[Federal Register Volume 67, Number 190 (Tuesday, October 1, 2002)]
[Notices]
[Pages 61726-61729]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-24917]
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DEPARTMENT OF VETERANS AFFAIRS
Final Information Quality Guidelines
AGENCY: Office of Information and Technology, Department of Veterans
Affairs.
ACTION: Final guidelines.
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SUMMARY: These final guidelines implement section 515 of the Treasury
and General Government Appropriations Act for Fiscal Year 2001 (Pub. L.
106-554; H.R. 5658). Section 515 directs the Office of Management and
Budget (OMB) to issue government-wide guidelines that provide policy
and procedural guidance to Federal agencies for ensuring and maximizing
the quality, objectivity, utility, and integrity of information
(including statistical information) disseminated by Federal agencies.
By October 1, 2002, agencies must issue their own implementing
guidelines that include an administrative mechanism allowing affected
persons to seek and obtain correction of information maintained and
disseminated by the agency that does not comply with agency and OMB
guidelines.
DATES: Effective date: October 1, 2002.
FOR FURTHER INFORMATION CONTACT: Kenneth Little, Office of Information
and Technology, Department of Veterans Affairs, Washington, DC 20420.
Telephone (202) 273-8051 or by e-mail to [email protected].
SUPPLEMENTARY INFORMATION: VA has developed guidelines for reviewing
and substantiating (by documentation or other means selected by the
agency) the quality (including the objectivity, utility, and integrity)
of information before it is disseminated. In addition, VA has
established administrative correction procedures allowing affected
persons to seek and obtain, where appropriate, correction of
information disseminated by VA that does not comply with OMB or VA
guidelines. VA will apply these standards with flexibility in a manner
appropriate to the nature and timeliness of information to be
disseminated and incorporate them into existing VA information
resources management and administrative practices.
The guidelines are also available at www.va.gov/oirm/s515.
Dated: September 25, 2002.
By direction of the Secretary:
Ernesto Castro,
Director, Records Management Service.
Guidelines for Ensuring and Maximizing the Quality, Objectivity,
Utility and Integrity of Information Disseminated By VA
I. Introduction
The Office of Management and Budget (OMB) required VA to prepare
guidelines to ensure the quality of information disseminated by the
Department. This is in response to Section 515 requirements of the
Treasury and General Government Appropriations Act for Fiscal Year
2001 (Pub. L. 106-554; H.R. 5658). Section 515 directed OMB to issue
Government-wide guidelines that provided policy and procedural
guidance to Federal agencies for issuing their own guidelines for
ensuring the quality of disseminated information.
The guidelines contained herein will apply flexible,
appropriate, and timely quality standards to the review and
substantiation of data and information before it is disseminated to
the public. They will be incorporated into existing VA information
resources management and administrative practices and will include
an administrative procedure to allow affected persons to seek and
obtain corrected information. VA will report annually, beginning
January 1, 2004, to the Director of OMB, the number and nature of
complaints received and the resolutions issued.
These guidelines are subject to the Paperwork Reduction Act
(PRA) of 1995 (44 U.S.C. Chapter 35); OMB Circular A-130; Freedom of
Information Act (FOIA) (5 U.S.C. 552); the Computer Security Act of
1987; and VA Directive 6102, Internet/Intranet Services.
II. Policy
VA will ensure and maximize the quality, objectivity, utility,
and integrity of information it disseminates to the public. VA will
take appropriate steps to incorporate information quality criteria
into its information dissemination practices, and will ensure that
the quality of disseminated information is consistent with VA's and
OMB's performance standards. Additional levels of quality standards
may be adopted as appropriate for specific categories of
information.
III. Implementation
Except for those categories of information that are specifically
exempted from coverage, (see section C, Exceptions), these
guidelines apply to all information disseminated by VA and VA
initiated or sponsored dissemination of information by VA grantees,
contractors, or cooperators on or after October 1, 2002, regardless
of when the information was first disseminated.
