[Federal Register Volume 71, Number 205 (Tuesday, October 24, 2006)]
[Notices]
[Pages 62347-62350]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-17756]


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DEPARTMENT OF VETERANS AFFAIRS


Privacy Act of 1974

AGENCY: Department of Veterans Affairs (VA).

ACTION: Notice 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 ``Automated Safety Incident Surveillance and Tracking 
System-VA'', (99VA13).

DATES: Comments on the establishment of this new system of records must 
be received no later than November 24, 2006. If no public comment is 
received, the new system will become effective November 24, 2006.

ADDRESSES: Written comments concerning the proposed system of records 
may be submitted by mail or hand-delivery to Director, Office of 
Regulations Management (00REG1), Department of Veterans Affairs, 810 
Vermont Avenue, NW., Washington, DC 20420; by fax to (202) 273-9026; or 
by e-mail to ``[email protected]''. All relevant material 
received before November 24, 2006 will be considered. Comments will be 
available for public inspection at the above address in the Office of 
Regulation Policy and Management, Room 1063B, 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 Officer, Department of Veterans Affairs, 810 Vermont Avenue, 
NW., Washington, DC 20420, telephone (727) 320-1839.

SUPPLEMENTARY INFORMATION:

I. Description of Proposed Systems of Records

    The Automated Safety Incident Surveillance and Tracking System 
(ASISTS) is an information management system that serves as the 
backbone of VA's management of work-related injuries and illnesses. The 
national database provides support for disease reporting, surveillance, 
and intervention, and as an integrated system, brings together 
different professional groups in a single community of practice to 
manage the various aspects of occupational injuries and illnesses in an 
efficient fashion.
    ASISTS allows VA to identify, characterize, and track adverse 
events involving and the progress of injured and ill current and former 
employees, trainees, contractors, subcontractors, volunteers, and other 
individuals working collaboratively with VA. It allows the affected 
individuals to file their initial report of injury or illness, 
supervisors to describe the setting of and events leading up to the 
injury or illness, and safety personnel to describe the results of 
their investigation. It supports electronic transmission of workers' 
compensation claims, causes of incidents, and other aspects of the 
cases to the Department of Labor through an electronic linkage with the 
Workers Compensation-Management Information System, which maintains the 
Department of Labor records, and provides these individuals with access 
to a copy of their filed information. These system functions are 
currently available through other approved systems of records, 
including the Employee Medical File System Records (Title 38)-VA 
(08VA05).
    The database allows VA to collect data related to blood-borne 
pathogen exposure and other causes of injury and illness, in accordance 
with the recordkeeping requirements of the Occupational Safety and 
Health Act of 1970, Public Law 91-596 84 STAT. 1590. It enables VA to 
identify system-wide problems and opportunities for focused education, 
examine emerging causes and clusters of incidents, evaluate the 
effectiveness of health and safety programs, and support research in 
the area of occupational medicine.
    The records and information in ASISTS may be used to examine or 
identify individual cases or file claims of work-related injuries and 
illnesses; to evaluate health and safety systems performance through 
statistical analysis; to track and evaluate services and medical care 
of injured or ill workers; to develop and manage the planning, 
distribution, and use of resources; and

[[Page 62348]]

to identify clusters and outbreaks. The data may also be used by 
institutional members of an accident review board or an incident review 
board, a multidisciplinary group of health and safety professionals, as 
well as representatives from human resources, safety, occupational 
health, and infection control for the review of root causes of 
injuries. The data may also be used for audits, reviews, and 
investigations by staff of the facilities, the Regional Directors' 
Offices, VA Central Office, and the VA Office of Inspector General 
(OIG), and for quality assurance audits, reviews, and investigations.
    The national database located at the Austin Automation Center in 
Austin, Texas, will provide data to support new safety initiatives to 
reduce incidents, work-related injuries and illnesses, and workers' 
compensation claims.

