Notice2023-14569
Privacy Act of 1974; System of Records
Primary source
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Published
July 11, 2023
Issuing agencies
Veterans Affairs Department
Abstract
Pursuant to the Privacy Act of 1974, notice is hereby given that the Department of Veterans Affairs (VA) proposes to modify an existing system of records, "Veterans Appellate Records System--VA" (44VA01). This system is used by the Board of Veterans' Appeals (Board) to process and track appeals, hearing requests, and information related to appeals of benefits decisions issued by the Veterans Benefits Administration (VBA), Veterans Health Administration (VHA), and National Cemetery Administration (NCA).
Full Text
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<title>Federal Register, Volume 88 Issue 131 (Tuesday, July 11, 2023)</title>
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[Federal Register Volume 88, Number 131 (Tuesday, July 11, 2023)]
[Notices]
[Pages 44185-44189]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-14569]
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DEPARTMENT OF VETERANS AFFAIRS
Privacy Act of 1974; System of Records
AGENCY: Board of Veterans' Appeals (Board), Department of Veterans
Affairs (VA).
ACTION: Notice of a modified system of records.
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SUMMARY: Pursuant to the Privacy Act of 1974, notice is hereby given
that the Department of Veterans Affairs (VA) proposes to modify an
existing system of records, ``Veterans Appellate Records System--VA''
(44VA01). This system is used by the Board of Veterans' Appeals (Board)
to process and track appeals, hearing requests, and information related
to appeals of benefits decisions issued by the Veterans Benefits
Administration (VBA), Veterans Health Administration (VHA), and
National Cemetery Administration (NCA).
DATES: Comments on this modified system of records must be received no
later than 30 days after date of publication in the Federal Register.
If no public comment is received during the period allowed for comment
or unless otherwise published in the Federal Register by VA, the
modified system of records will become effective a minimum of 30 days
after date of publication in the Federal Register. If VA receives
public comments, VA shall review the comments to determine whether any
changes to the notice are necessary.
ADDRESSES: Comments may be submitted through <a href="http://www.Regulations.gov">www.Regulations.gov</a> or
mailed to VA Privacy Service, 810 Vermont Avenue NW, (005R1A),
Washington, DC 20420. Comments should indicate that they are submitted
in response to ``Veterans Appellate Records System--VA'' (44VA01).
Comments received will be available at <a href="http://regulations.gov">regulations.gov</a> for public
viewing, inspection or copies.
FOR FURTHER INFORMATION CONTACT: Kary Charlebois,
<a href="/cdn-cgi/l/email-protection#d19ab0a3a8ff92b9b0a3bdb4b3beb8a291a7b0ffb6bea7"><span class="__cf_email__" data-cfemail="a5eec4d7dc8be6cdc4d7c9c0c7caccd6e5d3c48bc2cad3">[email protected]</span></a>, Chief, Privacy Act & FOIA, Board of Veterans'
Appeals, Department of Veterans Affairs, 810 Vermont Avenue NW,
Washington, DC 20420, (202) 382-2906.
SUPPLEMENTARY INFORMATION: The Board proposes to add records from two
new IT systems to this system of records:
1. The first new IT system is Caseflow, which is the Board's
appeals management system, used to track and process appeals
adjudicated under the Veteran Appeals Improvement and Modernization Act
of 2017 (AMA), or the modernized system.
2. The second new IT system is the Veterans Benefits Management
System (VBMS). The Board utilizes the VBMS eFolder to store files
related to appeals from non-VBMS business lines, such as the Veterans
Health Administration (VHA). Storing the electronic files in VBMS
allows for adjudication of the appeal utilizing Caseflow, which pulls
from VBMS.
The Board proposes to add a new routine as routine use #19 which
will permit the release of information from this system of records to
the Office of Personnel Management (OPM) in connection with the
application or effect of civil service laws, rules, regulations, or OPM
guidelines in particular situations.
