[Federal Register Volume 67, Number 113 (Wednesday, June 12, 2002)]
[Notices]
[Pages 40388-40392]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-14842]


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DEPARTMENT OF VETERANS AFFAIRS


Draft Information Quality Guidelines

AGENCY: Office of Information and Technology, Department of Veterans 
Affairs.

ACTION: Notice.

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SUMMARY: The Office of Information and Technology (OI&T), Department of 
Veterans Affairs (VA), is announcing an opportunity for public comment 
on the proposed Information Quality Guidelines for Ensuring and 
Maximizing the Quality, Objectivity, Utility, and Integrity of 
Information Disseminated by VA. This notice solicits comments on 
procedures to obtain correction of information disseminated by VA.

DATES: Written comments and recommendations on the proposed guidelines 
should be received on or before July 2, 2002.

ADDRESSES: Submit written comments on VA Guidelines to Denise McLamb, 
Department of Veterans Affairs, 810 Vermont Avenue, NW, Washington, DC 
20420, FAX (202) 273-5981 or e-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Denise McLamb at (202) 273-8030.

SUPPLEMENTARY INFORMATION: VA has developed information resources 
management procedures for reviewing and substantiating (by 
documentation or other means selected by the agency) the quality 
(including the objectivity, utility, and integrity) of information 
before it is disseminated. In addition, VA will establish 
administrative correction procedures allowing affected persons to seek 
and obtain, where appropriate, correction of information disseminated 
by VA that does not comply with the Office of Management and Budget or 
VA guidelines. VA will apply these standards with flexibility in a 
manner appropriate to the nature and timeliness of information to be 
disseminated and incorporate them into existing VA information 
resources

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management and administrative practices.
    The guidelines are also available at www.va.gov/oirm/s515.

    By direction of the Secretary.
Genie McCully,
Acting Director, Information Management Service.

Draft Information Quality Guidelines

Table of Contents

I. Introduction
II. Policy
III. Implementation
    A. Scope
    B. Application
    C. Exceptions
    D. Policy for Release of Information
    E. Third-Party Dissemination
    F. Peer Review Process
IV. Administrative Correction procedures
    A. Information Correction Process
    B. Information Appeal Process
    C. Administrative Management of Corrected Records
V. Reporting Requirements to OMB
VI. Definitions

Guidelines for Ensuring and Maximizing the Quality, Objectivity, 
Utility and Integrity of Information Disseminated

Introduction

    The Office of Management and Budget (OMB) requires VA to prepare 
draft guidelines to ensure the quality of information disseminated by 
the Department and to make the guidelines available for public comment 
by early May 2002. This is in response to Section 515 requirements of 
the Treasury and General Government Appropriations Act for Fiscal Year 
2001 (Pub. L. 106-554; H.R. 5658). Section 515 directs OMB to issue 
Government-wide guidelines that provide policy and procedural guidance 
to Federal agencies for disseminating information.
    The guidelines will apply flexible, appropriate, timely quality 
standards to the review and substantiation of data and information 
before it is disseminated to the public. They will be incorporated into 
existing VA information resources management and administrative 
practices and will include an administrative procedure to allow 
affected persons to seek and obtain corrected information. VA will 
report annually, beginning January 1, 2004, to the Director of OMB, the 
number and nature of complaints or corrections, and the resolutions 
issued.
    These guidelines are subject to the Paperwork Reduction Act (PRA) 
of 1995 (44 U.S.C. Chapter 35); OMB Circular A-130; Freedom of 
Information Act (FOIA) (5 U.S.C. 552); the Computer Security Act of 
1987; and VA Directive 6102, Internet/Intranet Services.

II. Policy

    VA will ensure and maximize the quality, objectivity, utility, and 
integrity of information it disseminates to the public. Additional 
levels of quality standards may be adopted as appropriate for specific 
categories of information.

