nurses, occupational therapists, and pharmacists. This system of
records does not cover applicants for positions covered by this
system of records. Such individuals are covered by the system of
records entitled Applicants for Employment Under Title 38, USC-VA
(02VA135). It also does not cover the performance appraisals of Title
38 employees appointed under 38 U.S.C. 7306, facility Directors
appointed under 38 U.S.C. 7401(1), or ``hybrid'' title 38 employees
appointed under 38 U.S.C. 7401(3) or 7405(a)(1)(B). The performance
appraisals of these employees are covered under the Employee
Performance File System of Records (OPM/GOVT-2).
Categories of records in the system:
All categories of records may include identifying information,
such as name, date of birth, Social Security number, service
computation date, facility number, current position title, and the
employee's current grade, level, and step rate. Records in this
system include:
- Copies of the employee's employment application, curriculum
vitae, and transcripts of higher education. The original documents
are maintained in the General Personnel Records (Title 38)--VA
(76VA05).
- Board Actions (VA Form 2543) and recommendations/documentation
associated with those actions. The Title 38 personnel system utilizes
a peer review process for making recommendations concerning
appointments, advancements, awards, promotion reconsideration,
conversions from one type of Title 38 appointment to another, and
other personnel actions. After receiving input from an employee's
supervisor, the appropriate Professional Standards Board (the
employee's peers) makes recommendations for consideration by
appropriate management officials. The recommendations and management
action taken are recorded on the VA Form 2543. The VA Form 2543
documenting recommendations and management actions taken because of a
probationary review, separation based on pre-employment suitability,
or separation based on failure to meet required physical standards
are also included in this system of records. However, all supporting
documents associated with the actions in the preceding sentence are
to be included in the records system 102VA05. This includes notices
of proposed action, materials relied on by VA to support the
reason(s) for the action, replies by employees, statements of
witnesses, hearing notices, and other reports related to these
actions.
- Proficiency reports documenting the proficiency ratings of
employees and any comments associated with those proficiency reports.
- On-going, periodic assessments of an employee's education,
experience, and training to ensure they can effectively meet the
requirements of their position (i.e., competency assessments and
associated documents).
Authority for maintenance of the system:
38 U.S.C. 501(a), 7304 and 7406(c)(1).
Purpose(s):
This system is a repository for Professional Standards Board
recommendations and the information needed to make those
recommendations (e.g., employment applications, transcripts of higher
education, and proficiency reports). It also contains a record of
management actions taken with respect to Professional Standards Board
recommendations. The actions taken give legal force and effect to
personnel transactions and establish employee rights and benefits
under pertinent laws and regulations governing Federal employment.
They also provide a basic source of factual data about a person's VA
employment. Records in this system assist Professional Standards
Boards and others to determine whether a variety of personnel actions
are appropriate. They are also used to obtain information needed to
provide other personnel services.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
- To disclose information to government training facilities
(Federal, State and local) and to non-government training facilities
(private vendors of training course or programs, private schools,
etc.) for training purposes.
- To disclose relevant information to third parties considering
VA employees for awards or recognition and to publicize information
about such awards or recognition. This may include disclosures to
public and private organizations, including news media, which grant
or publicize employee awards or honors.
- To disclose information about incentive awards and other
awards or honors granted by VA. This may include disclosure to public
and private organizations, including news media, which publicize such
recognition.
- To disclose the information listed in 5 U.S.C. 7114(b)(4) to
officials of labor organizations recognized under 5 U.S.C. Chapter 71
when relevant and necessary to their duties of exclusive
representation concerning personnel policies, practices, and matters
affecting working conditions.
- VA may, on its own initiative, disclose relevant information
to a Federal agency (including Offices of the Inspector General),
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, or regulation if there is
reason to believe that a violation may have occurred. This routine
use does not authorize disclosures in response to requests for
information for civil or criminal law enforcement activity purposes,
nor does it authorize disclosure of information in response to court
orders. Such requests must meet the requirements of 5 U.S.C.
552a(b)(7) or (b)(11), as applicable.
- To disclose pertinent information to any source when necessary
to obtain information relevant to a conflict-of-interest
investigation or determination.
- To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purposes(s) of the request, and
to identify the type of information requested), when necessary to
obtain information relevant to an agency decision concerning the
hiring or retention of an employee, the issuance of a security
clearance, the conducting of a security or suitability investigation
of an individual, the letting of a contract, or the issuance of a
license, grant, or other benefit.
