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Office Of Information & Technology (OI&T)

System of Records (SOR)

16VA026 - Litigant, Tort Claimant, EEO Complainant and Third Party Recovery Files-VA

System location:
Litigant, tort claimant and third party recovery files are maintained at the Office of General Counsel (026), VA Central Office, Washington, D.C. 20420, and Offices of the District Counsels. Addresses for District Counsel offices may be obtained by contacting the above-mentioned Office of General Counsel address. Equal Employment Opportunity (EEO) complaint files are maintained in the Office of General Counsel only.

Categories of individuals covered by the system:
The following categories of individuals are covered by this system: (1) Litigants; (2) claimants under the Federal Tort Claims Act, EEO complainants; and (3) veterans involved in third party recovery cases brought by or against the Government and affecting the VA.

Categories of records in the system:
Records (or information contained in records) may include: (1) Pleadings; (2) opinions; (3) briefs; (4) decisions; and (5) evidentiary and nonevidentiary matter relating to a case or controversy in an administrative or litigation proceeding (e.g., witness statements, agency reports, EEO Counselor's reports, recommending findings by the EEO Commission, and other supporting material).

Authority for maintenance of the system:
Title 38, United States Code, 210(c), 29 CFR 1613.222 (EEO cases commenced under 42 U.S.C. 2000e-16).

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 or staff person requesting the record on behalf of and at the request of that individual.
  2. Any information in this system, except for the name and address of a veteran, which is relevant to a suspected violation or reasonably imminent violation of law, whether civil, criminal or regulatory in nature and whether arising by general or program statute or by regulation, rule or order issued pursuant thereto, may be disclosed to a Federal, State, local or foreign agency charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto.
  3. The name and address of a veteran, which is relevant to a suspected violation or reasonably imminent violation of law, whether civil, criminal or regulatory in nature and whether arising by general or program statute or by regulation, rule or order issued pursuant thereto, may be disclosed to a Federal agency charged with the responsibility of investigating or prosecuting such violation, or charged with enforcing or implementing the statute, regulation, rule or order issued pursuant thereto, in response to its official request.
  4. The name and address of a veteran, which is relevant to a suspected violation or reasonably imminent violation of law concerning public health or safety, whether civil, criminal or regulatory in nature and whether arising by general or program statute or by regulation, rule or order issued pursuant thereto, may be disclosed to any foreign, State or local governmental agency or instrumentality charged under applicable law with the protection of the public health or safety if a qualified representative of such organization, agency of instrumentality has made a written request that such name and address be provided for a purpose authorized by law.
  5. Pleadings, opinions, briefs, decisions and evidentiary and nonevidentiary matters may be disclosed to a Federal agency upon its official request to enable that agency to properly prepare a particular case or controversy regarding an administrative claim filed under the Federal Tort Claims Act or a debt collection proceeding under the Federal Medical Care Recovery Act.
  6. Pleadings, opinions, briefs, decisions and evidentiary and nonevidentiary matter may be disclosed to a Federal agency to enable the VA to obtain records necessary for the VA to properly prepare a particular case or controversy under the Federal Tort Claims Act or a proceeding under the Federal Medical Care Recovery Act.
  7. Pleadings, opinions, briefs, decisions and evidentiary and nonevidentiary matter may be disclosed to a Federal or a State court to enable the VA to file pleadings, comply with rules and procedures of the court, or to respond to a request from the court in any case or controversy.
  8. Pleadings, opinions, briefs, decisions and matters of evidentiary and nonevidentiary matter may be disclosed to a Federal, State, local, or foreign agency, insurance carriers, other individuals from whom the VA is seeking reimbursement and other parties litigant or having an interest in administrative, prelitigation, litigation and post-litigation phases of a case or controversy, provided, that the name and address of a veteran can only be disclosed under this routine use if the release is for a VA debt collection proceeding, or if the name and address has been provided to the VA by the party seeking the information.
  9. EEO complaint records, including the identities of the complainant and the witnesses, the complaints, investigation reports, General Counsel decisions, recommended findings by the EEOC, agency (VA) comments and other supporting material, may be disclosed to representatives of the complainant, and to Department of Justice and to other Federal agencies in order to inform them of the matters in the complaint and to apprise the parties if the identities of the complainant and witnesses.
  10. Any information in this system may be disclosed to the Department of Justice (DOJ) including U.S. Attorneys upon its official request in order for the VA to respond to pleadings, interrogatories, orders or inquiries from the Department of Justice, and to supply the DOJ with information, to enable the DOJ to represent the U.S. Government in any phase of litigation or in any case or controversy involving the VA.
  11. Any information in this system may be disclosed to a Federal grand jury. A Federal court or a party in litigation, or a Federal agency or party to an administrative proceeding being conducted by a Federal agency, in order for the VA to respond to and comply with the issuance of a Federal subpoena.
  12. Any information in this system may be disclosed to a State or municipal grand jury, a State or municipal court or a party in litigation, or to a state or municipal administrative agency functioning in a quasi-judicial capacity or a party to a proceeding being conducted by such agency, in order for the VA to respond to and comply with the issuance of a State or municipal subpoena; provided, that any disclosure of claimant information made under this routine use must comply with the provisions of 38 CFR 1.511.
  13. Any information in this system may be disclosed in connection with any proceeding for the collection of an amount owned to the United States by virtue of a person's participation in any benefit program administered by the Veterans Administration when in the judgment of the Administrator, or an official generally delegated such authority under standard agency delegation of authority rules (38 CFR 2.6), such disclosure is deemed necessary and proper, in accordance with 38 U.S.C. 3301(b)(6).
  14. The name and address of a veteran, and other information as is reasonably necessary to identify such veteran, may be disclosed to a consumer reporting agency for the purpose of locating the veteran, or, obtaining a consumer report to determine the ability of the veteran to repay an indebtedness to the United States arising by virtue of the veteran's participation in a benefits program administered by the VA, provided that the requirements of 38 U.S.C. 3301 (g)(2) have been met.
  15. The name and address of a veteran, other information as is reasonably necessary to identify such veteran, and any information concerning the veteran's indebtedness to the United States by virtue of the person's participation in a benefits program administered by the VA may be disclosed to a consumer reporting agency for purposes of assisting in the collection of such indebtedness, provided that the provision of 38 U.S.C. 3301(g)(4) have been met.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Retrievability:
Records are maintained in alphabetical order by last name of an individual covered by the system.