II. Proposed Routine Use Disclosures of Data in the System

    VA is proposing to establish the following routine use disclosures 
of information that will be maintained in the system:
    1. VA may disclose on its own initiative any information in this 
system, except the names and addresses of veterans and their 
dependents, that is relevant to a suspected 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, 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, regulation, rule, or order. VA may also disclose on its 
own initiative the names and addresses of veterans and their dependents 
to a Federal 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.
    VA must be able to disclose information within its possession on 
its own initiative that pertains to a violation of law to the 
appropriate authorities in order for them to investigate and enforce 
those laws. VA may disclose the names and home addresses of veterans 
and their dependents only to Federal entities with law enforcement 
responsibilities under 38 U.S.C. 5701(a) and (f). Accordingly, VA has 
so limited this routine use.
    2. VA may disclose information to a Congressional office from the 
record of an individual in response to an inquiry from the 
Congressional office made on behalf of and at the request of that 
individual.
    Individuals sometimes request the help of a Member of Congress in 
resolving some issue relating to a matter before VA. When the Member of 
Congress writes VA, VA must be able to provide sufficient information 
to be responsive to the inquiry.
    3. VA may disclose information to the National Archives and Records 
Administration (NARA) in records management inspections conducted under 
authority of Title 44 of United States Code.
    NARA is responsible for archiving old records no longer actively 
used but which may be appropriate for preservation and for the physical 
maintenance of the Federal government's records. VA must be able to 
turn records over to NARA in order to determine the proper disposition 
of such records.
    4. VA may disclose information to the Department of Justice (DOJ), 
including United States Attorneys, or in a proceeding before a court, 
adjudicative body, or other administrative body when VA, its employees, 
or any of its components is a party to or has an interest in the 
litigation or the adjudicative or administrative process, or when the 
litigation or process is likely to affect VA, its employees, or any of 
its components, and the use of these records is deemed to be relevant 
and necessary to the litigation or process, provided that the 
disclosure is compatible with the purpose for which the records were 
collected.
    When VA is involved in litigation or an adjudicative or 
administrative process, or occasionally when another party is involved 
in litigation or an adjudicative or administrative process, and VA 
policies or operations could be affected by the outcome of the 
litigation or process, VA must be able to disclose information to the 
court, the adjudicative or administrative body, or the parties 
involved. A determination would be made in each instance that, under 
the circumstances involved, the purpose served by use of the 
information in the particular litigation or process is compatible with 
the purpose for which VA collected the information.
    5. VA may disclose information for program review purposes and the 
seeking of accreditation and/or certification 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 which 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.
    6. VA may disclose information to officials of the Merit Systems 
Protection Board (MSPB) and the Office of Special Counsel when 
requested in connection with appeals, special studies of the civil 
service and other merit systems, review of rules and regulations, 
investigation of alleged or possible prohibited personnel practices, 
and such other functions, promulgated in 5 U.S.C. 1205 and 1206, or as 
may be authorized by law.
    VA must be able to disclose information to the MSPB to assist it in 
fulfilling its responsibilities regarding Federal employees.
    7. VA may disclose information to the Equal Employment Opportunity 
Commission (EEOC) when requested in connection with investigations of 
alleged or possible discrimination practices, examination of Federal 
affirmative employment programs, compliance with the Uniform Guidelines 
of Employee Selection Procedures, or other functions vested in the 
Commission by the President's Reorganization Plan No. 1 of 1978.
    VA must be able to disclose information to the EEOC to assist it in 
fulfilling its responsibilities to protect employee rights.
    8. VA may disclose information to the Federal Labor Relations 
Authority (FLRA), including its General Counsel, when requested in 
connection with the investigation and resolution of allegations of 
unfair labor practices or the resolution of exceptions to arbitrator 
awards when a question of material fact is raised, in matters before 
the Federal Service Impasses Panel, and to investigate representation 
petitions and conduct or supervise representation elections.
    VA must be able to disclose information to the FLRA to comply with 
the statutory mandate under which FLRA operates.
    9. VA may disclose information to individuals, organizations, 
private or public agencies, or other entities with which VA has a 
contract or agreement, or where there is a subcontract to perform such 
services as VA may deem practicable for the purposes of laws

[[Page 62349]]

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 which VA has a contract or agreement in order to 
perform the services of the contract or agreement. In these situations, 
safeguards are provided in the contract prohibiting the contractor or 
subcontractor from using or disclosing the information for any purpose 
other than that described in the contract.
    10. VA may disclose information to labor unions operating at the 
facility level as members of institutional review boards [accident 
review boards] to review root causes of injuries.
    VA must be able to use and disclose the information to allow the 
facility and labor unions to review and provide corrective measures for 
injury prevention.
    11. VA may disclose information to the Department of Labor for the 
electronic filing of workers compensation claims, as provided by 5 
U.S.C. 8121.
    VA must be able to provide information to the Department of Labor 
for workers compensation claims filed by injured VA employees through 
the Workers Compensation Management Information System and an 
Electronic Data Interface to the Department of Labor by entering 
information into the Automated Safety Incident Surveillance and 
Tracking System, into a designated form.

