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System of Records (SOR)
11VA51 - Investigation Reports of Persons Allegedly Involved in Irregularities Concerning VA Laws,
Regulations, Etc.,-VA
Security classification:
Some of the material contained in the system has been classified
in the interests of national security pursuant to Executive Order
11652.
System location:
This system is located in the VA Office of Inspector General, 810
Vermont Avenue, NW., Washington, DC 20420. The database for the
system, known as the Master Case Index (MCI), is on a local area
network in the VA OIG building and is operated by the Office of
Management and Administration.
Categories of individuals covered by the system:
Individuals covered by the system are employees, veterans, and
third parties such as contractors who conduct official business with VA.
Categories of records in the system:
Authority for maintenance of the system:
38 U.S.C. 210 (c) (i); Title 5, U.S.C., Appendix 1, section 7
(a).
Purpose(s):
The system serves as a basis for taking civil, criminal, and
administrative actions, including the issuance of subpoenas, security
clearances, suitability determinations, and similar authorized
activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used by VA officials and representatives of other
government agencies on a need-to-know basis in the performance of
their official duties and authorities set forth above and for the
following routine uses:
- The record of an individual who is covered by this system may
be disclosed to a member or staff person acting for the member when
the member or staff person requests the records on behalf of and at
the request of that individual.
- Any information in this system may be disclosed to a Federal
agency, upon its official request, to the extent that it is relevant
and necessary to that agency's decision regarding: The hiring,
retention or transfer of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance or continuance
of a license, grant or other benefit given by that agency. However,
in accordance with an agreement with the U.S. Postal Service,
disclosures to the U.S. Postal Service for decisions concerning the
employment of veterans will only be made with the veteran's prior
written consent.
- Any information in this system may be disclosed to a State or
local agency, upon its official request, to the extent that it is
relevant and necessary to that agency's decision on: The hiring,
transfer or retention of an employee, the issuance of a security
clearance, the letting of a contract, or the issuance or continuance
of a license, grant or other benefit by the agency; provided, that if
the information pertains to a veteran, the name and address of the
veteran will not be disclosed unless the name and address is provided
first by the requesting State or local agency.
- Any information in this system, except the name and address of
a veteran, may be disclosed to a Federal, State, or local agency
maintaining civil or criminal violation records, or other pertinent
information such as prior employment history, prior Federal
employment background investigations, and/or personal or educational
background in order for the VA to obtain information relevant to the
hiring, transfer or retention of an employee, the letting of a
contract, the granting of a security clearance, or the issuance of a
grant or other benefit. The name and address of a veteran may be
disclosed to a Federal agency in order to respond to the VA inquiry.
- Any information in this system, except 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, regulation, rule
or order issued pursuant thereto.
- 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 enforcing or implementing the statute, regulation,
rule or order issued pursuant thereto, in response to its official
request.
- 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 of 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 be provided for a purpose authorized by
law.
- 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.
- Any information in this system may be exposed to a State or
municipal grand jury, a State or municipal court or 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 concerning a veteran-
claimant made under this routine use must comply with the provisions
of 38 CFR 1.511.
- Any information in this system may be disclosed to the Office
of Special Counsel, upon its official request, when required for the
Special Counsel's review of the complainant's allegations of
prohibited personnel practices.
- The name, address, and other identifying data, including
title, date and place of birth, Social Security number, and summary
information concerning an individual who, for fraudulent or deceitful
conduct either as an employee or while conducting or seeking to
conduct business with the Agency, has been convicted of violating
Federal or State law or has been debarred or suspended from doing
business with the VA, may be furnished to other Federal agencies to
assist such agencies in preventing and detecting possible fraud or
abuse by such individual in their operations and programs. This
routine use applies to all information in this System of Records
which can be retrieved by name or by some identifier assigned to an
individual in a personal or in an entrepreneurial capacity.
- Records from this system of records may be disclosed to a
Federal Agency or to a State or local government licensing board and/
or to the Federation of State Medical Boards or a similar
nongovernment entity which maintains records concerning individuals'
employment histories or concerning the issuance, retention or
revocation of licenses, certifications, or registration necessary to
practice an occupation, profession or specialty, in order for the
Agency to obtain information relevant to an Agency decision
concerning the hiring, retention or termination of an employee or to
inform a Federal Agency or licensing boards or the appropriate
nongovernment entities about the health care practices of a
terminated, resigned or retired health care employee whose
professional health care activity so significantly failed to conform
to generally accepted standards of professional medical practice as
to raise reasonable concern for the health and safety of patients in
the private sector or from another Federal Agency. These records may
also be disclosed as part of an ongoing computer matching program to
accomplish these purposes.
- A record may be disclosed to any official charged with the
responsibility to conduct qualitative assessment reviews of internal
safeguards and management procedures employed in investigative
operations. This disclosure category includes members of the
President's Council on Integrity and Efficiency and officials and
administrative staff within their investigative chain of command, as
well as authorized officials of the Department of Justice and the
Federal Bureau of Investigation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on paper in individual file folders, on
index cards, and on electronic media.
