[Federal Register: December 29, 2003 (Volume 68, Number 248)]
[Notices]
[Page 75028-75032]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29de03-127]
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DEPARTMENT OF VETERANS AFFAIRS
Privacy Act of 1974; System of Records
AGENCY: Department of Veterans Affairs (VA).
ACTION: Notice of amendment to system of records.
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SUMMARY: The Privacy Act of 1974 (5 U.S.C. 552a(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 amending the system of
records entitled ``Ionizing Radiation Registry--VA'' (69VA131) as set
forth Federal Register 56 FR 26186 dated June 6, 1991, and last amended
in the Federal Register 66 FR 30271-30273 dated June 5, 2001. VA is
amending the system by revising the System Location, the Categories of
Individuals Covered by this System, the Authority for Maintenance of
the System, the Purpose(s) of the system, the Routine Uses of Records
Maintained in the System, Including Categories of Users and the
Purposes of Such Uses, and the Policies and Practices for Storing,
Retrieving, Accessing, Retaining and Disposing of Records in the
System. VA is republishing the system notice in its entirety.
DATES: Comments on the amendment of this system of records must be
received no later than January 28, 2004. If no public comment is
received, the amended system will become effective January 28, 2004.
ADDRESSES: You may mail or hand-deliver written comments concerning the
proposed amended system of records to the Director, Regulations
Management (00REG1), Department of Veterans Affairs, 810 Vermont
Avenue, NW., Washington, DC 20420; or fax comments to (202) 273-9026;
or e-mail comments to ``OGCRegulations@mail.va.gov''. All relevant
material received before January 28, 2004, will be considered. Comments
will be available for public inspection at the above address in the
Office of Regulations 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 Act Officer (19F2), Department of Veterans Affairs, 810 Vermont
Avenue, NW., Washington, DC 20420, (727) 320-1839.
SUPPLEMENTARY INFORMATION: The Ionizing Radiation Registry (IRR)
program is located at the Austin Automation Center (AAC), Austin,
Texas, is an automated integrated system containing demographic and
medical data of registry examinations from 1981 through the current
date. These data were entered manually on code sheets by VA facility
staff and hard copies were sent to the AAC for entry into the IRR data
set. The IRR system of records located at VA Central Office,
Washington, DC, is an optical disk system containing images of paper
records, i.e., code sheets, medical records, correspondence and
questionnaires relating to the veterans exposed to ionizing radiation.
Once these paper records are scanned on optical disks, they are
disposed of in accordance with VHA Records Control Schedule (RCS) 10-1.
The System Location has been amended to include the IRR system's
change to a secure web-based data entry procedure. The process moved to
a secure web-based data entry system at each VA facility during the
first quarter of calendar year 2003. The secure web-based data entry
system is maintained by the AAC and provides retrievable images to
users. The optical disk system is currently being utilized where there
is no access to the secure web-based system. However, the optical disk
system is scheduled to be discontinued in 2004 and all access to the
IRR system will be through the secure web-based data entry system.
As amended by Title 38, Code of Federal Regulations, the Categories
of Individuals Covered by this System has been amended. This system
will continue to include data collected for veterans who may have been
exposed to a radiation-risk activity, as authorized by Title 38,
U.S.C., under the following conditions:
1. On-site participation in a test involving the atmospheric
detonation of a nuclear weapon, whether or not the testing nation was
the United States. Note: Reference to the timeframe
[[Page 75029]]
between 1945 and 1962 has been deleted.
2. Participation in the occupation of Hiroshima or Nagasaki from
August 6, 1945, through July 1, 1946; or
(a) Internment as a Prisoner-of-War in Japan during World War II
that the Secretary of Veterans Affairs determines resulted in an
opportunity for exposure to ionizing radiation comparable to that of
veterans involved in the occupation of Hiroshima or Nagasaki;
3. Who have received nasopharyngeal (NP) radium treatments during
active military, naval or air service.
4. Participated in radiation-risk activities, at the:
a. Department of Energy gaseous diffusion plants at Paducah, KY,
Portsmouth, OH, or K25 area at Oak Ridge, TN, for at least 250 days
before February 1, 1992;
b. Underground nuclear tests at Amchitka Island, AK, before January
1, 1974
The Categories of Individuals Covered by this System has also been
amended as this system of record describes registries, not treatment or
claims. Upon review of the system, the following former statements were
found to be no longer necessary and are being deleted:
[sbull] 3 (a) veterans who apply for hospital or nursing home care
under Title 38 United States Code, Chapter 17;
[sbull] 3 (b) files a claim for compensation under Title 38 United
States Code, Chapter 11; or
[sbull] 3 (c) dies and is survived by a spouse, child, or parent
who files a claim for dependency and indemnity compensation under Title
38 United States Code, Chapter 3;
A duplicate reference to U.S.C. 1710(e)(1)(B) in this paragraph has
also been deleted.
In addition to the categories of records maintained in the IRR
system, clinicians' names and titles are included but may not be
retrievable. Outdated information related to the estimate of the
radiation doses to which the veterans are exposed while on active
military duty has been deleted from these records.