The Board is removing routine use #14 covering disclosure to the
Comptroller General.
The Board is also revising the following routine uses:
1. Routine use #1 has been renumbered as routine use #5, to alert
law enforcement personnel and security guards to the presence of
dangerous persons in VA facilities or at VA activities conducted in
non-VA facilities.
2. Routine use #2 has been revised and renumbered as routine use #4
for disclosure of information relevant to a suspected or reasonably
imminent violation of law.
3. Routine use #3 has been renumbered as routine use #13 for
disclosure for the development of a claimant's claim for VA benefits.
4. Routine use #4 has been revised and renumbered as routine use
#1, for disclosure to a congressional office.
5. Routine use #5 has been revised and renumbered as routine use
#11, for disclosure to the National Archives and Records
Administration.
6. Routine use #6 has been renumbered as routine use #14, for
disclosure to a former representative of a beneficiary.
7. Routine use #7 has been renumbered as routine use #15, for
disclosure related to the legality or ethical propriety of the conduct
of a person or organization prospectively, presently, or formerly
representing a person in a matter before VA.
8. Routine use #8 has been renumbered as routine use #16, for
disclosure to the VA-appointed representative of an employee.
9. Routine use #9 has been revised and renumbered as routine use
#10 for disclosure to the Merit Systems Protection Board.
10. Routine use #10 has been revised and renumbered as routine use
#8 for disclosure to the Equal Employment Opportunity Commission.
11. Routine use #11 has been revised and renumbered as routine use
#9 for disclosure to the Federal Labor Relations Authority.
12. Routine use #12 has been renumbered as routine use #17 for
disclosure to the United States Court of Appeals for Veterans Claims.
13. Routine use #13 has been revised and renumbered as routine use
#18, for disclosure to accredited service organizations, VA-approved
claim agents, and attorneys acting under a declaration of
representation.
14. Routine use #15 has been revised and renumbered as routine use
#6, for disclosure to the Department of Justice, or in a proceeding
before a court, adjudicative body, or other administrative body before
which VA is authorized to appear.
15. Routine use #16 has been revised and renumbered as routine use
#7 for disclosure to contractors and others doing work for VA.
16. Routine use #17 has been renumbered as routine use #12 for
disclosure to other Federal agencies to assist in preventing and
detecting possible fraud or abuse.
17. Routine use 18 has been removed and replaced with routine uses
#2 and #3, for VA data breach response and remediation, and for data
breach
[[Page 44186]]
response and remediation for another federal agency.
Signing Authority
The Senior Agency Official for Privacy, or designee, approved this
document and authorized the undersigned to sign and submit the document
to the Office of the Federal Register for publication electronically as
an official document of the Department of Veterans Affairs. Kurt D.
DelBene, Assistant Secretary for Information and Technology and Chief
Information Officer, approved this document on May 31, 2023 for
publication.
Dated: July 6, 2023.
Amy L. Rose,
Government Information Specialist, VA Privacy Service, Office of
Compliance, Risk and Remediation, Office of Information and Technology,
Department of Veterans Affairs.
SYSTEM NAME AND NUMBER:
Veterans Appellate Records System--VA (44VA01).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Board of Veterans' Appeals (Board), Department of Veterans Affairs
(VA), 810 Vermont Avenue NW, Washington, DC 20420, at the Wilkes-Barre
VA facility, 1127 East End Boulevard, Building 42, Wilkes-Barre, PA
18702, and with the Board's contractor, Promisel & Korn, Inc., 3228
Amberley Lane, Fairfax, VA 22031, and in the VA Enterprise Cloud (VAEC)
AWS GovCloud region in Oregon.
