37VA27

Categories of individuals covered by the system:
The following categories of individuals are covered by this system: (1) A VA beneficiary (i.e., a veteran or a non-veteran adult who receives VA monetary benefits, lacks the mental capacity to manage his or her own financial affairs regarding disbursement of funds without limitation, and is either rated incompetent by VA or adjudged to be under legal disability by a court of competent jurisdiction; or a child who has not reached majority under State law and receives VA monetary benefits); (2) a VA supervised fiduciary (i.e., a VA Federal fiduciary to include legal custodians, spouse payees, superintendents of Indian reservations and custodians-in-fact appointed by VA to serve as payee of VA monetary benefits for an incompetent VA beneficiary; or a person or legal entity appointed by a State or foreign court to supervise the person and/or estate of a VA beneficiary adjudged to be under a legal disability. The statutory title of a court-appointed fiduciary may vary from State to State); (3) a chief officer of a hospital treatment, domiciliary, institutional or nursing home care facility wherein a veteran, rated incompetent by VA, is receiving care and who has contracted to use the veteran's VA funds in a specific manner; (4) a SDP (supervised direct payment) beneficiary (i.e, an incompetent adult who receives VA monetary benefits, or other individual for whom an investigation of other than a fiduciary or guardianship matter is conducted for the purpose of developing evidence to enable a VA organizational element to make administrative decisions on benefits eligibility and other issues; or, to develop evidence for further investigations of potential criminal issues.

Categories of records in the system:
The records in the Principal Guardianship Folder (PGF) are the primary records in this system. SSA derived records, as needed, are also contained in this system. These records as well as secondary files called veterans files and correspondence files may contain the following types of information: (1) Field examination reports (i.e., VA Form 27-4716a or 27-3190, Field Examination Request and Report, which contains a VA beneficiary's name, address, social security number, VA file number, an assessment of the VA beneficiary's ability to handle VA and non-BA funds, description of family relationships, economic and social adjustment data, information regarding activities, and name, address, and assessment of the performance of a VA-supervised fiduciary); (2) correspondence from and to a VA beneficiary, a VA-supervised fiduciary, and other interested third parties; (3) medical records (i.e., medical and social work service reports generated in VA, State, local, and private medical treatment facilities and private physicians' offices indicating the medical history of the VA beneficiary including diagnosis, treatment and nature of physical or mental disability); (4) financial records (e.g., accountings of a fiduciary's management of a VA beneficiary's income and estate, amount of monthly benefits received, amounts claimed for commissions by the VA-supervised fiduciary, certificates of balance on accounts from financial institutions, and withdrawal agreements between VA, financial institutions, and VA-supervised fiduciary); (5) court documents (e.g., petitions, court orders, letters of fiduciaryship, inventories of assets, and depositions); (6) contractual agreements to serve as a VA Federal Fiduciary; (7) photographs of people (incompetent beneficiaries, fiduciaries, and other persons who are the subject of a VA investigation), places, and things; (8) fingerprint records; and (9) Social Security Administration records containing information about the type and amount of SSA benefits paid to beneficiaries who are eligible to receive benefits under both VA and SSA eligibility criteria, records containing information developed by SSA about SSA beneficiaries who are in need of representative payees, accountings to SSA, and records containing information about SSA representative payees. Also contained in this system are copies of nonfiduciary program investigation records. These records are reports of field examinations or investigations performed at the request of any organizational element of VA about any subject under the jurisdiction of VA other than a fiduciary issue. In addition to copies of the reports, records may include copies of exhibits or attachments such as photographs of people places and things; sworn statements; legal documents involving loan guaranty transactions; bankruptcy; and debts owned to VA; accident reports; birth, death, and divorce records; certification of search for vital statistics documents; and beneficiary's financial statements and tax records; immigration information; and newspaper clippings.

Authority for maintenance of the system:
Title 38, United States Code, Chapter 3, section 501(a), (b); title 38, United States Code, Chapter 55.