These IRR records may have several identifiers--Department of
Defense data are identified by military service number and only 25
percent are identified by social security numbers.
The Authority for Maintenance of the System has been amended to
delete a duplicate reference to U.S.C. 1710(e)(1)(B).
The Purpose(s) of this system of records has been amended to
further define the use of the records. The purpose of this IRR system
of records is to provide information about veterans who have had an IRR
examination at a VA facility, to assist in generating hypotheses for
research studies, provide management with the capability to track
patient demographics, reported birth defects among veterans' children
or grandchildren; and radiogenic related diseases and planning and
delivery of health care services and associated costs. The records are
used to assist in generating hypotheses for research studies. Because
of the self-selected nature of the registry participants, i.e. the
individuals decide themselves to be part of the registry rather than
being ``chosen'' in a scientific manner, this group cannot be used for
scientific research. However, the IRR may assist researchers by
providing clues or suggestions of specific health problems that then
form the basis for the design and conduct of specific scientific
studies.
VA is amending the following routine use disclosures of information
to be maintained in the system:
[sbull] Routine use number nine (9) is being amended in its
entirety. VA must be able to comply with the requirements of agencies
charged with enforcing the law and conducting investigations. VA must
also be able to provide information to state or local agencies charged
with protecting the public's health as set forth in state law. The
routine use will be as follows: On its own initiative, VA may disclose
information, except for the names and home addresses of veterans and
their dependents, to a Federal, state, local, tribal or foreign 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. On its own initiative, VA may also disclose 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 issued pursuant
thereto.
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.
Under section 264, Subtitle F of Title II of the Health Insurance
Portability and Accountability Act of 1996 (HIPAA) Public Law 104-191,
100 Stat. 1936, 2033-34 (1996), the United States Department of Health
and Human Services (HHS) published a final rule, as amended,
establishing Standards for Privacy of Individually-Identifiable Health
Information, 45 CFR parts 160 and 164. VHA may not disclose
individually-identifiable health information (as defined in HIPAA and
the Privacy Rule, 42 U.S.C. 1320(d)(6) and 45 CFR 164.501) pursuant to
a routine use unless either: (a) The disclosure is required by law, or
(b) the disclosure is also permitted or required by the HHS Privacy
Rule. The disclosures of individually-identifiable health information
contemplated in the routine uses published in this amended system of
records notice are permitted under the Privacy Rule or required by law.
However, to also have authority to make such disclosures under the
Privacy Act, VA must publish these routine uses. Consequently, VA is
publishing these routine uses and is adding a preliminary paragraph to
the routine uses portion of the system of records notice stating that
any disclosure pursuant to the routine uses in this system of records
notice must be either required by law or permitted by the Privacy Rule
before VHA may disclose the covered information.
The Storage section of Policies and Practices for Storing,
Retrieving, Accessing, Retaining and Disposing of Records in the System
has been amended to address the data collection process move to a web-
based system.
Safeguards have been amended to state that data is securely located
behind the VA firewall and only accessible from the VA Local Area
Network (LAN) through the VA Intranet.
References throughout the system notice to VA Headquarters have
been amended to VA Central Office.
The Report of Intent to Publish an Amended System of Records and an
advance copy of the system notice have been sent to the appropriate
Congressional committees and to the Director of 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 18, 2003.
Anthony J. Principi,
Secretary of Veterans Affairs.
69VA131
System Name:
Ionizing Radiation Registry--VA.
[[Page 75030]]
System Location:
Character-based data from Ionizing Radiation Code Sheets are
maintained in a registry data set at the Austin Automation Center
(AAC), 1615 Woodward Street, Austin, Texas 78772. Since the data set at
the AAC is not all-inclusive, i.e., narratives, signatures, etc., noted
on the code sheets are not entered into this system, images of the code
sheets are maintained at the Department of Veterans Affairs,
Environmental Agents Service (131), 810 Vermont Avenue, NW.,
Washington, DC 20420. These are electronic images of paper records,
i.e., code sheets, medical records, questionnaires and correspondence
that are stored on optical disks.
The secure web-based data entry system is maintained by the AAC and
provides retrievable images to users. The optical disk system is
currently being utilized where there is no access to the secure web-
based system. However, the optical disk system is scheduled to be
discontinued in 2004 and all access to the Ionizing Radiation Registry
(IRR) system will be through the secure web-based data entry system.
