[Federal Register Volume 61, Number 21 (Wednesday, January 31, 1996)]
[Notices]
[Pages 3525-3529]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1812]
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DEPARTMENT OF VETERANS AFFAIRS
Privacy Act of 1974; Amendments to a System of Records
AGENCY: Department of Veterans Affairs (VA).
ACTION: Notice of amendments to system of records.
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SUMMARY: The Department of Veterans Affairs is amending a system of
records entitled, ``VA Supervised Fiduciary and Beneficiary Records--VA
37VA27'' which was completely revised in 47 FR 29132 dated July 6,
1982. The system of records has been altered to update U.S. Code
citations, add an additional category of individuals to be covered by
the system and five new categories of records; identify two existing
paper file groups within the system that may contain record
information, and name an automated record system that takes the place
of the ADIS (Automated Diary and Index System). Two new routine uses
are being added and two existing routine uses are being deleted.
DATES AND ADDRESSES: Interested persons are invited to submit written
comments, suggestions or objections regarding the proposed system of
records to the Director, Office of Regulations management (02D),
Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC
20420. All relevant material received before march 1, 1996, will be
considered. All written comments received will be available for public
inspection in the Office of Regulations Management, Room 1176, 801 I
Street, NW., Washington, DC 20001, from 8 a.m. to 4:30 p.m., Monday
through Friday (except Federal holidays).
If no public comment is received during the 30-day review period
allowed for public comment, or unless otherwise published in the
Federal Register by VA, the routine use statements included herein are
effective March 1, 1996, and all other provisions included herein are
effective March 1, 1996.
FOR FURTHER INFORMATION CONTACT:
Robert Bishop, Program Analyst, Outreach and Customer Services Staff
(274), Veterans Benefits Administration, 810 Vermont, NW., Washington,
DC 20420, telephone (202) 273-6740.
SUPPLEMENTARY INFORMATION: The name of the system is to be changed from
``VA Supervised Fiduciary and Beneficiary Records--VA'' (37VA27) to
``VA Supervised Fiduciary/Beneficiary and General Investigative
Records--VA'' (37VA27). The title change more accurately reflects the
type of records maintained in this system.
The new category of individuals will include veterans or other
beneficiaries for whom investigations of other than fiduciary program
matters are conducted. These investigations are called nonfiduciary
program (nonprogram) field examinations or investigations. The change
to this system will also incorporate additions to the types of records
maintained: (1) Copies of nonfiduciary program investigative reports,
(2) photographs of people (incompetent beneficiaries and other persons
who are the subject of a VA investigation), places, and things, (3)
finger print records, (4) incompetent beneficiary record information in
the Fiduciary Beneficiary System (FBS), and (5) Social Security
Administration (SSA) information and records pertaining to incompetent
beneficiaries who are also in receipt of VA benefits.
Identifying nonfiduciary program investigative reports within the
system of records will allow VA to file copies of records of completed
nonfiduciary program investigations by a name or some other identifier.
These investigations may be conducted for the purpose of developing
evidence to enable a VA organizational element to make administrative
decisions on benefits eligibility and other issues. Nonprogram field
examinations or investigations are also used to develop evidence for
further investigation of potential criminal issues. Currently there is
no authority to file and maintain copies of nonfiduciary program
investigative reports by name or other identifier. Original reports are
sent to the VA element that requested the investigation where
disclosures of information are covered under other system of records
routine uses. VA field station personnel may place copies of these
reports in chronological order in files called veterans files and
correspondence files making it difficult to retrieve a report in medium
to large stations where the number of nonfiduciary program
investigations tends to be large. Follow-up requests for information
about the reports often are made by name or numerical identifier and do
not contain the approximate dates of either the report or the request
for the investigation.
Adding to the category of records photographs of people
(incompetent
[[Page 3526]]
beneficiaries and other persons who are the subject of a VA
investigation), places, and things provides a more accurate description
of the type of record material that may be found in a principal
guardianship folder (PGF), veterans file, or a correspondence file. The
accumulation and retention of this type of material will assist VA
field examiners in making positive identification of certain
incompetent beneficiaries (to include missing persons) and other
persons under investigation, provide graphic evidence in support of
narrative reports, and verification of claimed purchases by
fiduciaries. Acquisition and retention of this type of material will
lessen the potential for fraud and reduce the number of manhours needed
to accomplish the more complex investigations. Finger print records are
sometimes acquired during missing veteran and other types of
investigations where a positive identification of a person is required
in order to settle a question on benefits eligibility.