III. Implementation

    These guidelines apply to all information that VA disseminates on 
or after October 1, 2002. The administrative process for correcting 
information may be used on or after October 1, 2002, regardless of when 
the Department first disseminated the information.
    VA's Assistant Secretary for Information and Technology/Chief 
Information Officer (CIO) serves as the Department official charged 
with oversight of these guidelines. VA officials are responsible for 
distributing these guidelines and any modifications hereafter to 
appropriate offices within their organizations.
A. Scope
    The guides apply to all information disseminated by VA (except as 
noted in section C) to the public in all forms of media, e.g., printed 
and electronic (the Internet and other technologies). Information 
disseminated products include books, papers, CD-ROMs, electronic 
documents, or other documentary material.
    The guidelines apply to information disseminated by VA from a web 
page except for requests for corrections of typographical errors, web 
page malfunctions, or non-VA hyperlinks from VA's website.
    VA will apply a higher quality standard for ``influential'' 
information that has a capacity to cause an adverse or financial impact 
on pubic policy or legislative matters relative to services provided to 
veterans. The more important the information, the higher the standard 
that is applied, e.g., influential scientific, financial or statistic 
information.
    As recommended by OMB, in some cases, when VA-disseminated 
information is collected from a variety of sources, the Department will 
ensure the information is regularly updated, revised and held in strict 
confidence. In such cases, the essence of the guidelines will still 
apply.
    The guidelines will be applied in a common sense and workable 
manner. They will not impose unnecessary administrative burdens that 
would inhibit VA organization from taking advantage of the Internet and 
other technologies to disseminated information to the public.
B. Application
    VA Administrations and Staff Offices will develop processes for 
reviewing the quality of information before it is disseminated. VA 
offices will treat information quality as an integral part of the 
development of information, including creation, collection, 
maintenance, and dissemination, and will substantiate the quality of 
information disseminated through documentation or other means 
appropriate to the information. The originating offices will use 
integral peer reviews and other review mechanisms to ensure that 
disseminated information is objective, upbiased and accurate in both 
presentation and substance.
    VA will apply reproducibility standards to original and supporting 
data. VA organizations will be flexible in determining what constitutes 
``original and supporting'' data. When original or supporting data must 
be generate, sound statistical methods will be applied. VA will apply a 
consistent reproducibility standard to transparency for how analytical 
results are generated (e.g., specific data used, various assumptions 
employed, specific analytical methods used, and statistical procedures 
employed). These methods will allow any qualified person to conduct an 
independent re-analysis, if necessary. This independent re-analysis 
should produce substantially the same results as the original research.
    In cases where reproducibility may not occur due to other 
compelling interests, (i.e., ethical, feasibility, or confidentiality 
constraints), VA will: (1) perform robustness checks appropriate to the 
importance of the information involved (e.g., determining whether a 
specific statistic is sensitive to the choice of analytical method and 
the accompanying information disseminated): and (2) address the degree 
that reproducibility will be limited by the confidentiality of 
underlying data. VA will address ethical, feasibility, and 
confidentiality issues with care. Reproducibility of data is limited by 
the requirement that VA comply with federal confidentiality statutes, 
such as the Privacy Act, 5 U.S.C. 552a, and 38 U.S.C. 5701, 5705, and 
7332.
C. Exceptions
    The guidelines do not apply to the dissemination of information 
limited to

