[Federal Register Volume 66, Number 238 (Tuesday, December 11, 2001)]
[Notices]
[Pages 64072-64075]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-30613]


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DEPARTMENT OF VETERANS AFFAIRS


Privacy Act of 1974; System of Records

AGENCY: Department of Veterans Affairs (VA).

ACTION: Notice of establishment of new system of records.

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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 systems of records. Notice is hereby given that the 
Department of Veterans Affairs (VA) is establishing a new system of 
records entitled ``Gulf War Registry--VA'' (93VA131).

DATES: Comments on the establishment of this system of records must be 
received no later than January 10, 2002. If no public comment is 
received, the new system will become effective January 10, 2002.

ADDRESSES: Written comments concerning the proposed new system of 
records may be submitted to the 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 1158, between the 
hours of 8 a.m. and 4:30 p.m., Monday through Friday (except holidays).

FOR FURTHER INFORMATION CONTACT: Veterans Health Administration (VHA) 
Privacy Act Officer (193B3), Department of Veterans Affairs, 810 
Vermont Avenue, NW., Washington, DC 20420, (727) 320-1839.

SUPPLEMENTARY INFORMATION:

I. Description of the Proposed Systems of Records

    The Gulf War Registry (GWR), located at the Austin Automation 
Center (AAC), Austin, Texas, is an automated integrated system. The 
registry contains demographic and medical data of registry examinations 
from August 2, 1990, until such time as Congress by law ends the Gulf 
War, for veterans serving in the Southwest Asia theatre of operations 
during the Gulf War who may have been exposed to a toxic substance or 
environmental hazard. There is also registry data on veteran's spouse 
or children suffering from an illness or disorder (including birth 
defects, miscarriages, or stillbirth) which cannot be disassociated 
from the veteran's service in the Southwest Asia theatre of operations.
    These data are entered manually on code sheets by VA facility staff 
or, in the case of veterans' spouses and children, by non-VA 
physicians. Hard copies of these code sheets then are sent to the AAC 
for entry into the GWR data set. The principal identifiers in these GWR 
records are the Social Security Number and veteran's name. The GWR 
system of records located at VA Central Office, Washington, DC, is an 
optical disk system containing images of paper records, i.e., GW code 
sheets. Once these paper records are scanned on optical disks, they are 
disposed of in accordance with RCS 10-1.
    The purpose of this GWR system of records is to provide information 
about veterans who have had a GWR examination at a VA facility, and 
their spouses and/or children who have had examinations by non-VA 
physicians. The records are used to assist in generating hypotheses for 
research studies; to enable management to track patient demographics; 
to report birth defects among veterans' children; to assist in planning 
the delivery of health care services, including the associated costs; 
and, to possibly be used in the adjudication of claims perhaps related 
to exposure to a toxic substance or environmental hazard.

II. Proposed Routine Use Disclosures of Data in the System

    We are proposing to establish the following routine use disclosures 
of information to be maintained in the system:
    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 written request of, that individual.
    Individuals sometimes request the help of a member of Congress in 
resolving some issues relating to a matter before VA. The member of 
Congress then writes VA, and VA must be able to give sufficient 
information to be responsive to the inquiry.
    2. The disclosure of records covered by this system, as deemed 
necessary and proper, may be made to named individuals serving as 
accredited service organization representatives, and other individuals 
named, as approved agents or attorneys, for a documented purpose and 
period of time, to aid beneficiaries in the preparation and 
presentation of their cases, during verification and/or due process 
procedures and in the presentation and prosecution of claims under laws 
administered by VA.
    3. A record containing the name(s) and address(es) of present or 
former members of the armed services and/or their dependents may be 
released from this system of records under certain circumstances:
    a. To any nonprofit organization if the release is directly 
connected with the conduct of programs and the utilization of benefits 
under Title 38, and
    b. To any criminal or civil law enforcement 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(s) or address(es) be provided for a purpose authorized by 
law; provided, further, that the record(s) will not be used for any 
purpose other than that stated in the request and that the 
organization, agency or instrumentality is aware of the penalty 
provision of 38 U.S.C. 3301(f).
    VA must be able to comply with the requirements of agencies charged 
with enforcing the law who are conducting investigations. 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. Disclosure may be made to the National Archives and Record 
Administration (NARA) in records management inspections conducted under 
authority of Title 44 United States Code.
    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 these 
agencies in order to determine the proper disposition of such records.
    5. Disclosure of information, excluding name and address (unless 
name and address is furnished by the requestor), may be made for 
research purposes determined to be necessary and proper, to 
epidemiological and other research facilities approved by the Under 
Secretary for Health.
    VA participates in various research programs and activities. VA 
must be able to disclose information for research purposes approved by 
the Under Secretary for Health.
    6. In order to conduct Federal research necessary to accomplish a