The principal guardianship folder (PGF) is the primary repository
for information within this records system. Two other files called
veterans files and correspondence files are used to hold copies of
fiduciary program and nonfiduciary program reports as well as
attachments, exhibits, and other material such as copies of the records
cited above. Documents placed in these two files are kept on a
temporary basis for control and follow-up purposes since the original
reports and other documents are returned to the requesting element.
The Fiduciary-Beneficiary System (FBS) is an automated master
record, diary and management information system that was developed to
replace the Automated Diary and Index System (ADIS). The system
provides current, readily available beneficiary/fiduciary information
and management support to all 58 regional offices for work controls,
statistical work counts and evaluation purposes. The system includes an
enhanced diary program to provide improved, more efficient service to
incompetent beneficiaries.
Many VA beneficiaries who are incompetent or under a legal
disability receive benefits from Social Security Administration (SSA)
concurrently with VA benefits. By agreement with SSA, VA will become
the lead agency for supervision of cases of incompetent beneficiaries
of common interest. Therefore, a sharing of information such as
accountings and payment/payee status will take place. The information
provided by Social Security Administration may be retained in the VA
system of records in its various formats and disclosed according to VA
record system routine uses.
Routine uses have been amended to accommodate disclosures to third
parties who might have information on an issue under VA investigation
or information about an incompetent beneficiary or other person under
investigation. Also included in the amended routine uses will be
disclosures to the Social Security Administration regarding
incompetency cases of common interest.
VA received two adverse decisions, Doe versus DiGenova, 779 F.2d 74
(D.C. Cir. 1985) and DOE versus Stephens, 851 F. 2d 1457 (D.C. Cir.
1988), involving disclosure of veteran records subject to 38 U.S.C.
5701, and 5 U.S.C. 552a, the Privacy Act of 1974. As a result of these
decisions and their potential impact on VA operations, including those
of the District Counsel, VA sought guidance from the Office of Legal
Counsel in the Department of Justice (DOJ). VA has modified its
practice in disclosing Privacy Act records in response to a request
from a law enforcement entity conducting an investigation, and has, in
most instances, stopped disclosing Privacy Act records pursuant to the
receipt of a subpoena for records. Therefore, the routine use providing
for disclosure of information in response to subpoenas is being
deleted.
Dated: January 17, 1996.
Jesse Brown,
Secretary of Veterans Affairs.
37VA27
System name:
VA Supervised Fiduciary/Beneficiary and General Investigative
Records--VA37VA27.
System location:
Records are maintained at VA regional offices, VA medical and
regional office centers, VA regional office and insurance centers, and
at the Austin Data Processing Center. These records are generally
maintained by the regional office activity having jurisdiction over the
geographical area in which the VA beneficiary resides. Addresses of VA
field stations and the Data Processing Center are listed in VA Appendix
1.
Categories of individuals covered by the system:
The following categories of individuals are covered by this system:
(1) A VA beneficiary (i.e., a veteran or a non-veteran adult who
receives VA monetary benefits, lacks the mental capacity to manage his
or her own financial affairs regarding disbursement of funds without
limitation, and is either rated incompetent by VA or adjudged to be
under legal disability by a court of competent jurisdiction; or a child
who has not reached majority under State law and receives VA monetary
benefits); (2) a VA supervised fiduciary (i.e., a VA Federal fiduciary
to include legal custodians, spouse payees, superintendents of Indian
reservations and custodians-in-fact appointed by VA to serve as payee
of VA monetary benefits for an incompetent VA beneficiary; or a person
or legal entity appointed by a State or foreign court to supervise the
person and/or estate of a VA beneficiary adjudged to be under a legal
disability. The statutory title of a court-appointed fiduciary may vary
from State to State); (3) a chief officer of a hospital treatment,
domiciliary, institutional or nursing home care facility wherein a
veteran, rated incompetent by VA, is receiving care and who has
contracted to use the veteran's VA funds in a specific manner; (4) a
SDP (supervised direct payment) beneficiary (i.e, an incompetent adult
who receives VA monetary benefits, or other individual for whom an
investigation of other than a fiduciary or guardianship matter is
conducted for the purpose of developing evidence to enable a VA
organizational element to make administrative decisions on benefits
eligibility and other issues; or, to develop evidence for further
investigations of potential criminal issues.