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 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, at the initiative of VA.
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, when that information is for law enforcement investigation purposes, and such request is in writing and otherwise complies with subsection (b)(7) of the Privacy Act.
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 or instrumentality has made a written request that such name and address by provided for a purpose authorized by law, and, if the information is sought for law enforcement investigation purposes, and the request otherwise complies with subsection (b)(7) of the Privacy Act.
5. The name and address of a veteran may be disclosed to any nonprofit organization if the release is directly connected with the conduct of programs and the utilization of benefits under title 38 (such disclosures include computerized lists of names and addresses).
6. Any information in this system, including name, address, social security number, VA file number, medical records, financial records and field examination reports of a VA beneficiary, and the name, address and information regarding the activities of a VA- supervised fiduciary or beneficiary may be disclosed at the request of a VA beneficiary or fiduciary to a Federal, State, or local agency in order for VA to obtain information relevant to a VA decision concerning the payment and usage of funds payable by VA on behalf of a beneficiary, or to enable VA to assist a beneficiary or VA- supervised fiduciary in obtaining the maximum amount of benefits for a VA beneficiary from a Federal, State, or local agency.
7. Any information in this system, including name, address, social security number, VA file number, medical records, financial records and field examination reports of a VA beneficiary who is in receipt of VA and Social Security Administration (SSA) benefits concurrently, and the name, address and information regarding the activities of a VA-supervised fiduciary may be disclosed to a representative of the Social Security Administration to the extent necessary for the operation of a VA program, or to the extent needed as indicated by such representative.
8. The name and address of a VA beneficiary, VA rating of incompetency, and the field examination report may be disclosed to a Federal agency, upon its official request, in order for that agency to make decisions on such matters as competency and dependency in connection with eligibility for that agency's benefits. This information may also be disclosed to a State or local agency, upon its official request in order for that agency to make decisions on such matters as competency and dependency in connection with eligibility for that agency's benefits, if the information pertains to a VA beneficiary who is not a veteran, or if the name and address of the veteran is provided beforehand.
9. Any information in this system, including medical records, financial records, field examination reports, correspondence and court documents may be disclosed in the course of presenting evidence to a court, magistrate or administrative tribunal in matters of guardianship, inquests and commitments, and to probation and parole officers in connection with court required duties.
10. Only so much information, including information in VA records obtained from Social Security Administration, and the name and address of a VA beneficiary, fiduciary, or other person under investigation, as is necessary to obtain a coherent and informed response may be released to a third party who may have information bearing on an issue under VA investigation.
11. Any information in this system may be disclosed to a VA or court-appointed fiduciary in order for that fiduciary to perform his or her duties, provided this information will only be released when the disclosure is for the benefit of the beneficiary. Any information in this system may also be disclosed to a proposed fiduciary in order for the fiduciary to make an informed decision with regard to accepting fiduciary responsibility for a VA beneficiary.
12. Any information in this system, including medical records, correspondence records, financial records, field examination reports and court documents may be disclosed to an attorney employed by the beneficiary, or to a spouse, relative, next friend or to a guardian ad litem representing the interests of the beneficiary, provided the name and address of the beneficiary is given beforehand and the disclosure is for the benefit of the beneficiary, and the release is authorized by 38 U.S.C. 7332, if applicable. Records subject to 38 U.S.C. 7332 contain information on medical treatment for drug abuse, alcoholism, sickle cell anemia, and HIV.
13. Any information in this system may be disclosed to the Department of Justice and to U.S. Attorneys in defense of prosecution of litigation involving the United States and to Federal agencies upon their official request in connection with review of administrative tort claims filed under the Federal Tort Claims Act, 28 U.S.C. 2672, as well as other claims.
14. Any information in this system including available identifying information regarding the debtor, such as the name of the debtor, last known address of the debtor, name of debtor's spouse, social security account number, VA insurance number, VA file number, place of birth and date of birth of debtor, name and address of debtor's employer or firm and dates of employment, may be disclosed to other Federal agencies, State probate courts, State drivers license bureaus, State automobile title and license bureaus and the General Accounting Office in order to obtain current address, locator and credit report assistance in the collection of unpaid financial obligations owed the United States. The purpose is consistent with the Federal Claims Collection Act of 1966 and 38 U.S.C. 5701(b)(6).
15. Any information in this system relating to the adjudication of incompetency of a VA beneficiary either by the court of competent jurisdiction or by VA may be disclosed to a lender or prospective lender participating in the VA Loan Guaranty Program who is extending credit or proposing to extend credit on behalf of a veteran in order for VA to protect incompetent veterans from entering into unsound financial transactions which might deplete the resources of the veteran and to protect the interest of the Government giving credit assistance to a veteran.

