102VA05
Agency-Initiated Personnel Actions (Title 38)-VA
System location:
All records related to Disciplinary Appeals Boards are maintained
at VA Central Office, 810 Vermont Avenue, NW, Washington, DC 20420.
All other records in this system are maintained at the Department of
Veterans Affairs (VA) Central Office, 810 Vermont Avenue, NW,
Washington, DC 20420 and/or VA field facilities.
Categories of individuals covered by the system:
Current and former employees appointed under 38 U.S.C. 7306,
7401(1), or 7405(a)(1)(A), except those appointed on a without
compensation basis. This includes employees such as physicians,
dentists, podiatrists, optometrists, nurses, nurse anesthetists,
physician assistants and expanded-function dental auxiliaries.
Categories of records in the system:
All categories of records may include identifying information,
such as name, address, Social Security number, current position
title, employing facility, and the employee's current grade, level,
or step rate. This system contains supporting documentation related
to processing actions covered by this system of records. This
includes, as appropriate, designations of board members and employee
representative, copies of the notice of proposed action, materials
relied on by the Agency to support the reasons in the notice, replies
by the employee, statements of witnesses, hearing notices, reports,
related correspondence, and Agency decisions.
Authority for maintenance of the system:
37 U.S.C. 501(a), 7304, and 7406(c)(1).
Purpose(s):
These records document the processing of disciplinary and adverse
actions, disqualification during probation, physical
disqualification, agency-initiated disability retirements, and
proposed separations based on pre-employment suitability.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
- 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, 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 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 any agency decision concerning the
hiring or retention of an employee, the issuance of 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 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 Federal and 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 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 produces summary descriptive
statistics and analytical studies in support to 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 of entity
responsible for managing the individual finances to the extent
necessary to ensure payment of benefits to which the individual is
entitled.
- To disclose to the VA-appointed representative of an employee
all notices, determination, decisions, or other written
communications issues to the employee in connection with an
examination ordered by the VA under fitness-for-duty examination
procedures or Agency-filed disability retirement procedures.
- 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 information to the Federal Labor Relations
Authority (including its General Counsel) when appropriate
jurisdiction has been established and the information has been
requested in connection with the investigation and resolution of
allegations of unfair labor practices, 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 Service Impasses Panel.
- Records from this system or 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 which maintains records concerning individuals' employment or
practice histories or concerning the issuance, retention, or
revocation of licenses or registration necessary to practice and
occupation, profession or specialty, in order for the Agency to
obtain information determined relevant to an Agency decision
concerning the hiring, retention or termination of an employee or 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 private section 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 hiring, performance, or other personnel-related
information to any facility with which there is, or there is proposed
to be, and affiliation, sharing agreement, contract, or similar
arrangement, for purposes of establishing maintaining, or expanding
any such relationship.
- Identifying information in this system, including name,
address, Social Security number, and other information as is
reasonably necessary to identify such individual, may be disclosed to
the Department of Health and Human Services or the National
Practitioner Data Bank at the time of hiring and/or clinical
privileging/reprivileging of health care practitioners, and other
times as deemed necessary by VA, in order the 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 National Practitioner Data Bank 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 licenses
or certified health care practitioner: (1) On any payment in
settlement (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 or 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 addeded 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 actiosn based on acts or omissions that either affected or
could have affected the delivery of healthcare 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 and computer
processable storage media. The records may also be maintained on
lists, forms, microfilm, microfiche, or audio-tape.
Retrievability:
These records may be retrieved using various combinations of
name, birth date, 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 the 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:
Records in this system are disposed of no sooner than 6 years
after the closing of the case. Disposal is by shredding and erasure
of tapes or disks.
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:
Except as indicated below (see Record Access Procedures),
individuals receiving notice of a proposed action must be provided
access to all documents supporting the notice. At any time
thereafter, individuals subject to the action will be provided access
to the record (see Record Access Procedures). Individuals should
contact the human resources manager for the location where the action
was processed regarding the existence of such records on them.
However, all inquiries related to Disciplinary Appeals Boards should
be directed to the Deputy Assistant Secretary for Human Resources
Management (see System Manager). Individuals must furnish the
following information for their records to be located and identified:
- Name.
- Date of birth.
- Approximate date of closing of the case and kind of action
taken.
- If not the employee's current organization, the organizational
component involved.
Requests for access must be consistent with the Privacy act and
VA regulations concerning the release of information from Department
of Veterans Affairs records other than claimant records. See 38 CFR
1.550, et seq.
Record access procedures:
Individuals against whom such actions are taken must be provided
access to the record. However, after the action has been closed,
individuals may request access to the official file by contacting the
human resources manager for the location where the action was
processed. If the action relates to a Disciplinary Appeals Board, the
individual must request access from the Deputy Assistant Secretary
for Human Resources Management (see System Manager). Individuals must
furnish the following information for their records to be located and
identified:
- Name.
- Date of birth.
- Approximate date of closing of the case and kind of action
taken.
- If not the employee's current organization, the organizational
component involved.
Requests for access must be consistent with the Privacy Act and
VA regulations concerning the release of information from Department
of Veterans Affairs records other than claimant records. See 38 CFR
1.550, et seq. Note 1: When a request for access involves medical or
psychological records that the responsible individual believes
require special handling, the requester should be advised that the
material will be provided only to a physician designated by the data
subject. Upon receipt of the designation and upon verification of the
physician's identity, the records will be made available to the
physician, who will have full authority to disclose those records to
the data subject when appropriate.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records that have or could have been the subject of a judicial,
quasi-judicial, or administrative action will be limited in scope.
Review of amendment request of these records will be restricted to
determining if the records accurately document the action on the case
and will not include a review of the merits of the action,
determination, or finding. Individuals wishing to request amendment
of their records to correct factual errors should contact the human
resources manager for the VA office where the action was processed.
In cases concerning Disciplinary Appeals Boards, individuals should
contact the Deputy Assistant Secretary for Human Resources Management
(see System Manager) to request the amendment.
Individuals must
furnish the following information for their records to be located and
identified:
- Name.
- Date of birth.
- Approximate date of closing of the case and kind of action
taken.
- If not the employee's current organization, the organizational
component involved.
Record source categories:
Information in this system of records is provided:
- By supervisors and managers.
- By individual on whom the record is maintained.
- By Professional Standards Boards and Disciplinary Appeals Boards.
- By testimony of witnesses.
- By other agency officials.
- By other agency records.
- From related correspondence or persons.
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