Categories of records in the system:
The records in the Principal Guardianship Folder (PGF) are the
primary records in this system. SSA derived records, as needed, are
also contained in this system. These records as well as secondary files
called veterans files and correspondence files may contain the
following types of information: (1) Field examination reports (i.e., VA
Form 27-4716a or 27-3190, Field Examination Request and Report, which
contains a VA beneficiary's name, address, social security number, VA
file number, an assessment of the VA beneficiary's ability to handle VA
and non-BA funds, description of family relationships, economic and
social adjustment data, information regarding activities, and name,
address, and assessment of the performance of a VA-supervised
fiduciary); (2) correspondence from and to a VA beneficiary, a VA-
supervised fiduciary, and other interested third parties; (3) medical
records (i.e., medical and social work service reports
[[Page 3527]]
generated in VA, State, local, and private medical treatment facilities
and private physicians' offices indicating the medical history of the
VA beneficiary including diagnosis, treatment and nature of physical or
mental disability); (4) financial records (e.g., accountings of a
fiduciary's management of a VA beneficiary's income and estate, amount
of monthly benefits received, amounts claimed for commissions by the
VA-supervised fiduciary, certificates of balance on accounts from
financial institutions, and withdrawal agreements between VA, financial
institutions, and VA-supervised fiduciary); (5) court documents (e.g.,
petitions, court orders, letters of fiduciaryship, inventories of
assets, and depositions); (6) contractual agreements to serve as a VA
Federal Fiduciary; (7) photographs of people (incompetent
beneficiaries, fiduciaries, and other persons who are the subject of a
VA investigation), places, and things; (8) fingerprint records; and (9)
Social Security Administration records containing information about the
type and amount of SSA benefits paid to beneficiaries who are eligible
to receive benefits under both VA and SSA eligibility criteria, records
containing information developed by SSA about SSA beneficiaries who are
in need of representative payees, accountings to SSA, and records
containing information about SSA representative payees. Also contained
in this system are copies of nonfiduciary program investigation
records. These records are reports of field examinations or
investigations performed at the request of any organizational element
of VA about any subject under the jurisdiction of VA other than a
fiduciary issue. In addition to copies of the reports, records may
include copies of exhibits or attachments such as photographs of people
places and things; sworn statements; legal documents involving loan
guaranty transactions; bankruptcy; and debts owned to VA; accident
reports; birth, death, and divorce records; certification of search for
vital statistics documents; and beneficiary's financial statements and
tax records; immigration information; and newspaper clippings.
Authority for maintenance of the system:
Title 38, United States Code, Chapter 3, section 501(a), (b); title
38, United States Code, Chapter 55.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. The record of an individual who is covered by this system may be
disclosed to a member of Congress or staff person acting for the member
when the member or staff person requests the record on behalf of and at
the request of that individual.
2. Any information in this system, except for the name and address
of a veteran, which is relevant to a suspected violation or reasonably
imminent violation of law, whether civil, criminal or regulatory in
nature and whether arising by general or program statute or by
regulation, rule or order issued pursuant thereto, may be disclosed to
a Federal, State, local or foreign agency charged with the
responsibility of investigating or prosecuting such violation, or
charged with enforcing or implementing the statute, rule, regulation or
order issued pursuant thereto, at the initiative of VA.
3. The name and address of a veteran, which is relevant to a
suspected violation or reasonably imminent violation of law, whether
civil, criminal or regulatory in nature and whether arising by general
or program statute or by regulation, rule or order issued pursuant
thereto, may be disclosed to a Federal agency charged with the
responsibility of investigating or prosecuting such violation, or
charged with enforcing or implementing the statute, regulation, rule or
order issued pursuant thereto, in response to its official request,
when that information is for law enforcement investigation purposes,
and such request is in writing and otherwise complies with subsection
(b)(7) of the Privacy Act.
4. The name and address of a veteran, which is relevant to a
suspected violation or reasonably imminent violation of law concerning
public health or safety, whether civil, criminal or regulatory in
nature and whether arising by general or program statute or by
regulation, rule or order issued pursuant thereto, may be disclosed to
any foreign, State or local governmental agency or instrumentality
charged under applicable law with the protection of the public health
or safety, if a qualified representative of such organization, agency
or instrumentality has made a written request that such name and
address by provided for a purpose authorized by law, and, if the
information is sought for law enforcement investigation purposes, and
the request otherwise complies with subsection (b)(7) of the Privacy
Act.