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 VA 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 or 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 the Privacy Act, 5 U.S.C. 552a(r), and guidelines issued by 
OMB, 65 FR 77677, December 12, 2000.

    Approved: October 3, 2006.
Gordon H. Mansfield,
Deputy Secretary of Veterans Affairs.
99VA13

SYSTEM NAME: Automated Safety Incident Surveillance and Tracking 
System-VA
SYSTEM LOCATION:
    Records are maintained at each Department of Veterans Affairs (VA) 
health care facility with back-up computer tape information being 
stored at off-site locations in most cases. Address locations for VA 
facilities are listed in VA Appendix 1 of the biennial publication of 
the VA system of records. In addition, records may be maintained at the 
Department of Veterans Affairs Central Office (VACO), 810 Vermont 
Avenue, NW., Washington, DC; VA Data Processing Centers; VA OI Field 
Offices; Veterans Integrated Service Network Offices; and Employee 
Education Systems.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The records include information concerning current and former 
employees, trainees, contractors, subcontractors, volunteers, and other 
individuals working collaboratively with VA.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The records may include:
    1. Identifying information (e.g., name, date of birth, age, sex, 
social security number, taxpayer identification number);
    2. Address information (e.g., home and/or mailing address, home 
telephone number, emergency contact information such as name, address, 
telephone number, and relationship);
    3. Information on injuries and illnesses attributed to work (e.g., 
cause, severity, type of injury, body part affected, risk, and 
contributing factors);
    4. Criteria necessary to meet the injury and illness reporting 
requirements for the Federal Accident Reporting System and its 
successors under the Occupational Safety and Health Act; and
    5. Abstract information (e.g., environmental and epidemiological 
registries).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. Chapters 11, 31, 33, 43, 61, 63, and 83; 38 U.S.C. Sec.  
501; 38 U.S.C. Chapter 74.

PURPOSE(S):
    The records and information may be used to examine or identify 
individual cases or file claims of work-related injuries and illnesses; 
to evaluate health and safety systems performance through statistical 
analysis; to track and evaluate services and medical care of injured or 
ill workers; to develop and manage the planning, distribution, and 
utilization of resources; and to identify clusters and outbreaks. The 
data may also be used by institutional members of an accident review 
board or an incident review board, a multidisciplinary group of health 
and safety professionals, as well as representatives from human 
resources, safety, occupational health, and infection control for the 
review of root causes of injuries. The data may also be used for 
audits, reviews, and investigations by staff of the facilities, the 
Regional Directors' Offices, VA Central Office, and the VA Office of 
Inspector General (OIG), and for quality assurance audits, reviews, and 
investigations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. VA may disclose on its own initiative any information in this 
system, except the names and addresses of veterans and their 
dependents, which is relevant to a suspected 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, 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, 
regulation, rule, or order. VA may also disclose on its own initiative 
the names and addresses of veterans and their dependents to a Federal 
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.
    2. VA may disclose information to a Congressional office from the 
record of an individual in response to an inquiry from the 
Congressional office on behalf of and at the request of that 
individual.
    3. VA may disclose information to the National Archives and Records 
Administration (NARA) in records management inspections conducted under 
authority of Title 44 of United States Code.
    4. VA may disclose information to the Department of Justice (DOJ), 
including United States Attorneys, or in a proceeding before a court, 
adjudicative body, or other administrative body when VA, its employees, 
or any of its components is a party to or has an interest in the 
litigation or the