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

Storage:
Fiduciary Program beneficiary and fiduciary information contained in the PGF, veterans' files, and correspondence files are maintained on paper documents in case folders and/or in the Fiduciary Beneficiary System (e.g., magnetic tapes, magnetic disks, and computer lists) and are stored at the regional offices (includes record information stored in the Fiduciary Beneficiary System), VA Central Office, and VA Data Processing Center at Austin, Texas. Copies of nonfiduciary program investigations and related information contained in veteran's files and correspondence files are maintained on paper documents and are stored at the regional offices and at VA Central Office.

Retrievability:
Paper documents and automated storage media are indexed by name and file number of VA beneficiary or other individual.

Safeguards:

1. The individual case folder and computer lists are generally kept in steel cabinets when not in use. The cabinets are located in areas which are locked after work hours. Access to these records is restricted to authorized VA personnel on a ``need to know'' basis. Magnetic tapes and disks, when not in use, are maintained under lock and key in areas accessed by authorized VA personnel on a ``need to know'' basis.
2. Access to the computer rooms within the regional office is generally limited by appropriate locking devices and restricted to authorized VA employees and vendor personnel. ADP peripheral devices are generally placed in secure areas (areas that are locked or have limited access) or are otherwise protected. Information in the Fiduciary Beneficiary System may be accessed by authorized VA employees. Access to file information is controlled at two levels; the system recognizes authorized employees by a series of individually unique passwords/codes and the employees are limited to only the information in the file which is needed in the performance of their official duties.
3. Access to the VA data processing center is generally restricted to center employees, custodial personnel, Federal Protective Service and other security personnel. Access to the computer rooms is restricted to authorized operational personnel through electronic locking devices. All other persons gaining access to the computer rooms are escorted.
4. Access to records in 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.

Retention and disposal:
Paper documents and computer lists are destroyed anywhere from 60 days after receipt to 2 years after VA supervision has ceased, depending on the type of record or document. Correspondence files are destroyed after 1 year, veteran files after 2 years, PGFs 2 years after the case becomes inactive. Investigations data and information obtained from SSA is destroyed according to the time standards established in the two preceding sentences. Information contained in the Fiduciary Beneficiary System is automatically purged two years after the case becomes inactive. A record is determined inactive when it comes under the provision of the Veterans Services Division General Operations Manual, M27-1, part 3, section 1, chapter 8, paragraphs 8.23-8.42.

System manager(s) and address:
Director, Veterans Assistance Service (27), VA Central Office, Washington, DC 20420.

Notification procedure:
Any 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 content of such records should submit a written request or apply in person to the nearest VA regional office or center. Addresses for VA regional offices and centers may be found in VA Appendix 1. All inquiries must reasonably identify the type of records involved, e.g., guardianship file. Inquiries should include the individual's full name, VA file number and return address. If a VA file number is not available, then as much of the following information as possible should be forwarded: Full name, branch of service, dates of service, service numbers, social security number, and date of birth.

Record access procedures:
Individuals seeking information regarding access to or contesting VA records in this system may write, call or visit the nearest VA regional office or center.

Contesting record procedures:
See records access procedures above.

Record source categories:
VA beneficiary, VA beneficiary's dependents, VA-supervised fiduciaries, field examiners, estate analysts, third parties, other Federal, State, and local agencies, and VA records.

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