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Government employees or Department contractors or grantees, intra- or 
inter-Department use or sharing of Government information. They do not 
apply to correspondence with individuals, press release, archival 
records, library holdings, public filings, subpoenas, or adjudicative 
processes. Also not covered by these guidelines are responses to 
requests for Department records under the Freedom of Information Act, 
the Privacy Act, the Federal Advisory Committee Act, or other similar 
laws.
    The guidelines are not designed for individuals who are seeking 
corrections of personal information or information related to death and 
disability payments, education, home loans, disability, medical care, 
insurance, burial and survivor, benefits or related information 
pertaining to specific VA claims, benefits records, or services 
delivered. Information pertaining to VA services can be obtained by 
calling VA's toll-free number at 1-800-827-1000.
    The guidelines generally do not govern a third-party's 
dissemination of information (the exception being where the Department 
is essentially using the third-party to disseminate information on the 
Department's behalf).
    The guidelines do not apply to opinions, if it is clear that what 
is being offered is someone's opinion, rather than fact or the 
Department's views.
    Also excluded from the definition of dissemination are responses 
for FOIA requests and some scientific research (see section on ``Third 
Party Dissemination'').
D. Policy for Release of Information
    Under the Freedom of Information Act requirements, VA's policy is 
to disclose its records upon request, except for those records that are 
protected from disclosure by law.
E. Third-Party Dissemination
    If VA disseminates information prepared by an outside party in a 
manner that reasonably suggests that VA agrees with the information, 
the appearance of having the information represent VA's views makes the 
information subject to these guidelines.
    By contrast, VA does not ``initiate'' the dissemination of 
information when Federally-employed scientists, Federal grantees, or 
contractors publish and communicate their research findings in the same 
manner as their academic colleagues. This applies even though VA has 
funded the research and may retain ownership or other intellectual 
property rights.
    If VA, through a procurement contract or a grant, provides for a 
person to conduct research, and VA directs the person to disseminate 
the results (or VA reviews and approves the results before 
dissemination), then VA has ``sponsored'' the dissemination of this 
information, and the information is subject to these guidelines.
    By contrast, if VA provides funding to support research, and if the 
researcher (not VA) decides to disseminate the results and determines 
the content and presentation of the dissemination, then VA has not 
``sponsored'' the dissemination. The information is not subject to 
these guidelines even though VA has funded the research and may retain 
ownership or other intellectual property rights.
    To avoid confusion regarding whether the Department is sponsoring 
the dissemination, the researcher should include an appropriate 
disclaimer in the publication or speech to the effect that the ``views 
are mine, and do not necessarily reflect the views'' of VA. On the 
other hand, subsequent VA dissemantion of such information requires 
that the information adhere to VA's information quality guidelines.
F. Peer Review Process
    VA will use many types of peer reviews. Transparency is important 
for peer review, and VA's guidelines set minimum standards for the 
transparency of VA-sponsored peer review. If data and analytical 
results have been subjected to formal independent, external peer 
review, the information may generally be presumed to be of acceptable 
objectivity. The intensity of peer reviews will be commensurate with 
the significance of the risk or its management.
    Peer reviewers must be selected primarily on the basis of technical 
expertise, be expected to disclose to VA prior technical/policy 
positions they may have taken on the issues at hand, be expected to 
disclose to VA their sources of personal and institutional funding 
(private or public sector), and conduct their reviews in an open and 
rigorous manner.
    As an organization responsible for dissemination of vital health 
and medical information, VA will interpret reproducibility and peer-
review standards in a manner appropriate to assure timely flow of vital 
information and VA to medical providers, patients, health agencies and 
the public. VA may temporarily waive information quality standards in 
urgent situations (e.g., imminent threats to public health or homeland 
security) in accordance with the latitude specified in VA's guidelines.
    When VA disseminates analyses of risks of human health, safety, and 
the environment, if at all, it will apply the quality principles 
applied by Congress to risk information used and disseminated pursuant 
to the Safe Drinking Water Act Amendments of 1996 (42 U.S.C. 300g-
1(b)(3)(A) & (B)) to the extent feasible.

