[Federal Register Volume 66, Number 10 (Tuesday, January 16, 2001)]
[Notices]
[Pages 3650-3653]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-1112]


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DEPARTMENT OF VETERANS AFFAIRS


Privacy Act of 1974; System of Records

AGENCY: Department of Veterans Affairs.

ACTION: Report of New System of Records--Consolidated Data Information 
System--VA (97VA105).

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SUMMARY: The Privacy Act of 1974 (5 U.S.C. 552(e)(4)) requires that all 
agencies publish in the Federal Register a notice of the existence and 
character of their system of records. Notice is hereby given that VA is 
adding a new system of records entitled ``Consolidated Data Information 
System--VA'' (97VA105).

DATES: Comments on the establishment of the new system of records must 
be received no later than February 15, 2001. If no public comment is 
received during the period allowed for comment or unless otherwise 
published in the Federal Register by VA, the system will become 
effective February 15, 2001.

ADDRESSES: Comments may be submitted to Director, Office of Regulations 
Management (02D), Department of Veterans Affairs, 810 Vermont Avenue, 
NW., Washington, DC 20420. Comments will be available for public 
inspection at the above address in the Office of Regulations 
Management, Room 1176, between the hours of 8:00 a.m. and 4:30 p.m., 
Monday through Friday, excluding Federal holidays.

FOR FURTHER INFORMATION CONTACT: Veterans Health Administration Privacy 
Act Officer (193B2), Department of Veterans Affairs, 810 Vermont 
Avenue, NW., Washington, DC 20420, (727) 320-1839.

SUPPLEMENTARY INFORMATION: Under Section 527 of Title 38, U.S.C., and 
the Government Performance and Results Act of 1993, Pub. L. 103-62, VA 
is required to measure and evaluate, on an ongoing basis, the 
effectiveness of VA benefit programs and services. In performing this 
required function, VA must collect, collate and analyze full 
statistical data regarding participation, provision of services, 
categories of beneficiaries, and planning of expenditures for all VA 
programs. For this reason, VA is establishing a new system of records, 
which combines information from several existing systems of records 
with information from non-VA sources. This combined database is 
necessary for VA to accurately and timely assess the current health 
care usage by the patient population served by VA, to forecast future 
demand for VA medical care by individuals currently eligible for 
service by VA medical facilities, and to understand the numerous 
implications of cross-utilization between VA and non-VA health care 
systems.
    Records from the Patient Medical Record System (24VA136), the 
Patient Fee Basis Medical and Pharmacy Records (23VA136), Veterans and 
Beneficiaries Identification and Records Location Subsystem (38VA23), 
Compensation, Pension, Education and Rehabilitation Records (58VA21/
22), and Automated Medication Processing Records (56VA119) will be 
incorporated into this new system of records. Specific request files 
will be created for use in submitting requests for veteran-specific 
data from the Health Care Financing Administration (HCFA), the 
Department of Defense (DoD), and other non-VA data sources including 
state Medicaid databases. The new database will be created by including 
Medicare data records on utilization and enrollment for all VA users, 
enrollees and special category veterans. Utilization and enrollment 
data will also be extracted from the DoD military personnel system of 
records in order to supplement VA's database. This system will not be 
used by VA to make any determinations as to individual veteran's 
benefits. Because the exchange of data among VA, HCFA, DoD, and any 
other non-VA agencies will be only for the purpose of identifying 
current health care usage and forecasting future health care usage by 
VA beneficiaries, the computer matching provision of the Privacy Act 
does not apply.
    VA will maintain the system of records in electronic form at VA 
Management Science Group, Bedford, Massachusetts, and VA Information 
Resource Center, Hines, Illinois. Copies or parts of these records may 
be maintained at VA Automation Center, Austin, Texas, and VA Allocation 
Resource Center, Braintree, Massachusetts. Multiple sites are needed 
because VA data files will be drawn from multiple locations and merged 
data files will be very large. Data in the system of records will 
include names, social security numbers (SSNs), demographic and health 
services utilization data for all VHA users and special veteran 
populations; inpatient, outpatient, physician supplier, nursing home, 
hospice, home care, and durable medical equipment data form HCFA; and 
utilization and enrollment data from DoD. The new database will be used 
to produce reports for statistical analyses on, for example: (1) The 
number of Medicare-eligible users who obtain health care services from 
VA,

[[Page 3651]]