[[Page 62350]]

adjudicative or administrative process, or when the litigation or 
process is likely to affect VA, its employees, or any of its 
components, and the use of these records is deemed to be relevant and 
necessary to the litigation or process, provided that the disclosure is 
compatible with the purpose for which the records were collected.
    5. VA may disclose information for program review purposes and the 
seeking of accreditation and/or certification 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 which 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.
    6. VA may disclose information to officials of the Merit Systems 
Protection Board (MSPB) and the Office of Special Counsel when 
requested in connection with appeals, special studies of the civil 
service and other merit systems, review of rules and regulations, 
investigation of alleged or possible prohibited personnel practices, 
and such other functions promulgated in 5 U.S.C. Sec. Sec.  1205 and 
1206, or as may be authorized by law.
    7. VA may disclose information to the Equal Employment Opportunity 
Commission (EEOC) when requested in connection with investigations of 
alleged or possible discrimination practices, examination of Federal 
affirmative employment programs, compliance with the Uniform Guidelines 
of Employee Selection Procedures, or other functions vested in the 
Commission by the President's Reorganization Plan No. 1 of 1978.
    8. VA may disclose information to the Federal Labor Relations 
Authority (FLRA), including its General Counsel, when requested in 
connection with the investigation and resolution of allegations of 
unfair labor practices or the resolution of exceptions to arbitrator 
awards when a question of material fact is raised, in matters before 
the Federal Service Impasses Panel, and to investigate representation 
petitions and conduct or supervise representation elections.
    9. VA may disclose information to individuals, organizations, 
private or public agencies, or other entities with which VA has a 
contract or agreement, or where there is a subcontract 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.
    10. VA may disclose information to labor unions operating at the 
facility level as members of institutional review boards [accident 
review boards] to review root causes of injuries.
    11. VA may disclose information to the Department of Labor for the 
electronic filing of workers compensation claims, as provided by 5 
U.S.C. 8121.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained electronically on magnetic tape, disk, or 
laser optical media with copies of back-up computer files maintained at 
off-site locations in most cases.

RETRIEVABILITY:
    Records are retrieved by name, social security number, or other 
assigned identifiers of the individuals on whom they are maintained.

SAFEGUARDS:
    1. Access to VA working and storage areas is restricted to VA 
personnel on a ``need-to-know'' basis; strict control measures are 
enforced to ensure that disclosure to these individuals is also based 
on this same principle. Generally, VA file areas are locked after 
normal duty hours, and the facilities are protected from outside access 
by the Federal Protective Service or other security personnel.
    2. Access to computer rooms at health care facilities is generally 
limited by appropriate locking devices and restricted to authorized VA 
employees and vendor personnel. Automated Data Processing (ADP) 
peripheral devices are placed in secure areas, which are locked, with 
limited access, or are otherwise protected. Records may be accessed by 
authorized VA employees, and access is controlled at two levels; the 
systems recognize authorized users by series of individually unique 
passwords/codes as a part of each data message, and access is limited 
to only those who need the information in the performance of their 
official duties. Information downloaded from ASISTS and maintained on 
personal computers is afforded similar storage and access protections 
as data maintained in the original files. Access to information stored 
on automated storage media at other VA locations is controlled by 
individually unique passwords/codes.

RETENTION AND DISPOSAL:
    The Master (National Database) and local files are cut-off at the 
end of the calendar year and destroyed or deleted 6 years after cut-
off. The Office of Public Health and Environmental Hazards in VACO 
files are destroyed or deleted when no longer needed for administrative 
and operational purposes. Back-up files are deleted when the master 
file has been deleted or replaced by a subsequent back-up file.

SYSTEM MANAGER(S) AND ADDRESS:
    Official responsible for policies and procedures: Office of Public 
Health and Environmental Hazards (13), Department of Veterans Affairs, 
810 Vermont Avenue, NW., Washington, DC 20420. Officials maintaining 
the system: Director at the facility where the employee was associated.

NOTIFICATION PROCEDURE:
    Individuals seeking information on the existence and content of a 
record pertaining to them should contact the VA facility location at 
which they are or were employed, or performed work. Inquiries should 
include the person's full name, social security number, dates of 
employment or work, and return address.

RECORD ACCESS PROCEDURE:
    (See Notification Procedure above.)

CONTESTING RECORD PROCEDURES:
    (See Notification Procedure above.)

RECORD SOURCE CATEGORIES:
    Information in this system of records is provided by employees, 
trainees, contractors, subcontractors, volunteers, and other affected 
individuals; supervisors; health and safety professionals at 
facilities; clinical personnel; workers' compensation personnel; and 
human resources staff.

 [FR Doc. E6-17756 Filed 10-23-06; 8:45 am]
BILLING CODE 8320-01-P