VA's Assistant Secretary for Information and Technology/Chief
Information Officer (CIO) serves as the Department official charged
with oversight of these guidelines. VA officials are responsible for
distributing these guidelines and any modifications hereafter to
appropriate offices within their organizations.
[[Page 61727]]
A. Scope
The guidelines apply to all information VA disseminates to the
public (except as noted in section C) in all forms of media, e.g.,
printed and electronic (the Internet and other technologies).
Information dissemination products include books, papers, CD-ROMs,
electronic documents, or other documentary material.
The guidelines apply to information disseminated by VA from a
web page except for requests for corrections of typographical
errors, web page malfunctions, or non-VA hyperlinks from VA's
website.
VA will apply a higher quality standard for ``influential''
information that has a capacity to cause an adverse or financial
impact on public policy or legislative matters relative to services
provided to veterans. The more important the information, the higher
the standard that is applied, e.g., influential scientific,
financial or statistical information.
As recommended by OMB, in some cases, when VA-disseminated
information is collected from a variety of sources, the Department
will ensure the information is regularly updated, revised and held
in strict confidence. In such cases, the essence of the guidelines
will still apply.
The guidelines will be applied in a common sense and workable
manner. They will not impose unnecessary administrative burdens that
would inhibit VA organizations from taking advantage of the Internet
and other technologies to disseminate information to the public.
B. Application
VA Administrations and Staff Offices will develop processes for
reviewing the quality of information before it is disseminated. VA
offices will treat information quality as an integral part of the
development of information, including creation, collection,
maintenance, and dissemination, and will substantiate the quality of
information disseminated through documentation or other means
appropriate to the information. Originating offices will use
internal peer reviews and other review mechanisms to ensure that
disseminated information is objective, unbiased and accurate in both
presentation and substance. It is important that VA offices make use
of the PRA clearance process to help improve the quality of
information before it is disseminated to the public. The PRA
clearance submission to OMB will include the additional requirement
that all proposed collections of information that will be
disseminated to the public should be collected, maintained, and used
in a way consistent with VA's and OMB's information quality
guidelines.
VA will apply reproducibility standards to applicable original
and supporting data according to ``commonly accepted scientific,
financial, or statistical standards.'' VA organizations will be
flexible in determining what constitutes ``original and supporting''
data. When original or supporting data must be generated, sound
statistical methods will be applied. VA will apply a consistent
reproducibility standard to transparency for how analytical results
are generated (e.g., specific data used, various assumptions
employed, specific analytical methods used, and statistical
procedures employed). These methods will allow any qualified person
to conduct an independent re-analysis, if necessary. This
independent re-analysis should produce substantially the same
results as the original research.
In cases where public access to data and methods may not occur
due to other compelling interests, (i.e., ethical, feasibility, or
confidentiality constraints), VA will perform rigorous robustness
checks to analytic results and document what checks were undertaken.
VA offices should; however, disclose the specific data sources that
have been used and the specific quantitative methods and assumptions
that have been employed. VA will address ethical, feasibility, and
confidentiality issues with care. Reproducibility of data is limited
by the requirement that VA comply with Federal confidentiality
statutes, such as the Privacy Act, 5 U.S.C. 552a, and 38 U.S.C.
5701, 5705, and 7332.
C. Exceptions
The guidelines do not apply to the dissemination of information
limited to Government employees or Department contractors or
grantees, intra- or inter-Departmental use or sharing of Government
information. They do not apply to correspondence with individuals,
press releases (unless they contain new substantive information not
covered by a previous information dissemination subject to the
guidelines), archival records, library holdings and distribution
limited to: public filings, subpoenas, or adjudicative processes.
These guidelines also do not cover responses to requests for
Department records under the Freedom of Information Act, the Privacy
Act, the Federal Advisory Committee Act, or other similar laws.