- To disclose to an agency in the executive, legislative, or
judicial branch, or the District of Columbia's Government in response
to its request, or at the initiation of VA, information in connection
with the hiring of an employee, the issuance of a security clearance,
the conducting of a security or suitability investigation of an
individual, the letting of a contract, the issuance of a license,
grant or other benefit by the requesting agency, or the lawful
statutory or administrative purpose of the agency to the extent that
the information is relevant and necessary to the requesting agency's
decision.
- To disclose relevant information to non-Federal agencies
(i.e., State or local governments), and private sector organizations,
boards, bureaus, or commissions (e.g., the Joint Commission on
Accreditation of Healthcare Organizations) when such disclosures are
required to obtain accreditation or other approval ratings.
- To disclose information to the Office of Management and
Budget 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.
- To provide information to a congressional office from the
records of an individual in response to an inquiry from the
congressional office made at the request of the individual.
- VA may, on its own initiative, disclose information to
another Federal agency, court, or party in litigation before a court
or other administrative proceeding conducted by a Federal agency, if
VA is a party to the proceeding and VA needs to disclose such
information to protect its interests.
- To disclose information to the National Archives and Records
Administration (NARA) for records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906.
- To disclose to persons engaged in research and survey
projects information necessary to locate individuals for personnel
research or survey response, and to produce summary descriptive
statistics and analytical studies in support of the function for
which the records are collected and maintained, or for related
workforce 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 date individually identifiable by inference.
- To provide an official of another Federal agency information
needed in the performance of official duties related to reconciling
or reconstructing data files in support of the functions for which
the records were collected and maintained.
- When an individual to whom records pertain is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person or entity
responsible for managing the individual finances to the extent
necessary to ensure payment of benefits to which the individual is
entitled.
- To disclose information to officials of the Merit Systems
Protection Board or the Office of the Special Counsel, when requested
in connection with appeals, special studies of the civil service and
other merit systems, review of rules and regulations, investigation
of alleged or possible prohibited personnel practices, and such other
functions, promulgated in 5 U.S.C. 1205 and 1206, or as may be
authorized by law.
- To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations of
alleged or possible discriminatory practices, examination of Federal
affirmative employment programs, or for other functions of the
Commission as authorized by law.
- To disclose to the Federal Labor Relations Authority
(including its General Counsel) information related to the
establishment of jurisdiction, the investigation and resolution of
allegations of unfair labor practices, or information in connection
with the resolution of exceptions to arbitration awards when a
question of material fact is raised; to disclose information in
matters properly before the Federal Services Impasses Panel.
- Records from this system of records may be disclosed to a
Federal, State, or local government agency or licensing board and/or
to the Federation of State Medical Boards or a similar non-government
entity. These entities maintain records concerning individuals'
employment or practice histories or concerning the issuance,
retention, or revocation of licenses or registration necessary to
practice an occupation, profession, or specialty. Disclosures would
be made for the Agency to obtain information determined relevant to
an Agency decision concerning the hiring, retention, or termination
of an employee. Disclosures may also be made to inform licensing
boards or the appropriate non-governmental entities about the health
care practices of a terminated, resigned or retired health care
employee whose professional health care activity so significantly
failed to conform to generally accepted standards of professional
practice as to raise reasonable concern for the health and safety of
patients.
- To disclose relevant information to the Department of Justice
and United States Attorneys in defense or prosecution of litigation
involving the United States and to Federal agencies upon their
request in connection with review of administrative tort claims filed
under the Federal Tort Claims Act, 28 U.S.C. 2672.
- To disclose relevant and necessary hiring, performance, or
other personnel-related information to any facility with which there
is, or there is proposed to be, an affiliation, sharing agreement,
contract, or similar arrangement, for purposes of establishing,
maintaining, or expanding any such relationship.
- Identifying information in this system, including name,
Social Security number, and other information as is reasonably
necessary to identify such an individual, may be disclosed to the
National Practitioner Data Bank (NPDB) at the time of hiring and/or
clinical privileging/reprivileging of health care practitioners, and
other times as deemed necessary by VA, in order for VA to obtain
information relevant to a Department decision concerning the hiring,
privileging/reprivileging, retention, or termination of the applicant
or employee.