SYSTEM MANAGER(S):
Chairman (01), and Eric Hickam, <a href="/cdn-cgi/l/email-protection#a1e4d3c8c28fe9c8c2cac0cce1d7c08fc6ced7"><span class="__cf_email__" data-cfemail="4c093e252f6204252f272d210c3a2d622b233a">[email protected]</span></a>, 512-375-2520,
Board of Veterans' Appeals, Department of Veterans Affairs, 810 Vermont
Avenue NW, Washington, DC 20420.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title 38 U.S.C. chapter 71, Sec. 5904.
PURPOSE(S) OF THE SYSTEM:
Initial decisions on claims for Federal Veterans' benefits are made
at VA field offices throughout the nation. Claimants may appeal those
decisions to the Board of Veterans' Appeals. See 38 U.S.C. Chapter 71.
The Board gathers or creates the records in this system in order to
carry out its appellate function, to statistically evaluate the
appellate process, and to evaluate employee performance.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Veterans and other individuals who have sought to appeal a decision
by the Secretary under a law that affects the provision of benefits by
the Secretary to Veterans or the dependents or survivors of Veterans as
described in 38 U.S.C. 511(a); Veterans Law Judges; Board employees;
representatives of individuals covered by the system; personal and
medical information of non-Veteran appellants and other parties to the
appeal, including dependents; applicants and participants in the
caregiver programs described in 38 U.S.C. 1720G; contesting claimants;
and representatives.
CATEGORIES OF RECORDS IN THE SYSTEM:
The record may include military service and active duty separation
information (e.g., name, service number, date of birth, rank, sex,
total amount of active service, branch of service, character of
service, pay grade, assigned separation reason, service period, whether
Veteran was discharged with a disability, reenlisted, received a Purple
Heart or other military decoration); payment information (e.g., Veteran
payee name, address, dollar amount of readjustment service pay, amount
of disability or pension payments, number of nonpay days, any amount of
indebtedness (accounts receivable) arising from title 38 U.S.C.
benefits and which are owed to the VA); medical information (e.g.,
medical and dental treatment in the Armed Forces including type of
service-connected disability, medical facilities, or medical or dental
treatment by VA health care personnel or received from private
hospitals and health care personnel relating to a claim for VA
disability benefits or medical or dental treatment); personal
information (e.g., marital status, name and address of dependents,
internet protocol addresses, occupation, amount of education of a
Veteran or a dependent, dependent's relationship to Veteran); education
benefit information (e.g., information arising from utilization of
training benefits such as a Veteran trainee's induction, reentrance or
dismissal from a program or progress and attendance in an education or
training program); applications for compensation, pension, education
and employment benefits and training which may contain identifying
information, military service and active duty separation information,
payment information, medical and dental information, personal and
education benefit information relating to a Veteran or beneficiary's
incarceration in a penal institution (e.g., name of incarcerated
Veteran or beneficiary, claims file number, name and address of penal
institution, date of commitment, type of offense, scheduled release
date, Veteran's date of birth, beneficiary relationship to Veteran and
whether Veteran or beneficiary is in a work release or half-way house
program, on parole or has been released from incarceration); case notes
from the e-VA application created from email and text message
correspondence through the application; degree audits and copies of
grades for Veterans and dependents enrolled in school; training records
for Veterans and dependents participating in training programs.
The record, or information contained in the record, may also
include copies of VA decisions and adjudications; transcripts of
hearings; powers of attorney and attorney fee agreements; information
on and dates of procedural steps taken in claims and appeals; records
of and electronic copies of correspondence concerning appeals; diary
entries, notations of mail received, information requests; tracking
information as to file location; docket type and number; queue workflow
information (e.g., type of review; appeal number; status; Caseflow task
action); certification information (e.g., representative name, type,
and certification ID number); Board hearing information (e.g., type of
hearing; status; participants; hearing notes); dispatch information;
and employee productivity information.
Material in this system that is not maintained in Veterans Appeals
Control and Locator System (VACOLS) includes verbatim digital
recordings of hearings that are maintained indefinitely, microfiche
decision locator tables and indices to decisions from 1983 to 1994, and
microfiche reels with texts of decisions from 1977 to 1989.