Categories of individuals covered by this system:
Veterans who may have been exposed to ionizing radiation while on
active military duty and have had an IRR examination at a Department of
Veterans Affairs (VA) medical facility under conditions described in
Title 38 United States Code (U.S.C.) 1710(e)(1)(B) and 1720E. These
conditions include:
1. On-site participation in a test involving the atmospheric
detonation of a nuclear device at a nuclear device testing site--the
Pacific Island, e.g., Bikini, New Mexico, Nevada, etc. (whether or not
the testing nation was the United States);
2. Participation in the occupation of Hiroshima or Nagasaki, Japan,
from August 6, 1945, through July 1, 1946;
(a) Internment as a POW in Japan during World War II which the
Secretary of Veterans Affairs determines resulted in an opportunity for
exposure to ionizing radiation comparable to that of veterans involved
in the occupation of Hiroshima or Nagasaki, Japan;
3. Treatment with nasopharyngeal (NP) radium irradiation while in
the active military, naval or air service; and
4. Participated in radiation-risk activities at the:
(a) Department of Energy gaseous diffusion plants at Paducah, KY,
Portsmouth, OH, or K25 area at Oak Ridge, TN, for at least 250 days
before February 1, 1992;
(b) Underground nuclear tests at Amchitka Island, AK, before
January 1, 1974.
Categories of records in the system:
These records consist of code sheet records containing VA facility
code identifier where the veteran was examined or treated; veteran's
name; address; social security number; military service serial number;
claim number; date of birth; telephone number; sex; report of birth
defects among veteran's children or grandchildren; dates of medical
examinations; consultations; radiogenic related diseases; and name and
signature of examiner/physician coordinator.
In addition, there may be medical records with information relating
to the examination and/or treatment, including laboratory findings on
vision, hearing, blood tests, electrocardiograms, chest x-rays,
urinalysis, laboratory report displays, medical certificates to support
diagnosis; progress notes; military unit assignments; questionnaires;
correspondence relating to veteran's exposure history; personal
history, e.g., education, marital status, occupational history, family
history, complaints/symptoms; personal medical history, habits,
recreation, reproductive and family history, physical measurements;
military discharge records; and VA claims for compensation.
Authority for maintenance of the system:
Title 38, United States Code (U.S.C.) 1710(e)(1)(B) and 1720E.
Purpose(s):
The records will be used for the purpose of providing information
about veterans who have had an IRR examination at a VA facility;
assisting in generating hypotheses for research studies; providing
management with the capability to track patient demographics, and
radiogenic related diseases; and planning and delivery of health care
services and associated costs. The records are used to assist in
generating hypotheses for research studies. Because of the self-
selected nature of the registry participants, i.e., the individuals
decide themselves to be part of the registry rather than being
``chosen'' in a scientific manner, this group cannot be used for
scientific research. However, the IRR may assist researchers by
providing clues or suggestions of specific health problems that then
form the basis for the design and conduct of specific scientific
studies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
VA may disclose protected health information pursuant to the
following routine uses where required by law, or required or permitted
by 45 CFR parts 160 and 164.
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 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 standing 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. 5701(f).
4. Disclosure may be made to the National Archives and Records
Administration (NARA) in records management inspections conducted under
authority of Title 44 U.S.C.
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.
[[Page 75031]]
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(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 insure the appropriateness of the
disclosure to the contractor.
7. 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 VA to respond to and comply with the
issuance of a Federal subpoena.
8. Any information in this system may be disclosed to a state or
municipal grand jury, a state or municipal court or a party in a
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 VA to respond to and
comply with the issuance of a state or municipal subpoena; provided,
that any disclosure or claimant information made under this routine use
must comply with the provisions of 38 CFR 1.511.
9. VA may disclose on its own initiative any information in this
system, except the names and home 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, to a Federal, State, local, tribal, 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. On its own initiative, VA may
also disclose 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
issued pursuant thereto.
10. 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.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
In 2003, the data collection process moved to a secure web-based
system. Data previously recorded manually and converted to electronic
format is now input through the secure VA Intranet system. Data is
stored on a web server hosted by the AAC and is retrievable by the
facility. Three levels of access are provided for the data that is
input, using password security linked to the AAC Top Secret Security
system, with mandated changes every 90 days. Data from individual
facilities is uploaded nightly and stored 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.
The optical disk system is currently being utilized where there is
no access to the secure web-based system. The optical disk system is
scheduled to be discontinued in 2004 and all access to the IRR system
will be through the secure web-based data entry system. Records will be
maintained and disposed of in accordance with records disposition
authority approved by the Archivist of the United States.
Retrievability:
Documents are retrieved by name of veteran, social security number
and service serial number.
Safeguards:
Access to records at 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.
Data is securely located behind the VA firewall and only accessible
from the VA Local Area Network (LAN) through the VA Intranet. 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 read-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, 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. A disaster recovery plan is
in place and system recovery is tested at an off-site facility in
accordance with established schedules.
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:
Program Chief for Clinical Matters, Office of Public Health and
Environmental Hazards (13) (for clinical issues) and Management/Program
Analyst, Environmental Agents Service (131) (for 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 personal
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
Program Chief for Clinical Matters, Office of Public Health and
Environmental Hazards (13) 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, service serial 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
Program Chief for
[[Page 75032]]
Clinical Matters, Office of Public Health and Environmental Hazards
(13) or the Management/Program Analyst, Environmental Agents Service
(131), VA Central Office, 810 Vermont Avenue, NW., Washington, DC
20420.
Contesting records procedures:
Refer to previous item ``Record Access Procedures.''
Record 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. 03-31813 Filed 12-24-03; 8:45 am]
BILLING CODE 8320-01-P