Medicare, and both VA and Medicare providers (dual use); (2) the number 
of ``dual use'' veterans by specific disease categories; and (3) the 
inpatient, outpatient, and total costs associated with VA services and 
Medicare covered services by ``dual use'' veterans. Statistical reports 
will not contain individually identifiable health information.
    We are proposing to establish the following routine use disclosures 
of information which will be maintained in the system:
    1. To Federal, State, and local agencies for the purpose of better 
identifying the total current health care usage of the patient 
population by VA, to forecast future demand for VA medical care, and as 
part of statistical matching programs.
    VA needs to obtain information from other agencies in order to 
collect full statistical data regarding participation and provision of 
services to the patient population served by VA as well as non-VA 
health care systems. The records may also be disclosed as part of 
statistical matching programs to accomplish these purposes.
    2. To Federal, State and local government agencies and national 
health organizations in order to assist in the development of programs 
that will be beneficial to claimants and to protect their rights under 
law and assure that they are receiving all benefits to which they are 
entitled.
    VA needs to obtain information from other agencies in order to 
measure and evaluate, on an ongoing basis, the effectiveness of VA 
benefit programs and services.
    3. To a Federal, State, or local agency charged with the 
responsibility of investigating or prosecuting civil, criminal or 
regulatory violations of law, or charged with enforcing or implementing 
the statute, regulation, rule or order issued pursuant thereto. The 
names and addresses of veterans may only be disclosed:
    <bullet> To a Federal agency when it is relevant to a suspected 
violation or reasonably imminent violation of law; and
    <bullet> To a State or local agency under a written request when it 
is relevant to a suspected violation or reasonably imminent violation 
of law concerning public health or safety.
    VA must be able to comply with the requirements of agencies charged 
with enforcing the law, and investigations of violations or possible 
violations of law. VA must also be able to provide information to State 
or local agencies charged with protecting the public health as set 
forth in State law.
    4. To epidemiological and other research facilities approved by the 
Under Secretary for Health for research purposes (disclosure excludes 
names and addresses).
    VA must be able to disclose information for research purposes 
approved by the Under Secretary for Health.
    5. To a Federal department or agency or to a contractor of a 
Federal department or agency in order to conduct Federal research 
necessary to accomplish a statutory purpose of an agency.
    VA must be able to disclose information for research purposes 
needed to accomplish a statutory purpose of a Federal agency.
    6. To the National Archives and Record Administration (NARA) in 
records management inspections conducted under authority of 44 U.S.C. 
2904 and 2906.
    NARA is responsible for archiving old records no longer actively 
used, but which may be appropriate for preservation; they are 
responsible in general for the physical maintenance of the Federal 
government's records. VA must be able to turn records over to this 
agency in order to determine the proper disposition of such records.
    7. To the Department of Justice or in a proceeding before a court, 
adjudicative body, or other administrative body before which the Agency 
is authorized to appear when the Agency, or any component thereof; or 
any employee of the Agency in his or her official capacity; where the 
Department of Justice or the Agency has agreed to represent the 
employee; or the U.S. when the Agency determines that litigation is 
likely to affect the Agency or any of its components, is a party to 
litigation, and has an interest in such litigation, and the use of such 
records by the Department of Justice or the Agency is deemed by the 
Agency to be relevant and necessary to the litigation provided, 
however, that the disclosure is compatible with the purpose for which 
the records were collected.
    Whenever VA is involved in litigation, or occasionally when another 
party is involved in litigation and VA policies or operations could be 
affected by the outcome of the litigation, VA would be able to disclose 
information to the court or parties involved. A determination would be 
made in each instance that, under the circumstances involved, the 
purpose served by the use of the information in the particular 
litigation is compatible with a purpose for which VA collects the 
information.
    8. To individuals, organizations, private or public agencies, etc., 
with whom VA has a contract or agreement to perform such services as VA 
may deem practicable for the purposes of laws administered by VA, in 
order for the contractor or subcontractor to perform the services of 
the contract or agreement.
    VA must be able to provide information to contractors or 
subcontractors with whom VA has a contract or agreement in order to 
perform the services of the contract or agreement.
    Release of information from these records will be made only in 
accordance with the provisions of the Privacy Act of 1974 for 
investigative, judicial and administrative uses. The Privacy Act 
permits us to disclose information about individuals without their 
consent for a routine use when the information will be used for a 
purpose that is compatible with the purpose for which we collected the 
information. In all of the routine use disclosures described above, 
either the recipient of the information will use the information in 
connection with a matter relating to one of VA's programs, will use the 
information to provide a benefit to VA, or disclosure is required by 
law. VA has determined that release of information for these purposes 
is a necessary and proper use of information and that specific routine 
uses for transfer of this information are appropriate.

    Approved: December 15, 2000.
Hershel W. Gober,
Acting Secretary of Veterans Affairs.
97VA105

SYSTEM NAME:
    Consolidated Data Information System-VA.