RECORD SOURCE CATEGORIES:
Information in this system is provided by Veterans, Servicemembers,
Reservists, spouses, surviving spouses, dependents and other
beneficiaries of the Veteran, applicants for caregiver benefits
described in 38 U.S.C. 1720G, accredited service organizations and
other VA-approved representatives of the Veteran, VA-supervised
fiduciaries (e.g., VA Federal fiduciaries, court-appointed
fiduciaries), military service departments, VA medical facilities and
physicians, private medical facilities and physicians, education and
rehabilitation training establishments, State and local agencies, other
Federal agencies including the Department of Defense (DoD), Social
Security Administration (SSA); U.S. Treasury Department, State, local,
and county courts and clerks, Federal, State, and local penal
institutions and correctional facilities, other third parties and other
[[Page 44187]]
VA records, Office of Servicemembers' Group Life Insurance (OSGLI);
commercial insurance companies; undertakers; lending institutions
holding a Veteran's or uniformed services member's mortgage; VA Loan
Guaranty records; contractors remodeling or enlarging or adding
construction to existing homes; relatives and other interested persons;
Westlaw and InfoUSA; Inquiry Routing & Information System (IRIS)
(maintained under System of Records ``151VA005OP6'' by the Office of
Information & Technology), brokers and builder/sellers, credit and
financial reporting agencies, an applicant's credit sources, depository
institutions and employers, independent auditors and accountants,
hazard insurance companies, taxing authorities, title companies, fee
personnel, business and professional organizations, the general public,
and other parties of interest involving VA-guaranteed, insured, vendee
or direct loans or specially adapted housing; Veterans Benefits
Management System (VBMS) (maintained under System of Records ``58VA21/
22/28'' by the Veterans Benefits Administration); VA Fiduciary
beneficiaries, VA beneficiaries' dependents, VA-appointed fiduciaries,
individuals who were previously VA-appointed fiduciaries, individuals
who VA considered for service as a VA-appointed fiduciary but did not
select, field examiners, legal instrument examiners, fiduciary program
personnel, third parties, other Federal, State, and local agencies, and
VA records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
1. To a Member of Congress or staff acting upon the Member's behalf
when the Member or staff requests the information on behalf of, and at
the request of, the individual who is the subject of the record.
2. To appropriate agencies, entities, and persons when (1) VA
suspects or has confirmed that there has been a breach of the system of
records, (2) VA has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, VA (including
its information systems, programs, and operations), the Federal
Government, or national security; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with VA's efforts to respond to the suspected or confirmed
breach or to prevent, minimize, or remedy such harm.
3. To another Federal agency or Federal entity, when VA determines
that information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
4. To a Federal, state, local, territorial, tribal, or foreign law
enforcement authority or other appropriate entity charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing such law, provided that the
disclosure is limited to information that, either alone or in
conjunction with other information, indicates a violation or potential
violation of law, whether civil, criminal, or regulatory in nature. The
disclosure of the names and addresses of Veterans and their dependents
from VA records under this routine use must also comply with the
provisions of 38 U.S.C. 5701.
5. To law enforcement personnel and security guards may be made in
order to alert them to the presence of dangerous persons in VA
facilities or at VA activities conducted in non-VA facilities.
6. To the Department of Justice (DoJ), or in a proceeding before a
court, adjudicative body, or other administrative body before which VA
is authorized to appear, when:
a. VA or any component thereof;
b. Any VA employee in his or her official capacity;
c. Any VA employee in his or her individual capacity where DoJ has
agreed to represent the employee; or
d. The United States, where VA determines that litigation is likely
to affect the agency or any of its components is a party to such
proceedings or has an interest in such proceedings, and VA determines
that use of such records is relevant and necessary to the proceedings.