IV. Administrative Correction Procedures

    An administrative process is available allowing affected persons to 
seek and obtain, where appropriate, timely correction of information 
that does not meet the stated guidelines. The correction and appeal 
processes have been designed to be flexible, appropriate in nature, and 
timely in responding to a request for correction. It is available for 
genuine and valid requests for correction of information that does not 
meet the stated guidelines.
A. Information Correction Process
    If an affected person believes that disseminated information is not 
accurate, clear, complete or unbiased, he or she may challenge or 
submit a complaint by written correspondence or via VA's homepage:
    1. Write to: Director, Information Management Service (045A4), 
Department of Veterans Affairs, 810 Vermont Avenue, N.W., Washington, 
DC 20420. In submitting written requests, the envelope and the request 
both should be clearly marked ``Section 515 Complaint''; or
    2. Access VA's homepage at www.va.gov and select the ``Contact VA'' 
link that appears at the bottom of the page.
    Requests for correction of information will be routed to the 
appropriate VA Administration or Staff Office for review. VA will 
respond to all requests for corrections within 45 working days of 
receipt. If the VA office receiving the complaint determines that the 
request does not adequately and reasonably describe the disseminated 
information source, the correspondent will be advised that additional 
information is needed. If the challenged information is determined to 
be correct or valid, the correspondent will be provided with a 
statement as to why the request for correction is not acted upon and 
how to file an appeal.
B. Information Appeal Process
    If affected persons who request corrections of information do not 
agree with VA's decision (including the corrective action, if any), 
they may file an appeal in writing within 60 days to the office 
indicated in the denial

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correspondence. The envelope and reconsideration request both should be 
clearly marked ``Information Correction Reconsideration Request.'' It 
is important that correspondents state why they disagree. The 
appropriate VA organization will review the appeal and act upon the 
request for reconsideration. The correspondent will be notified whether 
the request was granted or denied and what corrective action, if any, 
VA will take on the appeal.
    To ensure objectivity, the VA organization that originally 
disseminated the information does not have responsibility for both the 
initial response and any subsequent appeal. In addition, if VA believes 
other agencies may have an interest in the appeal, VA will consult with 
those other agencies about their possible interest.
C. Administrative Management of Corrected Records
    Corrective actions will vary. Possibilities include immediate 
correction or replacement of information on the Department of Veterans 
Affairs website (<http://www.va.gov/), revision of 
subsequent issues of recurring products, and issuance of errata for 
printed reports and other data products.

V. Reporting Requirements to OMB

    On October 1, 2002, the final guidelines for information quality 
disseminated by VA will be submitted to OMB and posted on VA's website.
    On January 1, 2004, VA will electronically submit an annual fiscal 
report to OMB, with a recurring report due on January 1 each year 
thereafter. The report will provide information (both quantitative and 
qualitative where appropriate) on the number, nature, and resolution of 
complaints received by VA regarding its perceived or confirmed failure 
to comply with OMB and VA guidelines.