SYSTEM LOCATION(S):
    Records will be maintained at the following computer site 
locations: VA Management Science Group, 200 Springs Road, Bedford, 
Massachusetts 01730; and VA Information Resource Center, 5th Avenue & 
Roosevelt Road, Hines, Illinois 60141. Copies or parts of these records 
may be maintained at the following computer site locations: VA 
Automation Center, 1615 Woodward Street, Austin, Texas 78722; and VA 
Allocation Resource Center, 100 Grandview Road, Braintree, 
Massachusetts 02184.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The records include information concerning active duty military 
personnel, veterans, their spouses and their dependents, and 
individuals who are not VA beneficiaries, but who receive health care 
services from VHA.

[[Page 3652]]

CATEGORIES OF RECORDS IN THE SYSTEM:
    The categories of records in the system will include veterans' 
names, addresses, dates of birth, VA claim numbers, SSNs, and military 
service information; medical benefit application and eligibility 
information; code sheets and follow-up notes; sociological, diagnostic, 
counseling, rehabilitation, drug and alcohol, dietetic, medical, 
surgical, dental, psychological, and/or psychiatric medical 
information; prosthetic, pharmacy, nuclear medicine, social work, 
clinical laboratory and radiology information; patient scheduling 
information; family information such as next of kin, spouse and 
dependents; names, addresses, social security numbers and dates of 
birth; family medical history, employment information; financial 
information; third-party health plan information; information related 
to ionizing radiation and Agent Orange; date of death; VA claim and 
insurance file numbers; travel benefits information; military 
decorations; disability or pension payment information; information on 
indebtedness arising from 38 U.S.C. benefits; medical and dental 
treatment in the Armed Forces and claim information; applications for 
compensation, pension, education and rehabilitation benefits; 
information related to incarceration in a penal institution; medication 
profile such as name, quantity, prescriber, dosage, manufacturer, lot 
number, cost and administration instruction; pharmacy dispensing 
information such as pharmacy name and address.
    The records will include information on DoD military personnel from 
two categories of DoD files: (1) Utilization files that contain 
inpatient and outpatient records, and (2) eligibility files from the 
Defense Eligibility Enrollment Reporting System (DEERS) containing data 
on all military personnel including those discharged from the Armed 
Services since 1972.
    The records will include information on Medicare beneficiaries from 
HCFA databases: Denominator file (identifies the population being 
studied); Standard Analytical files (inpatient, outpatient, physician 
supplier, nursing home, hospice, home care, durable medical equipment); 
and Group Health Plan.
    The records include information on Medicaid beneficiaries' 
utilization and enrollment from state databases.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 527 of 38 U.S.C. and the Government Performance and Results 
Act of 1993, Pub. L. 103-62.

PURPOSE(S):
    The purpose of this system of records is to conduct statistical 
studies and analyses which will support the formulation of Departmental 
policies and plans by identifying the total current health care usage 
of the VA patient population.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    Information from this system of records may be disclosed in 
accordance with the following routine uses:
    1. Disclosure of identifying information, such as names, SSNs, 
demographic and utilization data, may be made to Federal, State, local, 
or tribal agencies such as the DoD, HCFA, and Medicare Payment Advisory 
Commission (MedPAC), as part of statistical matching programs for the 
purpose of better identifying the total current health care usage of 
the patient population served by VA in order to forecast future demand 
for VA medical care by VA medical facilities.
    2. Disclosure may be made to Federal, State, local, and tribal 
government agencies and national health organizations in order to 
assist in the development of programs that will be beneficial to 
claimants and assure that they are receiving all benefits to which they 
are entitled.
    3. Disclosure may be made of information relevant to or indicating 
a violation or potential violation of law, whether civil, criminal or 
regulatory in nature, and whether arising by general statute or 
particular program statute, or by regulation, rule or order issued 
pursuant thereto, to Federal, State, local, or tribal agencies charged 
with the responsibility of investigating or prosecuting such violation 
or charged with enforcing or implementing the statute, or rule, 
regulation or order listed pursuant thereto.
    4. Disclosure may be made, excluding name and address (unless name 
and address are furnished by the requestor) for research purposes 
determined to be necessary and proper, to epidemiological and other 
research facilities approved by the Under Secretary for Health.
    5. In order to conduct Federal research necessary to accomplish a 
statutory purpose of an agency, at the written request of the recipient 
agency, the name (s) and address (s) of present or former personnel of 
the Armed Services and/or their dependents may be disclosed (a) To a 
Federal department or agency or (b) directly to a contractor of a 
Federal department or agency. When disclosure of this information is to 
be made directly to the contractor, VA may impose applicable conditions 
on the department, agency and/or contractor to insure the 
appropriateness of the disclosure to the contractor.
    6. Disclosure may be made to National Archives and Records 
Administration (NARA), General Services Administration (GSA) in records 
management inspections conducted under authority of 44 U.S.C. 2904 and 
2906.
    7. Records from this system of records may be disclosed to the 
Department of Justice or in a proceeding before a court, adjudicative 
body, or other administrative body before which the Agency is 
authorized to appear when: The Agency, or any component thereof; or any 
employee of the Agency in his or her official capacity; where the 
Department of Justice or the Agency has agreed to represent the 
employee; or the U.S. when the Agency determines that litigation is 
likely to affect the Agency or any of its components, is a party to 
litigation, and has an interest in such litigation, and the use of such 
records by the Department of Justice or the Agency is deemed by the 
Agency to be relevant and necessary to the litigation provided, 
however, that the disclosure is compatible with the purpose for which 
the records were collected.
    8. Disclosure may be made to individuals, organizations, private or 
public agencies, etc., with whom VA has a contract or agreement to 
perform such services as VA may deem practicable for the purposes of 
laws administered by VA, in order for the contractor or subcontractor 
to perform the services of the contract or agreement.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Data are maintained on magnetic tape, disk, or laser optical media.