5. The name and address of a veteran may be disclosed to any
nonprofit organization if the release is directly connected with the
conduct of programs and the utilization of benefits under title 38
(such disclosures include computerized lists of names and addresses).
6. Any information in this system, including name, address, social
security number, VA file number, medical records, financial records and
field examination reports of a VA beneficiary, and the name, address
and information regarding the activities of a VA-supervised fiduciary
or beneficiary may be disclosed at the request of a VA beneficiary or
fiduciary to a Federal, State, or local agency in order for VA to
obtain information relevant to a VA decision concerning the payment and
usage of funds payable by VA on behalf of a beneficiary, or to enable
VA to assist a beneficiary or VA-supervised fiduciary in obtaining the
maximum amount of benefits for a VA beneficiary from a Federal, State,
or local agency.
7. Any information in this system, including name, address, social
security number, VA file number, medical records, financial records and
field examination reports of a VA beneficiary who is in receipt of VA
and Social Security Administration (SSA) benefits concurrently, and the
name, address and information regarding the activities of a VA-
supervised fiduciary may be disclosed to a representative of the Social
Security Administration to the extent necessary for the operation of a
VA program, or to the extent needed as indicated by such
representative.
8. The name and address of a VA beneficiary, VA rating of
incompetency, and the field examination report may be disclosed to a
Federal agency, upon its official request, in order for that agency to
make decisions on such matters as competency and dependency in
connection with eligibility for that agency's benefits. This
information may also be disclosed to a State or local agency, upon its
official request in order for that agency to make decisions on such
matters as competency and dependency in connection with eligibility for
that agency's benefits, if the information pertains to a VA beneficiary
who is not a veteran, or if the name and address of the veteran is
provided beforehand.
9. Any information in this system, including medical records,
financial records, field examination reports, correspondence and court
documents may be disclosed in the course of presenting evidence to a
court, magistrate or administrative tribunal in matters of
guardianship, inquests and commitments, and to probation and parole
officers in connection with court required duties.
10. Only so much information, including information in VA records
obtained from Social Security Administration, and the name and address
of a VA beneficiary, fiduciary,
[[Page 3528]]
or other person under investigation, as is necessary to obtain a
coherent and informed response may be released to a third party who may
have information bearing on an issue under VA investigation.
11. Any information in this system may be disclosed to a VA or
court-appointed fiduciary in order for that fiduciary to perform his or
her duties, provided this information will only be released when the
disclosure is for the benefit of the beneficiary. Any information in
this system may also be disclosed to a proposed fiduciary in order for
the fiduciary to make an informed decision with regard to accepting
fiduciary responsibility for a VA beneficiary.
12. Any information in this system, including medical records,
correspondence records, financial records, field examination reports
and court documents may be disclosed to an attorney employed by the
beneficiary, or to a spouse, relative, next friend or to a guardian ad
litem representing the interests of the beneficiary, provided the name
and address of the beneficiary is given beforehand and the disclosure
is for the benefit of the beneficiary, and the release is authorized by
38 U.S.C. 7332, if applicable. Records subject to 38 U.S.C. 7332
contain information on medical treatment for drug abuse, alcoholism,
sickle cell anemia, and HIV.
13. Any information in this system may be disclosed to the
Department of Justice and to U.S. Attorneys in defense of prosecution
of litigation involving the United States and to Federal agencies upon
their official request in connection with review of administrative tort
claims filed under the Federal Tort Claims Act, 28 U.S.C. 2672, as well
as other claims.
14. Any information in this system including available identifying
information regarding the debtor, such as the name of the debtor, last
known address of the debtor, name of debtor's spouse, social security
account number, VA insurance number, VA file number, place of birth and
date of birth of debtor, name and address of debtor's employer or firm
and dates of employment, may be disclosed to other Federal agencies,
State probate courts, State drivers license bureaus, State automobile
title and license bureaus and the General Accounting Office in order to
obtain current address, locator and credit report assistance in the
collection of unpaid financial obligations owed the United States. The
purpose is consistent with the Federal Claims Collection Act of 1966
and 38 U.S.C. 5701(b)(6).