The guidelines are not designed for individuals who are seeking
corrections of personal information or information related to death
and disability payments, education, home loans, disability, medical
care, insurance, burial and survivor benefits or related information
pertaining to specific VA claims, benefits records, or services
delivered. Information pertaining to VA services can be obtained by
calling VA's toll-free number at 1-800-827-1000.
The guidelines generally do not govern a third-party's
dissemination of information (the exception being where VA adopts
the information as its own).
The guidelines do not apply to opinions, if it is clear that
what is being offered is someone's opinion, rather than fact or the
Department's views.
Excluded also from the definition of dissemination are responses
to FOIA requests and some scientific research (see section on
``Third Party Dissemination'').
D. Policy for Release of Information
Under the Freedom of Information Act requirements, VA's policy
is to disclose its records upon request, except for those records
that are protected from disclosure by law.
E. Third-Party Dissemination
The standards of these guidelines apply not only to information
that VA generates, but also to information that other parties
provide to VA, if the other parties seek to have VA rely upon or
disseminate this information or if VA decides to do so. If VA is to
rely on technical, scientific, or economic information submitted by
a third party, that information would need to meet appropriate
standards of quality, including objectivity and utility.
VA does not ``initiate'' the dissemination of information when
Federally employed scientists, Federal grantees, or contractors
publish and communicate their research findings in the same manner
as their academic colleagues. This applies even though VA has funded
the research and may retain ownership or other intellectual property
rights.
If VA, through a procurement contract or a grant, provides for a
person to conduct research, and VA directs the person to disseminate
the results (or VA reviews and approves the results before
dissemination), then VA has ``sponsored'' the dissemination of this
information, and the information is subject to these guidelines.
By contrast, if VA provides funding to support research, and if
the researcher (not VA) decides to disseminate the results and
determines the content and presentation of the dissemination, then
VA has not ``sponsored'' the dissemination. The information is not
subject to these guidelines even though VA has funded the research
and may retain ownership or other intellectual property rights.
To avoid confusion regarding whether the Department is
sponsoring the dissemination, the researcher should include an
appropriate disclaimer in the publication or speech to the effect
that the ``views are mine, and do not necessarily reflect the
views'' of VA. On the other hand, subsequent VA dissemination of
such information requires that the information adhere to VA's
information quality guidelines.
F. Peer Review Process
VA will use peer reviews for covered information that are
consistent with VA's and OMB's peer review standards. Transparency
is important for peer review, and VA's guidelines set minimum
standards for the transparency of VA-sponsored peer review. If data
and analytical results have been subjected to formal independent,
external peer review, the information may generally be presumed,
subject to possible rebuttal, to be of acceptable objectivity. The
intensity of peer reviews will be commensurate with the significance
of the risk or its management.
Peer reviewers must be selected primarily on the basis of
technical expertise, be expected to disclose to VA prior technical/
policy positions they may have taken on the issues at hand, be
expected to disclose to VA their sources of personal and
institutional funding (private or public sector), and conduct their
reviews in an open and rigorous manner.
As an organization responsible for dissemination of vital health
and medical information, VA will interpret reproducibility and peer-
review standards in a manner appropriate to assure timely flow of
vital information from VA to medical providers, patients, health
agencies and the
[[Page 61728]]
public. VA may temporarily waive information quality standards in
urgent situations (e.g., imminent threats to public health or
homeland security) in accordance with the latitude specified in
OMB's and VA's guidelines.
When VA disseminates influential analyses of risks to human
health, safety, and the environment, if at all, it will apply the
quality principles applied by Congress to risk information used and
disseminated pursuant to the Safe Drinking Water Act Amendments of
1996 (42 U.S.C. 300g-1(b)(3)(A) & (B)) to the extent feasible.