Safeguards:
Records are maintained in a manned room during working hours. During nonworking hours, the file area is locked, and the building is protected by the Federal Protective Service. Access to the records is only authorized to VA personnel on a ``need to know'' basis.

Retention and disposal:

Upon completion of a case, except for precedent-setting cases (which are maintained permanently), records are treated as follows:
In Central Office, litigation, tort claimant and third-party recovery files are maintained in the Office of General Counsel for two years, retired to the Washington National Federal Records Center for five years and then destroyed. EEO complainant records are maintained in the Office of General Counsel until the close of the complaint, sent to the VACO Records Management Section for four years, then destroyed.

In District Counsel Offices, civil litigation and third-party recovery files are maintained in the affected District Counsel Office for two years, then destroyed. Tort claimant files are maintained in the affected District Counsel Office for one year, retired to the appropriate Federal Records Center for five years, then destroyed. Criminal litigation prosecution files are maintained in the affected District Counsel Office for three years, then destroyed.

System manager(s) and address:
Assistant General Counsel (026), Professional Staff Group VI, Office of General Counsel, VA Central Office, Washington, DC 20420.

Notification procedure:
An individual who wishes to determine whether a record is being maintained by the Assistant General Counsel (026), under his or her name or other personal identifier or wants to determine the contents of such records should submit a written request or apply in person to the Assistant General Counsel (026).

Record access procedures:
An individual who seeks access to or wishes to contest records maintained under his or her name or other personal identifier may write, call or visit the Assistant General Counsel (026).

Contesting record procedures:
(See Record Access Procedures above.)

Record source categories:
Courts, claimants, litigants, complainants and their representatives or attorneys, other Federal agencies, insurance carriers, witnesses and other interested participants to the proceedings and VA records.


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