Retrievability:
File cards may be indexed by the last name of the subject(s) of
an investigation. File folders containing reports of investigation
and summaries of the reports are individually retrievable by means of
a cross indexing with file cards.
Safeguards:
Access to the file folders and file cards (which are kept in
cabinets) is restricted to authorized personnel on a need-to-know
basis. The file room and cabinets are locked after duty hours, and
the building is protected from unauthorized access by a protective
service.
Retention and disposal:
Investigation reports are maintained by the Office of Inspector
General until final action is taken. Once final action has been
taken, the report is sent to the VACO Records Management Section
where it is maintained for 5 years. It is then forwarded to the
Federal Records Center where it is maintained for 25 years and then
destroyed by shredding. File cards and summaries of all
investigations are maintained by the Office of Inspector General for
30 years and then destroyed by shredding.
System manager(s) and address:
Assistant Inspector General for Investigations (51), VA Central
Office, 810 Vermont Avenue, NW., Washington, DC 20420.
Notification procedure:
An individual who wishes to determine whether a record is being
maintained by the Assistant Inspector General for Investigations
under his or her name in this system or wishes to determine the
contents of such records should submit a written request or apply in
person to the Assistant Inspector General for Investigations (51).
However, a majority of records in this system are exempt from the
notification requirement in 5 U.S.C. 552a (j) and (k). To the extent
that records in this system of records are not subject to exemption,
they are subject to notification. A determination as to whether an
exemption applies shall be made at the time a request for
notification is received.
Record Access Procedure:
An individual who seeks access to or wishes to contest records
maintained under his or her name in this system may write, call or
visit the Assistant Inspector General for Investigations (51).
However, a majority of records in this system are exempt from the
record access and contesting requirement under 5 U.S.C. 552a (j) and
(k). To the extent that records in this system of records are not
subject to exemption, they are subject to access and contest. A
determination as to whether an exemption applies shall be made at the
time a request for access or contest is received.
Contesting record procedures:
(See Record Access Procedures above.)
Record source categories:
Information is obtained from third-party organizations such as
schools and financial institutions, VA employees, veterans and VA
records.
Systems exempted from certain provisions of the act:
Under 5 U.S.C. 552a(j)(2), the head of any agency may exempt any
system of records within the agency from certain provisions of the
Privacy Act, if the agency or component that maintains the system
performs as its principal function any activities pertaining to the
enforcement of criminal laws. The Inspector General Act of 1978,
Public Law 95-452, mandates the Inspector General to recommend
policies for, and to conduct, supervise and coordinate activities in
the Department of Veterans Affairs and between the Department of
Veterans Affairs and other Federal, State and local governmental
agencies with respect to all matters relating to the prevention and
detection of fraud in programs and operations administered or
financed by the Department of Veterans Affairs and to the
identification and prosecution of participants in such fraud. Under
the Act, whenever the Inspector General has reasonable grounds to
believe there has been a violation of Federal criminal law, the
Inspector General must report the matter expeditiously to the
Attorney General.
This system of records has been created in major part to support
the criminal law-related activities assigned by the Inspector General
to the Office of Investigations. These activities constitute the
principal function of this staff.
In addition to principal functions pertaining to the enforcement
of criminal laws, the Inspector General may receive and investigate
complaints or information from various sources concerning the
possible existence of activities constituting non-criminal violations
of law, rules or regulations, or mismanagement, gross waste of funds,
abuses of authority or substantial and specific danger to the public
and safety. This system of records also exists to support inquiries
by the Assistant Inspector General for Investigations into these non-
criminal violation types of activities.
Based upon the foregoing, the Department of Veterans Affairs
Secretary has exempted this system of records, to the extent that it
encompasses information pertaining to criminal law-related
activities, from the following provisions of the Privacy Act of 1974,
as permitted by 5 U.S.C. 552a(j)(2):
5 U.S.C. 552a(c)(3) and (4);
5 U.S.C. 552a(d);
5 U.S.C. 552a(e)(1), (2) and (3);
5 U.S.C. 552a(e)(4) (G), (H) and (I);
5 U.S.C. 552a(e)(5) and (8);
5 U.S.C. 552a(f);
5 U.S.C. 552a(g).
The Department of Veterans Affairs Secretary has exempted this
system of records, to the extent that it does not encompass
information pertaining to criminal law-related activities under 5
U.S.C. 552a(j)(2), from the following provisions of the Privacy Act
of 1974, as permitted by 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3); 5
U.S.C. 552a(d); 5 U.S.C. 552a(e)(1); 5 U.S.C. 552a(e)(4)(G), (H) and
(I); 5 U.S.C. 552a(f).
Reasons for Exemptions:
The exemption of information and material in this system of
records is necessary in order to accomplish the law enforcement
functions of the Office of Inspector General, to prevent subjects of
investigations from frustrating the investigatory process, to prevent
the disclosure of investigative techniques, to fulfill commitments
made to protect the confidentiality of sources, to maintain access to
sources of information and to avoid endangering these sources and law
enforcement personnel.
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