7. To contractors, grantees, experts, consultants, students, and
others performing or working on a contract, service, grant, cooperative
agreement, or other assignment for VA, when reasonably necessary to
accomplish an agency function related to the records.
8. To the Equal Employment Opportunity Commission (EEOC) in
connection with investigations of alleged or possible discriminatory
practices, examination of Federal affirmative employment programs, or
other functions of the Commission as authorized by law.
9. To the Federal Labor Relations Authority (FLRA) in connection
with the investigation and resolution of allegations of unfair labor
practices, the resolution of exceptions to arbitration awards when a
question of material fact is raised, matters before the Federal Service
Impasses Panel, and the investigation of representation petitions and
the conduct or supervision of representation elections.
10. To the Merit Systems Protection Board (MSPB) 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 authorized by law.
11. To the National Archives and Records Administration (NARA) in
records management inspections conducted under 44 U.S.C. 2904 and 2906,
or other functions authorized by laws and policies governing NARA
operations and VA records management responsibilities.
12. To other Federal agencies may be made to assist such agencies
in preventing and detecting possible fraud or abuse by individuals in
their operations and programs.
13. To a Veteran, claimant or a third party claimant (e.g., a
Veteran's survivors or dependents) to the extent necessary for the
development of that claimant's claim for VA benefits.
14. A record from this system (other than the address of the
beneficiary) may be disclosed to a former representative of a
beneficiary to the extent necessary to develop and adjudicate a claim
for payment of attorney fees to such representative from past due
benefits under 38 U.S.C. 5904(d).
15. Where VA determines that there is good cause to question the
legality or ethical propriety of the conduct of a person or
organization prospectively, presently or formerly representing a person
in a matter before VA, a record from this system may be disclosed, on
VA's initiative, to any or all of the following: (1) Applicable civil
or criminal law enforcement authorities; (2) a person or entity
responsible for the licensing, supervision, or professional discipline
of the person or organization prospectively, presently or formerly
representing a person in a matter before VA; (3) to other Federal and
State agencies and to Federal courts when such information may be
relevant to the individual's or organization's provision of
representational services before such agency or court. Names and home
[[Page 44188]]
addresses of Veterans and their dependents will be released on VA's
initiative under this routine use only to Federal entities.
16. To the VA-appointed representative of an employee, including
all notices, determinations, decisions, or other written communications
issued to the employee in connection with an examination ordered by VA
under medical evaluation (formerly fitness-for duty) examination
procedures or Department-filed disability retirement procedures.
17. To the United States Court of Appeals for Veterans Claims when
requested by the Court to further the performance of its duties as
delineated in Chapter 72 of Title 38 of the United States Code
Annotated with respect to any action brought under that chapter.
18. To accredited service organizations, VA-approved claim agents,
and attorneys acting under a declaration of representation, so that
these individuals can aid claimants in the preparation, presentation,
and prosecution of claims under the laws administered by VA upon the
request of the claimant and provided that the disclosure is limited to
information relevant to a claim, such as the name, address, the basis
and nature of a claim, amount of benefit payment information, medical
information, and military service and active duty separation
information.
19. To the Office of Personnel Management (OPM) in connection with
the application or effect of civil service laws, rules, regulations, or
OPM guidelines in particular situations.
Note: Any record maintained in this system of records, which may
include information relating to drug abuse, alcoholism or drug abuse,
infection with the human immunodeficiency virus, or sickle cell anemia
will be disclosed pursuant to an applicable routine use for the system
only when permitted by 38 U.S.C. 7332.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Information is kept in a computer database entitled VACOLS and
backed up on database backup server. Archived records that were created
prior to expansion of the Board's electronic storage capability may be
stored in filing folders or cabinets, microfiche, computer disks, or
computer tape. Hearings before the Board are digitally recorded and
stored indefinitely. Where a facility must use audio tape to record
hearings, the recording is maintained for one year after which period
it is destroyed. A transcript is made for each hearing held and is
electronically attached to the record in VACOLS and/or VBMS. Digital
recordings of hearings are maintained on a back-up server. Under the
Vital Records Schedule, electronic back-up tapes are updated quarterly.