- Relevant information from this system of records may be
disclosed to the NPDB or to a State or local government licensing
board which maintains records concerning the issuance, retention, or
revocation of licenses, certifications, or registrations necessary to
practice an occupation, profession, or specialty when under the
following circumstances, through peer review process that is
undertaken pursuant to VA policy, negligence, professional
incompetence, responsibility for improper care, and/or professional
misconduct has been assigned to a physician or licensed or certified
health care practitioner: (1) On any payment in settlement of (or
partial settlement of, or in satisfaction of) a judgement in a
medical malpractice action or claim; or, (2) on any final decision
that adversely affects the clinical privileges of a physician or
practitioner for a period of more than 30 days.
- To disclose information to contractors, subcontractors,
grantees, or others performing or working on a contract, grant, or
cooperative agreement for the Federal government, provided disclosure
is in the interest of the Government and the information to be
disclosed is relevant and necessary for accomplishing the intended
uses of the information and necessary to perform services under the
contract, grant, or cooperative agreement.
- Information from this system of records will be disclosed to
the Healthcare Integrity and Protection Data Base as required by
section 1122E of the Social Security Act (as added by Sec. 221(a) of
Pub. L. 104-191) and the associated implementing regulations issued
by the Department of Health and Human Services, 45 CFR Part 61. For
example, VA is required to report adjudicated adverse personnel
actions based on acts or omissions that either affected or could have
affected the delivery of health care services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records may be maintained in file folders, on lists and
forms, on microfilm or microfiche, and in computer processable
storage media.
Retrievability:
These records may be retrieved using various combinations of
name, birth date, Social Security number, or identification number of
the individual on whom they are maintained.
Safeguards:
Access to areas where these records are maintained is restricted
to VA employees, contractors, or subcontractors on a ``need to know''
basis; strict control measures are enforced to ensure that disclosure
to these individuals is also based on this same principle. File areas
are locked after normal duty hours and are protected from outside
access by VA police officers or other types of alarm systems.
Retention and disposal:
The Professional Standards Board Action and Proficiency Rating
Folder is maintained for the period of the employee's service in VA
and is then transferred with the Merged Records Personnel Folder to
the National Personnel Records Center (NPRC) for storage, or, as
appropriate, to the next employing Federal agency.
- VA maintains the Professional Standards Board Action and
Proficiency Rating Folder as long as VA employs the individual.
Within 90 days after the individual separates from Federal
employment, the record is sent with the Merged Records Personnel
Folder to the NPRC for long-term storage. The records of retired
employees or employees who die in service are sent to the Records
Center within 120 days of the retirement or death.
- Records in this system must be maintained and disposed of in
accordance with General Records Schedule 1, VA Records Control
Schedule 10-1, the Office of Personnel Management Guide to Federal
Recordkeeping, and the Memorandum of Understanding concerning this
subject between VA, the Office of Personnel Management, and National
Archives and Records Administration.
System manager(s) and address:
Deputy Assistant Secretary for Human Resources Management (05),
Department of Veterans Affairs, 810 Vermont Avenue, NW, Washington,
DC 20420.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate office
as follows:
- Non-VA Federal employees should contact the responsible office
(as designated by their agency) regarding records in this system. VA
employees should contact the office responsible for human resources
management at their installation.
- Former Federal employees should contact the National Personnel
Records Center (Civilian), 111 Winnebago Street, St. Louis, Missouri
63118, regarding the records in this system. Individuals must furnish
the following information so their records may be located and
identified: full name(s), date of birth, Social Security number, last
employing agency (including duty station), approximate dates of
employment, and signature.
Record access procedures:
(See Notification Procedure).
Contesting record procedures:
Current employees wishing to request amendment of their records
should contact the office responsible for human resources management
at their current installation. Former employees should contact the
Deputy Assistant Secretary for Human Resources Management. (See
System Manager and Address.) Individuals must furnish the following
information for their records to be located and identified: Full
name(s); date of birth; Social Security number; and signature. To
facilitate identification of records, former employees must also
provide the name of their last Department of Veterans Affairs
facility and approximate dates of employment.
Record source categories:
Employees, supervisors, managers, members of Professional
Standards Boards, and other VA officials provide the information in
this system of records. Individuals or other entities outside of VA
may also provide relevant and necessary information. For example,
organizations where the subject previously worked may provide
information.
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