VI. Definitions

    A. ``Affected'' persons are those who may benefit or be harmed 
directly by the dissemination information. These guidelines are not 
designed for individuals to seek corrections of personal information or 
information related to personal services, benefits, or claims for 
benefits.
    B. ``Dissemination'' of information means VA-initiated or sponsored 
distribution of information to the public.
    C. ``Influential'' information is determined when VA can reasonably 
discern that dissemination of information will, or does have, a clear 
and substantial impact on important public policies or important 
private section decisions. This type of information must have a 
significant impact on VA's public policy or legislative matters 
relative to delivery of veterans' benefits or health care services. 
VA's influential information includes the following categories:
    1. Statistical information obtained from original data collections; 
administrative records; compilations of data from primary sources such 
as forecasts and estimates derived from statistical models, expert 
analyses, data collection, and analysis and interpretations of 
statistical information.
    2. Financial information referring to Government revenues and 
expenditures.
    3. Scientific information designating the method of research in 
which a hypothesis, formulated after systematic, objective collection 
of data is tested empirically (relying on experiment and observation 
rather than theory).
    D. ``Information,'' for purposes of these guidelines, including the 
administrative correction/appeal procedures, means any communication or 
representation of knowledge such as facts or data, in any medium or 
form, including textual, numerical, graphic, cartographic, narrative, 
or audiovisual forms. This definition does not include:
    1. Opinions, where the presentation makes clear that the statements 
are subjective opinions, rather than facts, or a determination of the 
Department. However, any underlying information published by the 
Department upon which the opinion is based may be subject to these 
guidelines;
    2. Information originated by, and attributed to, non-Department 
sources, provided the Department does not expressly rely upon that 
information. Examples include: information reported and duly attributed 
in materials prepared and disseminated by the Department's hyperlinks 
on the Department's website to information that others disseminated; 
and reports of advisory committees and international organizations 
published on the Department's website;
    3. Statements related solely to the internal personnel rules and 
practices of Department and other materials produced for Department 
employees, contractors, agents or alumni;
    4. Descriptions of VA, its responsibilities and its organizational 
components;
    5. Statements, the modification of which might cause harm to 
national security, including harm to the national defense or foreign 
relations of the United States and statements of U.S. foreign policy;
    6. Materials covered by the United States Information and 
Educational Exchange Act of 1948 (the Smith-Mundt Act), 22 U.S.C. Sec. 
1416-1a (Ban on domestic activities);
    7. Testimony of Department officials in court, to administrative 
bodies, or to Congress;
    8. Investigory material compiled pursuant to U.S. law or for law 
enforcement purposes in the United States or abroad; or
    9. Statements which are, or which reasonably may be expected to 
become, part of subpoenas or adjudicative processes, the subject of 
litigation, or other dispute resolution proceedings.
    E. ``Quality'' is the encompassing term of which ``utility,'' 
``objectivity,'' and ``integrity'' are constituents. VA applies these 
terms to the guidelines as follows:
    1. ``Utility'' refers to the usefulness of the information to the 
intended users. VA will achieve utility by staying informed of 
information needs and developing new data, models, and information 
products where appropriate.
    2. ``Objectivity'' focuses on whether the disseminated information 
is being presented in an accurate, clear, complete, and unbiased 
manner, and as a matter of substance, is accutate, reliable, and 
unbaiases. VA will achieve objectivity by using reliable data sources 
and sound analytical techniques, and preparing information products 
that are carefully reviewed and use proven methods by qualified people. 
The objectivity standard will not override other compelling interests 
such as privacy, intellectual property, and other confidentiality 
protections.
    3. ``Integrity'' refers to the protection of VA information from 
unauthorized, unanticipated, or unintentional access or revision to 
ensure that the information remains authenic and is not compromized. To 
ensure the integrity of information that the Department collects, 
administers, and disseminates, VA has implemented rigorous information 
security controls to protect its information systems and resources. VA 
protects the confidentiality of its sensitive information by 
implementing security policies, programs, and procedures mandated by 
Fedeal law and guidance. These Department-wide activities comply with 
the statutory requirements created toprotect sensitive information 
gathered and maintained on individuals by the Federal Government. These 
requirements are contained in the following Federal information 
security laws and regulations:
     Clinger-Cohen Act of 1996.
     Computer Security Act of 1987 (Pub. L. 100-235).

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     Government Information Security Reform Act (GISRA) (Pub. 
L. 106-398, Title X, Subtitle G).
     Health Insurance Portability and Accountability Act of 
1996 (HIPAA).
     OMB Circulars A-123, A-127, and A-130 and their 
appendices.
     Paperwork Reduction Act of 1995.
     Privacy Act of 1974.
    F. ``Reproducibility'' means that information is capable of being 
substantially reproducted with essentially the same result, subject to 
an acceptable degree of imprecision or margin. With respect to 
analytical results, ``capable of being substantially reproduced'' means 
that independent analysis of the original or supporting data using 
identical methods would generate similar analytical results.
    G. ``Transparency'' refers to the clear, obvious and precise nature 
of the information. When VA disseminates influential information, a 
high degree of transparency about data and methods will be maintained 
to facilitate its reproducibility by qualified third parties. Methods 
to implement VA's guidelines will be transparent by providing 
documentation, ensurig quality by reviewing undeylying methods used in 
developing data, consulting (as appropriate) with experts and users, 
and keeping users informed about corrections and revisions.
[FR Doc. 02-14842 Filed 6-11-02; 8:45 am]
BILLING CODE 8320-01-M