15. Any information in this system relating to the adjudication of
incompetency of a VA beneficiary either by the court of competent
jurisdiction or by VA may be disclosed to a lender or prospective
lender participating in the VA Loan Guaranty Program who is extending
credit or proposing to extend credit on behalf of a veteran in order
for VA to protect incompetent veterans from entering into unsound
financial transactions which might deplete the resources of the veteran
and to protect the interest of the Government giving credit assistance
to a veteran.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Fiduciary Program beneficiary and fiduciary information contained
in the PGF, veterans' files, and correspondence files are maintained on
paper documents in case folders and/or in the Fiduciary Beneficiary
System (e.g., magnetic tapes, magnetic disks, and computer lists) and
are stored at the regional offices (includes record information stored
in the Fiduciary Beneficiary System), VA Central Office, and VA Data
Processing Center at Austin, Texas. Copies of nonfiduciary program
investigations and related information contained in veteran's files and
correspondence files are maintained on paper documents and are stored
at the regional offices and at VA Central Office.
Retrievability:
Paper documents and automated storage media are indexed by name and
file number of VA beneficiary or other individual.
Safeguards:
1. The individual case folder and computer lists are generally kept
in steel cabinets when not in use. The cabinets are located in areas
which are locked after work hours. Access to these records is
restricted to authorized VA personnel on a ``need to know'' basis.
Magnetic tapes and disks, when not in use, are maintained under lock
and key in areas accessed by authorized VA personnel on a ``need to
know'' basis.
2. Access to the computer rooms within the regional office is
generally limited by appropriate locking devices and restricted to
authorized VA employees and vendor personnel. ADP peripheral devices
are generally placed in secure areas (areas that are locked or have
limited access) or are otherwise protected. Information in the
Fiduciary Beneficiary System may be accessed by authorized VA
employees. Access to file information is controlled at two levels; the
system recognizes authorized employees by a series of individually
unique passwords/codes and the employees are limited to only the
information in the file which is needed in the performance of their
official duties.
3. Access to the VA data processing center is generally restricted
to center employees, custodial personnel, Federal Protective Service
and other security personnel. Access to the computer rooms is
restricted to authorized operational personnel through electronic
locking devices. All other persons gaining access to the computer rooms
are escorted.
4. Access to records in VA Central Office is only authorized to VA
personnel on a ``need to know'' basis. Records are maintained in manned
rooms during working hours. During non-working hours, there is limited
access to the building with visitor control by security personnel.
Retention and disposal:
Paper documents and computer lists are destroyed anywhere from 60
days after receipt to 2 years after VA supervision has ceased,
depending on the type of record or document. Correspondence files are
destroyed after 1 year, veteran files after 2 years, PGFs 2 years after
the case becomes inactive. Investigations data and information obtained
from SSA is destroyed according to the time standards established in
the two preceding sentences. Information contained in the Fiduciary
Beneficiary System is automatically purged two years after the case
becomes inactive. A record is determined inactive when it comes under
the provision of the Veterans Services Division General Operations
Manual, M27-1, part 3, section 1, chapter 8, paragraphs 8.23-8.42.
System manager(s) and address:
Director, Veterans Assistance Service (27), VA Central Office,
Washington, DC 20420.
Notification procedure:
Any individual who wishes to determine whether a record is being
maintained in this system under his or her name or other personal
identifier, or wants to determine the content of such records should
submit a written request or apply in person to the nearest VA regional
office or center. Addresses for VA regional offices and centers may be
found in VA Appendix 1. All inquiries must reasonably identify the type
of records involved, e.g., guardianship file. Inquiries should include
the individual's full name, VA file number and return address. If a VA
file number
[[Page 3529]]
is not available, then as much of the following information as possible
should be forwarded: full name, branch of service, dates of service,
service numbers, social security number, and date of birth.
Records access procedures:
Individuals seeking information regarding access to or contesting
VA records in this system may write, call or visit the nearest VA
regional office or center.
Contesting record procedures:
(See records access procedures above.)
Record source categories:
VA beneficiary, VA beneficiary's dependents, VA-supervised
fiduciaries, field examiners, estate analysts, third parties, other
Federal, State, and local agencies, and VA records.
FR Doc. 96-1812 Filed 1-30-96; 8:45 am]
BILLING CODE 8320-01