RETRIEVABILITY:
    Records may be retrieved by name, name and one or more criteria 
(e.g., dates of birth, death and service), SSN or VA claim number.

SAFEGUARDS:
    1. Access to and use of these records is limited to those persons 
whose official duties require such access. Personnel screening is 
employed to prevent unauthorized disclosure.
    2. Access to Automated Data Processing files is controlled at two 
levels: (1) Terminals, central processing units, and peripheral devices 
are generally placed in secure areas (areas

[[Page 3653]]

that are locked or have limited access) or are otherwise protected; and 
(2) the system recognizes authorized users by means of an individually 
unique password entered in combination with an individually unique user 
identification code.
    3. Access to automated records concerning identification codes and 
codes used to access various VA automated communications systems and 
records systems, as well as security profiles and possible security 
violations is limited to designated automated systems security 
personnel who need to know the information in order to maintain and 
monitor the security of VA's automated communications and veterans' 
claim records systems. Access to these records in automated form is 
controlled by individually unique passwords/codes. Agency personnel may 
have access to the information on a need to know basis when necessary 
to advise agency security personnel or for use to suspend or revoke 
access privileges or to make disclosures authorized by a routine use.
    4. Access to VA facilities where identification codes, passwords, 
security profiles and possible security violations are maintained is 
controlled at all hours by the Federal Protective Service, VA or other 
security personnel and security access control devices.

RETENTION AND DISPOSAL:
    Copies of back-up computer files will be maintained at VA 
Management Science Group, Bedford, Massachusetts, and VA Information 
Resource Center, Hines, Illinois.
    Records will be maintained and disposed of in accordance with the 
records disposal authority approved by the Archivist of the United 
States, the National Archives and Records Administration, and published 
in Agency Records Control Schedules.

SYSTEM MANAGER AND ADDRESS:
    Director, Management Science Group, VA Medical Center, 200 Springs 
Road, Bedford, Massachusetts 01730.

NOTIFICATION PROCEDURE:
    Individuals wishing to inquire whether this system of records 
contains information about them should submit a signed written request 
to the Director, Management Science Group, VA Medical Center, 200 
Springs Road, Bedford, Massachusetts 01730.

RECORDS ACCESS PROCEDURES:
    An individual who seeks access to records maintained under his or 
her name or other personal identifier may write the System Manager 
named above and specify the information being contested.

CONTESTING RECORD PROCEDURES:
(See Records Access Procedures above.)

RECORD SOURCE CATEGORIES:
    Information may be obtained from the Patient Medical Records System 
(24VA136); Patient Fee Basis Medical and Pharmacy Records (23VA136); 
Veterans and Beneficiaries Identification and Records Location 
Subsystem (38VA23); Compensation, Pension, Education and Rehabilitation 
Records (58VA21/22); and Automated Medication Processing Records 
(56VA119); DoD utilization files and DEERS files; and HCFA Denominator 
file, Standard Analytical files (inpatient, outpatient, physician 
supplier, nursing home, hospice, home care, durable medical equipment) 
and Group Health Plan, and State Medicaid beneficiaries' utilization 
and enrollment databases.

[FR Doc. 01-1112 Filed 1-12-01; 8:45 am]
BILLING CODE 8320-01-M