Caseflow information is stored in a database on the AWS GovCloud.
The database is backed up in near real time data for failovers and
recovery. Caseflow digitally stores all information on the AWS
GovCloud. Virtual hearing audio files are digitally recorded and stored
in the Cloud indefinitely. A digital transcript is made for each
hearing held and it is electronically stored in VBMS eFolder. VBMS
eFolder is the official copy of record for adjudicating claims for VA.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
VACOLS records in this system may be retrieved by any searchable
field in the VACOLS database. This system notice covers only
information retrieved by an individual's name or other identifier.
Archived material from this system that is not in VACOLS may be
retrieved by Veteran's name, VA file number, or Board archive citation
number.
Caseflow records stored in the database are retrieved by any
searchable field in the Caseflow application. This system covers
information retrieved by an individual's name or other identifier.
Caseflow application access is controlled by Common Security Employee
Manager (CSEM) and roles define the level of access within the Caseflow
application. Caseflow is an internal VA application.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records in this system, in VACOLS, and those collected prior to
VACOLS' use as a repository are retained indefinitely as Category B
Vital Records unless otherwise specifically noted. Under the Vital
Records Schedule, electronic backups are destroyed by erasure upon
receipt of the next quarterly electronic back up set. Recordings of
hearings will be made as described in Rule 714, 38 CFR 20.714, and
transcriptions of recordings of hearings will be attached
electronically in VACOLS and/or VBMS. Electronic recordings of hearings
will be retained for at least one year from the date of the hearing,
giving the hearing subject the opportunity to challenge the accuracy of
the transcript. Records in the Caseflow system are stored and backed up
in AWS GovCloud and the electronic recordings of hearings will be
retained indefinitely as archive in AWS GovCloud.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Files are under custody of designated VA employees, including
employees of the Board and its contractor, all of whom have a need to
know the contents of the system of records in order to perform their
duties. Access to VACOLS is strictly limited to reflect the need
individual employees have for the different records in the system.
Where a Veterans Service Organization office is located in a VA
facility and has access to VACOLS through the Wide Area Network, that
access is strictly limited to viewing records of current clients of the
organization. No personal identifiers are used in statistical and
management reports, and personal identifiers are removed from all
archived Board decisions and other records in this system before VA
makes them available to the public. Files kept by the contractor are in
a locked safe in locked rooms in a secured building. Caseflow is a
cloud application and the Cloud data center physical security begins at
the Perimeter Layer restricting physical access.
RECORD ACCESS PROCEDURES:
Individuals seeking information regarding access to information
contained in this system of records may write or call the Board of
Veterans' Appeals Freedom of Information Act Officer, whose address and
telephone number are as follows: Freedom of Information Act Officer
(01C1), Board of Veterans' Appeals, 810 Vermont Avenue NW, Washington,
DC 20420; (202) 382-2906.
CONTESTING RECORD PROCEDURES:
(See notification procedures above.)
NOTIFICATION PROCEDURES:
An individual desiring to know whether this system of records
contains a record pertaining to him or her, how she or he may gain
access to such a record, and how she or he may contest the content of
such a record may write to the following address: Privacy Act Officer
(01C1), Board of Veterans' Appeals, 810 Vermont Avenue NW, Washington,
DC 20420. The following information, or as much as is available, should
be furnished in order to identify the record: Name of Veteran, name of
appellant other than the Veteran (if any), and Department of Veterans
Affairs file number. For information about hearing transcripts or tape
recordings, also furnish the date, or the approximate date, of the
hearing.
[[Page 44189]]
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
November 16, 2013, at 78 FR 66803.
[FR Doc. 2023-14569 Filed 7-10-23; 8:45 am]
BILLING CODE 8320-01-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.