IV. Administrative Correction Procedures
An administrative process is available to allow affected persons
to seek and obtain, where appropriate, timely correction of
information that does not meet the stated VA or OMB guidelines. The
correction and appeal processes have been designed to be flexible,
appropriate in nature, and timely in responding to a request for
correction. It is available for genuine and valid requests for
correction of information that do not meet the stated guidelines. In
determining whether to accept a request for correction of
information, VA will consider whether the information or request for
correction is obsolete. If the information was disseminated more
than a year before the request for correction is received, and it
does not have a continuing significant impact on VA projects or
policy decisions or on private sector decisions, VA may regard the
information as obsolete for purposes of processing a correction
request.
A. Information Correction Process
If an affected person believes that disseminated information is
not accurate, clear, complete or unbiased because it is not
consistent with OMB's and VA's standards, he or she may challenge or
submit a complaint by written correspondence or via VA's homepage:
1. Write to: Director, Records Management Service (005E3),
Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington,
DC 20420. In submitting written requests, the envelope and the
request both should be clearly marked ``Data Quality Complaint'; or
2. Access VA's home page at www.va.gov and select the ``Contact
VA'' link that appears at the bottom of the page.
Requests for correction of information will be routed to the
appropriate VA Administration or Staff Office for review. VA will
respond to all requests for corrections within 60 calendar days of
receipt. If the request requires more than 60 calendar days to
resolve, VA will inform the complainant that more time is required
and indicate the reason why and an estimated decision date. If the
VA office receiving the complaint determines that the request does
not adequately and reasonably describe the disseminated information
source, the complainant will be advised that additional information
is needed. If the challenged information is determined to be correct
or valid, the complainant will be provided with a statement as to
why the request for correction is not processed and how to file an
appeal. If the challenged information is determined to be incorrect,
VA will notify the complainant of its intent to correct the
information, and the corrective steps proposed.
In cases where VA disseminates a study, analysis, or other
information prior to final VA action or information product,
requests for correction will be considered prior to final action or
information product in those cases where VA has determined that an
earlier response would not unduly delay issuance of VA's action or
information product, and the complainant has shown a reasonable
likelihood of suffering actual harm from VA's dissemination if the
complaint is not resolved prior to VA's final action or information
product.
B. Information Appeal Process
If affected persons who request corrections of information do
not agree with VA's decision (including the corrective action, if
any), they may file an appeal in writing within 60 calendar days to
the office indicated in the denial correspondence. The envelope and
reconsideration request both should be clearly marked ``Information
Correction Reconsideration Request.'' It is important that
correspondents state why they disagree. The appropriate VA
organization will review the appeal and act upon the request for
reconsideration. The correspondent will be notified within 60
calendar days whether the request was granted or denied and what
corrective action, if any, VA will take on the appeal. If the
request requires more than 60 calendar days to resolve, the agency
will inform the complainant that more time is required and indicate
the reason why and an estimated decision date.
To ensure objectivity, the VA organization that originally
disseminated the information does not have responsibility for both
the initial response and any subsequent appeal. In addition, if VA
believes other agencies may have an interest in the appeal, VA will
consult with those other agencies about their possible interest.
C. Administrative Management of Corrected Records
Corrective actions will vary. Possibilities include immediate
correction or replacement of information on the Department of
Veterans Affairs Web site (), revision
of subsequent issues of recurring products, and issuance of errata
for printed reports and other data products.
V. Reporting Requirements to OMB
On October 1, 2002, VA must publish notice in the Federal
Register of the availability of the Department's final information
quality guidelines, and also post them on VA's Web site.
On January 1, 2004, VA will electronically submit an annual
fiscal report to OMB, with a recurring report due on January 1 each
year thereafter. The report will provide information (both
quantitative and qualitative where appropriate) on the number,
nature, and resolution of complaints received by VA regarding its
perceived or confirmed failure to comply with OMB and VA guidelines.
VI. Definitions
VA has adopted the definition of terms set forth in the OMB
guidelines. The following information explains further the way VA
uses some of the terms:
A. ``Affected'' persons are individuals or entities that may
use, benefit or be harmed directly by the disseminated information
at issue. These guidelines are not designed for individuals to seek
corrections of personal information or information related to
personal services, benefits, or claims for benefits.