[[Page 64073]]

statutory purpose of an agency, at the written request of the head of 
the agency, or designee of the head of that agency, the name(s) and 
address(es) of present or former personnel or 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 
a 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 ensure the appropriateness of the 
disclosure to the contractor.
    VA must be able to disclose information for research purposes 
needed to accomplish a statutory purpose of a Federal agency. VA 
occasionally contracts out certain of its functions when this would 
contribute to effective and efficient operations. VA must be able to 
give a contractor whatever information is necessary for the contractor 
to fulfill its duties. In these situations, safeguards are provided in 
the contract prohibiting the contractor from using or disclosing the 
information for any purpose other than that described in the contract.
    7. In the event that a record maintained by VA to carry out its 
functions indicates 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, information may be disclosed at VA's own 
initiative to the appropriate agency whether Federal, State, local or 
foreign, charged with the responsibility of investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute or rule, regulation or order issued pursuant thereto. 
However, names and addresses of veterans and their dependents will be 
released only to Federal entities.
    8. For program review purposes and the seeking of accreditation 
and/or certification, disclosure may be made to survey teams of the 
Joint Commission on Accreditation of Healthcare Organizations (JCAHO), 
College of American Pathologists, American Association of Blood Banks, 
and similar national accreditation agencies or boards with whom VA has 
a contract or agreement to conduct such reviews, but only to the extent 
that the information is necessary and relevant to the review.
    VA health care facilities undergo certification and accreditation 
by several national accreditation agencies or boards to comply with 
regulations and good medical practices. VA must be able to disclose 
information for program review purposes and the seeking of 
accreditation and/or certification of health care facilities and 
programs.
    9. Records from this system of records may be disclosed to the 
Department of Justice (DOJ), 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 
DOJ 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 DOJ 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.
    10. Relevant information may be disclosed to individuals, 
organizations, private or public agencies, etc., with whom VA has a 
contract or agreement to perform such services as VA may deem practical 
for the purposes of laws administered by VA, in order for the 
contractor to perform the services of the contract or agreement.
    VA occasionally contracts out certain of its functions when this 
would contribute to effective and efficient operations. VA must be able 
to give a contractor whatever information is necessary for the 
contractor to fulfill its duties. In these situations, safeguards are 
provided in the contract prohibiting the contractor from using or 
disclosing the information for any purpose other than that described in 
the contract.

III. Compatibility of the Proposed Routine Uses

    The Privacy Act permits VA 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, 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.
    The notice of intent to publish and an advance copy of the system 
notice have been sent to the appropriate Congressional committees and 
to the Director of the Office of Management and Budget (OMB) as 
required by 5 U.S.C. 552a(r) (Privacy Act) and guidelines issued by OMB 
(65 FR 77677), December 12, 2000.

    Approved: December 4, 2001.
Anthony J. Principi,
Secretary of Veterans Affairs.
93VA131

SYSTEM NAME:
    Gulf War Registry-VA.

SYSTEM LOCATION:
    Character-based data from Gulf War Registry Code Sheets are 
maintained in a registry dataset at the Austin Automation Center (AAC), 
1615 Woodward Street, Austin, Texas 78772. Since the dataset at the ACC 
is not all-inclusive, i.e., narratives, signatures, noted on the code 
sheets are not entered into this system, images of the code sheets are 
maintained at the Department of Veterans Affairs (VA), Environmental 
Agents Service (131), 810 Vermont Avenue, NW., Washington, DC 20420. 
These are electronic images of paper records, i.e., code sheets and 
questionnaires that are stored on optical disks.

