76VA05
General Personnel Records (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; VA field facilities; VA Austin Automation Center, 1615 East
Woodward Street, Austin, Texas 78772; VA Shared Service Center, 3401
SW 21st Street, Topeka, Kansas 66604; and offices of contractors or
subcontractors who may maintain these records. When VA determines
that portions of these records need to be maintained at different
locations or that copies of these records need to be maintained at
more than one location, e.g., at the Shared Service Center and
administrative offices closer to where employees actually work, such
records are covered by this system. Inactive records are retired to
the National Personnel Records Center, 111 Winnebago Street, St.
Louis, Missouri 63118. Records not considered long-term records, but
which may be retained in this system or elsewhere during employment,
and which are also included in this system, may be retained for a
period of time after the employee leaves service. However, such
records will be disposed of in accordance with the procedures for
retention and disposal outlined below. The phrase ``long-term''
record describes records that are filed on the right side of the
Merged Records Personnel Folder (MRPF) (Standard Form 66-C).
Note 1: It is not VA's intent to limit this system of records to
those records physically within the MRPF. Records may be filed in
other folders located in offices other than where the MRPF is
located, e.g., working files that supervisors or other agency
officials use that are derived from 76VA05 may be kept in a more
convenient location.
Categories of individuals covered by the system:
Current and former employees appointed under 38 U.S.C. 7306,
7401(1), 7401(3), and 38 U.S.C. 7405 except those appointed on a fee
or without compensation basis, and residents appointed under 38
U.S.C. 7406 whose stipends and fringe benefits are not centrally
administered under the provisions of 38 U.S.C. 7406(c). 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. Current and former employees appointed under 38 U.S.C.
Chapter 78 to positions in the Veterans Canteen Service are covered
by this system.
Categories of records in the system:
All categories of records may include identifying information,
such as names(s), date of birth, home address, mailing address,
Social Security number, and telephone number(s). Records in this
system are:
- Records reflecting work experience, licensure, credentials,
educational level achieved, and specialized education or training
occurring outside of Federal service.
- Records reflecting Federal service and documenting work
experience, education, training, and/or awards received while
employed. Such records contain information about past and present
positions held; grades; salaries; duty station locations; and notices
of all personnel actions, such as appointments, transfers,
reassignments, details, promotions, demotions, staffing adjustments
or reductions-in-force, resignations, separations, suspensions,
removals, retirements, and approval of disability retirement
applications.
- Records relating to an Intergovernmental Personnel Act
assignment or Federal-private sector exchange program.
- Records regarding Government-sponsored training or
participation in employee development programs designed to broaden an
employee's work experiences or for the purposes of advancement.
- Printouts of information from automated personnel systems,
e.g., information from the Personnel and Accounting Pay System-VA
(27VA047).
- Records reflecting enrollment or declination of enrollment in
the Federal Employees' Group Life Insurance Program and Federal
Employees' Health Benefits Program as well as forms showing
designations of beneficiary.
- Elections to participate in the Thrift Savings Plan, Notices
that Thrift Savings Plan Contributions cannot be made because a
financial hardship withdrawal has been issued and transcripts of
Thrift Savings Plan changes approved for use by the Federal
Retirement Thrift Investment Board.
- Records relating to designations for lump-sum leave benefits.
- Records relating to access to classified information and other
nondisclosure agreements.
- Records related to certification of outside professional
activities prior to enactment of the Veterans Health Care Eligibility
Reform Act of 1996, Pub. L. 104-262, dated October 9, 1996.
Authority for maintenance of the system:
38 U.S.C. 501(a), 7304, 7406(c)(1), and 7802.
Purposes(s):
The personnel records in these files are the official repository
of the records, reports of personnel actions and the documents and
papers associated with these actions. The personnel action reports
and other documents give legal force and effect to personnel
transactions and establish employee rights and benefits under
pertinent laws and regulations governing Federal employment. They
provide the basic source of factual data about a person's Federal
employment while in the service and after his or her separation.
Records in this system have various uses, including screening
qualifications of employees; determining status, eligibility, and
rights and benefits under pertinent laws and regulations governing
Federal employment; computing length of service; and other
information needed to provide 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 courses or programs, private schools,
etc.) for training purposes.
- To disclose information to educational institutions about the
appointment of their recent graduates to VA positions. These
disclosures are made to enhance recruiting relationships between VA
and these institutions.
- To provide college and university officials with information
about students who are working at VA to receive academic credit for
the experience.
- To disclose to the following agencies information needed to
adjudicate retirement, insurance or health benefits claims:
Department of Labor, Social Security Administration, Department of
Defense, Federal agencies having special civilian employee retirement
programs, and state, county, municipal, or other publicly recognized
charitable or income security administration agencies (e.g., State
unemployment compensation agencies), when necessary to adjudicate a
claim under the retirement, insurance or health benefits programs of
the Office of Personnel Management or an agency cited above.
Information may also be disclosed to agencies to conduct an
analytical study or audit of benefits being paid under such programs.
- To disclose to the Office of Federal Employees' Group Life
Insurance information necessary to verify election, declination, or
waiver of regular and/or optional life insurance coverage or
eligibility for payment of a claim for life insurance.