CATEGORIES OF INDIVIDUALS COVERED BY THIS SYSTEM:
    Veterans who may have been exposed to toxic substances or 
environmental hazard while serving in the Southwest theatre of 
operations during the Gulf War from August 2, 1990, until such time as 
Congress by law ends the Gulf War, and have had a Gulf War Registry 
examination at a VA medical facility. Also, a spouse or child suffering 
from an illness or disorder (including birth defects, miscarriages, or 
stillbirth), which cannot be disassociated from the veteran's service 
in the Southwest Asia theatre of operations and who has had a Gulf War 
Registry examination performed by a non-VA physician.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records consist of: Code sheet records recording VA facility 
code identifier where veteran was examined or treated; veteran's name; 
address, social security number' date of birth; race/ethnicity; marital 
status; sex;

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branch of service; periods of service; hospital status, ie., impatient, 
outpatient; areas of service in the Gulf War theatre of operations; 
list of military units where veteran served; military occupation 
specialty; names of units in which veteran served; veteran's reported 
exposure to environmental factors; any traumatic experiences while in 
the Persian Gulf; veteran's self-assessment of health; veteran's 
functional impairment; report of birth defects and infant death(s) 
among veteran's children and/or problems with pregnancy and 
infertility; date of registry examination; veteran's complaints/
symptoms; consultations; diagnoses; disposition (hospitalized, referred 
for outpatient treatment, etc.); whether veteran had an unexplained 
illness and had further tests and consultations and diagnoses as part 
of Phase II, Uniform Case Assessment Examination; and name and 
signature of examiner/physician coordinator, when provided. Similar 
responses for spouse and children of Gulf War veterans examined by non-
VA physicians are contained in the records. Another category of data 
entries is obtained from depleted uranium (DU) questionnaires, a 
supplement to the Gulf War code sheet. The data entries may contain the 
facility identifier where the information was completed; demographic 
information (name and social security number); daytime and evening 
phone numbers; date of questionnaire completion; date of arrival in and 
departure from the Persian Gulf theatre of operations; source of 
referral to VA medical center for evaluation; where veteran served i.e. 
Iraq, Kuwait, Saudi Arabia, the neutral zone (between Iraq and Saudi 
Arabia), Bahrain, Qatar, The United Arab Emirates, Oman, Gulf of Aden, 
Gulf of Oman and the Waters of the Persian Gulf, Arabian Sea and Red 
Sea; capacity in which veteran served; questions relating to potential 
inhalation exposures to DU including those on, in, or near vehicles hit 
with friendly fire or enemy fire, entering burning vehicles, 
individuals near fires involving DU munitions, individuals salvaging 
damaged vehicles, and those near burning vehicles; whether veteran was 
wounded, retained DU fragments in veteran's body, handled DU penetrator 
rounds or any other exposures to DU; whether a 24-hour urine collection 
for uranium was performed; whether veteran consented to having the DU 
questionnaire data shared with the Department of Defense; name, title 
and signature of examiner/registry physician, when provided, and 
results of urine uranium tests, expressed per mcg per g creatinine.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title 38, United States Code (U.S.C.) sec. 1710(e)(1)(B) and sec. 
1710(e)(1)(B) and sec. 1720E.

PURPOSE(S):
    The records will be used for the purpose of providing information 
about: Veterans who have had a GWR examination at a VA facility and 
their spouses and/or children who have had examinations by non-VA 
physicians to assist in generating hypotheses for research studies; 
providing management with the capability to track patient demographics; 
reporting birth defects among veteran's children; planning the delivery 
of health care services and associated cost; and assisting in the 
adjudication of claims possibly related to exposure to a toxic 
substance or environmental hazard.

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 written request of, that individual.
    2. Disclosure of records covered by this system, as deemed 
necessary and proper to named individuals serving as accredited service 
organization representatives and other individuals named as approved 
agents or attorneys for a documented purpose and period of time, to aid 
beneficiaries in the preparation and presentation of their cases during 
the verification and/or due process procedures, and in the presentation 
and prosecution of claims under laws administered by the VA.
    3. A record containing the name(s) and address(es) of present or 
former members of the armed services and/or their dependents may be 
released from this system of records under certain circumstances:
    a. To any nonprofit organization if the release is directly 
connected with the conduct of programs and the utilization of benefits 
under Title 38, and
    b. To any criminal or civil law enforcement 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(s) or address(es) be provided for a purpose authorized by 
law; provided, further, that the record(s) will not be used for any 
purpose other than that stated in the request and that the 
organization, agency or instrumentality is aware of the penalty 
provision of 38 U.S.C. 3301(f).
    4. Disclosure may be made to the National Archives and Record 
Administration (NARA) in records management inspections conducted under 
authority of Title 44 United States Code.
    5. Disclosure of information, excluding name and address (unless 
name and address is 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.
    6. In order to conduct Federal research necessary to accomplish a 
statutory purpose of an agency, at the written request of the head of 
the agency, or designee of the head of that agency, the name(s) and 
address(s) of present or former personnel or 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 
a disclosure of this information is to be made directly to the 
contractor, the VA may impose applicable conditions on the department, 
agency, and/or contractor to ensure the appropriateness of the 
disclosure to the contractor.
    7. In the event that a record maintained by VA to carry out its 
functions indicates 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, information may be disclosed at VA's own 
initiative to the appropriate agency whether Federal, State, local or 
foreign, charged with the responsibility of investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute or rule, regulation or order issued pursuant thereto. 
However, names and addresses of veterans and their dependents will be 
released only to Federal entities.
    8. For program review purposes and the seeking of accreditation 
and/or certification, disclosure may be made to survey teams of the 
Joint Commission on Accreditation of Healthcare Organizations (JCAHO), 
College of American Pathologists, American Association of Blood Banks, 
and similar national accreditation agencies or boards with whom VA has 
a contract or agreement to conduct such reviews but

[[Page 64075]]

only to the extent that the information is necessary and relevant to 
the review.
    9. Records from this system of records may be disclosed to the 
Department of Justice (DOJ) 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 
DOJ 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 DOJ 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.
    10. Relevant information may be disclosed to individuals, 
organizations, private or public agencies, etc., with whom VA has a 
contract or agreement to perform such services as VA may deem practical 
for the purposes of laws administered by VA, in order for the 
contractor 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:
    Electronic data are maintained on Direct Access Storage Devices at 
the AAC, Austin, Texas, and on optical disks at VA Central Office, 
Washington, DC. AAC stores registry tapes for disaster back up at an 
off-site location. VA Central Office also has back-up optical disks 
stored off-site. In addition to electronic data, registry reports are 
maintained on paper documents and microfiche.

RETRIEVABILITY:
    Records are indexed by name of veteran and social security number.

SAFEGUARDS:
    Access to records to 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. 
Registry data maintained at the AAC can only be updated by authorized 
AAC personnel. Read access to the data is granted through a 
telecommunications network to authorized VA Central Office personnel. 
AAC reports are also accessible through a telecommunications network on 
a ready-only basis to the owner (VA facility) of the data. Access is 
limited to authorized employees by individually unique access codes 
which are changed periodically. Physical access to the AAC is generally 
restricted to AAC staff, VA Central Office employees, custodial 
personnel, Federal Protective Service, and authorized operational 
personnel through electronic locking devices. All other persons gaining 
access to the computer rooms are escorted. Backup records stored off-
site for both the AAC and VA Central Office are safeguarded in secured 
storage areas.

RETENTION AND DISPOSAL:
    Records will be maintained and disposed of in accordance with 
records disposition authority approved by the Archivist of the United 
States.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Environmental Agents Service (131), Office of Public 
Health and Environmental Hazards (clinical issues) and Management/
Program Analyst, Environmental Agents Service (131) (administrative 
issues) VA Central Office, 810 Vermont Avenue, NW., Washington, DC 
20420.

NOTIFICATION PROCEDURE:
    An individual who wishes to determine whether a record is being 
maintained in this system under his or her name or other personnel 
identifier, or wants to determine the contents of such record, should 
submit a written request or apply in person to the last VA facility 
where medical care was provided or submit a written request to the 
Director, Environmental Agents Service (131), Office of Public Health 
and Environmental Hazards or the Management/Program Analyst, 
Environmental Agents Service (131), VA Central Office, 810 Vermont 
Avenue, NW., Washington, DC 20420. Inquiries should include the 
veteran's name, social security number and return address.

RECORD ACCESS PROCEDURES:
    An individual who seeks access to records maintained under his or 
her name may write or visit the nearest VA facility or write to the 
Director, Environmental Agents Service (131), or the Management/Program 
Analyst, Environmental Agents Service (131), VA Central Office, 810 
Vermont Avenue, NW., Washington, DC 20420.

CONTESTING RECORDS PROCEDURES:
    (See ``Record Access Procedures.'')

RECORDS SOURCE CATEGORIES:
    VA patient medical records, various automated record systems 
providing clinical and managerial support to VA health care facilities, 
the veteran, family members, and records from Veterans Benefits 
Administration, Department of Defense, Department of the Army, 
Department of the Air Force, Department of the Navy and other Federal 
agencies.

[FR Doc. 01-30613 Filed 12-10-01; 8:45 am]
BILLING CODE 8320-01-M