- To disclose to health insurance carriers contracting with the
Office of Personnel Management to provide a health benefits plan
under the Federal Health Benefits Program, information necessary to
identify enrollment in a plan, to verify eligibility for payment of a
claim for health benefits, or to carry out the coordination or audit
of benefits provisions of such contracts.
- To disclose information to a Federal, State, or local agency
for determination of an individual's entitlement to benefits in
connection with Federal Housing Administration programs.
- 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, 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 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 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 data 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 to the Department of Defense specific civil
service employment information required under law on individuals
identified as members of the Ready Reserve, to ensure continuous
mobilization readiness of Ready Reserve units and members, and to
identify characteristics of civil service retirees for national
mobilization purposes.
- To disclose information to officials of the Department of
Defense, National Oceanic and Atmospheric Administration, U.S. Public
Health Service, and the U.S. Coast Guard needed to effect any
adjustments in retired or retainer pay required by the dual
compensation provisions of 5 U.S.C. 5532.
- 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 or regulation.
- 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, and to
investigate representation petitions and conduct or supervise
representation elections.
- To disclose to prospective non-Federal employers, the
following information about a specifically identified current or
former employee: Tenure of employment; civil service status; length
of service in VA and the Government; and when separated, the date and
nature of action as shown on the Notification of Personnel Action-
Standard Form 50 (or authorized exception).
- 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 an individual's
employment or practice histories or concerning the issuance,
retention or revocation of licenses or registration necessary to
practice an occupation, profession or specialty. Disclosures may be
made for the Agency to obtain information determined relevant to an
Agency's 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 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,
address, Social Security number, and other information as is
reasonably necessary to identify such individual, may be disclosed to
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 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 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 licensed
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 of more than 30 days.
- Relevant information from this system of records concerning
the departure of a former VA employee, who is subject to garnishment
pursuant to a legal process as defined in 5 U.S.C. 5520a, as well as
the name and address of the designated agent for the new employing
agency or the name and address of any new private employer, may be
disclosed to the garnishing party (garnisher). Information from this
system of records may be disclosed in response to legal processes,
including interrogatories, served on the agency in connection with
garnishment proceedings against current or former VA employees under
5 U.S.C. 5520a.
- 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.
- To disclose to a spouse or dependent child (or court-
appointed guardian thereof) of a VA employee enrolled in the Federal
Employees Health Benefits Program, upon request, whether the employee
has changed from a self-and-family to a self-only health benefits
enrollment.
- To disclose to the Federal Retirement Thrift Investment Board
information concerning an employee's election to participate in the
Thrift Savings Plan, the employee's ineligibility to make
contributions to the Thrift Savings Plan because a financial hardship
in-service withdrawal has been issued, or information from a
transcript of thrift savings plan changes that has been approved by
the Federal Retirement Thrift Investment Board.
- 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.
- VA may disclose information from this system of records to a
court, administrative entity, or custodial parent of a child in order
to provide documentation of payroll deductions for child healthcare
insurance carriers in order to enroll employees and their children in
healthcare insurance plans in accordance with Public Law 106-394.
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 the Federal Protective Service or other types of alarm
systems.
Access to the VA Austin Automation Center and VA Shared Service
Center are restricted to authorized VA employees and authorized
representatives of vendors. Access to computer rooms within these
facilities is further restricted to especially authorized VA
personnel and vendor personnel.
Access to computerized records is limited through the use of
access codes and entry logs. Additional protection is provided by
electronic locking devices, alarm systems, and guard services.
Electronic data is made available to VA field facilities via VA's
Intranet. Strict control measures are enforced to ensure that
disclosure is limited to the individual on whom the record is being
maintained or on a ``need to know'' basis. Security devices (e.g.
passwords, firewalls) are used to control access by VA users to
Internet services, and to shield VA networks and systems from outside
the firewall.
Retention and disposal:
The Merged Personnel Records Folder (MPRF) is maintained for the
period of the employee's service in VA and is then transferred to the
National Personnel Records Center (NPRC) for storage, or, as
appropriate, to the next employing Federal agency. Other records are
either retained at VA for various lengths of time in accordance with
the National Archives and Records Administration records schedules or
destroyed when they have served their purpose or the employee leaves
VA.
- VA maintains the MPRF as long as VA employs the individual.
Within 90 days after the individual separates from VA's employment,
the MPRF is sent to the NPRC for long-term storage. The MPRF of a
retired employee or an employee who dies in service is 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, and 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 the
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:
- Federal employees should contact the responsible official (as
designated by their agency) regarding records in this system.
- 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 can be located and
identified: full name(s), date of birth, Social Security number, last
employing agency (including duty station, when applicable), and
approximate dates of employment. All requests must be signed.
Record access procedures:
(See Notification Procedure.)
Contesting record procedures:
Current and former VA employees wishing to request amendment of
their records should contact the Director, Department of Veterans
Affairs Shared Service Center (00), 3401 SW 21st Street, Topeka,
Kansas 66604. 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:
Information in this system of records is provided by the
individual employee, examining physicians, educational institutions,
VA officials, and other individuals or entities; e.g., job references
and supporting statements; testimony of witnesses; and correspondence
from organizations or persons, e.g., licensing boards.
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