B. ``Dissemination'' of information means VA-initiated or
sponsored distribution of information to the public.
C. ``Influential'' information is determined when VA can
reasonably discern that dissemination of information will, or does
have, a clear and substantial impact on important public policies or
important private sector decisions. This type of information must
have a significant impact on VA's public policy or legislative
matters relative to delivery of veterans' benefits or health care
services. VA's influential information includes the following
categories:
1. Statistical information obtained from original data
collections; administrative records; compilations of data from
primary sources such as forecasts and estimates derived from
statistical models, expert analyses, data collection, and analysis
and interpretations of statistical information.
2. Financial information referring to Government revenues and
expenditures.
3. Scientific information designating the method of research in
which a hypothesis, formulated after systematic, objective
collection of data is tested empirically (relying on experiment and
observation rather than theory).
D. ``Information,'' for purposes of these guidelines, including
the administrative correction/appeal procedures, means any
communication or representation of knowledge such as facts or data,
in any medium or form, including textual, numerical, graphic,
cartographic, narrative, or audiovisual forms. This definition does
not include:
1. Opinions, where the presentation makes clear that the
statements are subjective opinions, rather than facts, or a
determination of the Department. However, any underlying information
published by the Department upon which the opinion is based may be
subject to these guidelines.
2. Information originated by, and attributed to, non-Department
sources, provided the Department does not expressly rely upon that
information in formulating policy. Examples include: information
reported and duly attributed in materials prepared and disseminated
by the Department's hyperlinks on the Department's Web site to
information that others disseminate; and reports of advisory
committees and international organizations published on the
Department's Web site;
3. Statements related solely to the internal personnel rules and
practices of Department and other materials produced for Department
employees, contractors, agents or alumni;
4. Descriptions of VA, its responsibilities and its
organizational components;
[[Page 61729]]
5. Statements, the modification of which might cause harm to
national security, including harm to the national defense or foreign
relations of the United States and statements of U.S. foreign
policy;
6. Materials covered by the United States Information and
Educational Exchange Act of 1948 (the Smith-Mundt Act), 22 U.S.C.
Sec. 1416-1a (Ban on domestic activities);
7. Testimony and other submissions by Department officials to
Congress and administrative bodies;
8. Submissions by Department officials in court;
9. Testimony by Department officials in court (unless it
contains new substantive information not covered by previously
disseminated information subject to these guidelines).
10. Investigatory material compiled pursuant to U.S. law or for
law enforcement purposes in the United States or abroad; or
11. Statements which are, or which reasonably may be expected to
become, part of subpoenas or adjudicative processes, the subject of
litigation, or other dispute resolution proceedings.
E. ``Quality'' is the encompassing term of which ``utility,''
``objectivity,'' and ``integrity'' are constituents. VA applies
these terms to the guidelines as follows:
1. ``Utility'' refers to the usefulness of the information to
the intended users. VA will achieve utility by staying informed of
information needs and developing new data, models, and information
products where appropriate.
2. ``Objectivity'' focuses on whether the disseminated
information is being presented in an accurate, clear, complete, and
unbiased manner, and as a matter of substance, is accurate,
reliable, and unbiased. VA will achieve objectivity by using
reliable data sources and sound analytical techniques, and preparing
information products that are carefully reviewed and use proven
methods by qualified people. The objectivity standard will not
override other compelling interests such as privacy, intellectual
property, and other confidentiality protections.
3. ``Integrity'' refers to the protection of VA information from
unauthorized, unanticipated, or unintentional access or revision to
ensure that the information remains authentic and is not
compromised. To ensure the integrity of information that the
Department collects, administers, and disseminates, VA has
implemented rigorous information security controls to protect its
information systems and resources. VA protects the confidentiality
of its sensitive information by implementing security policies,
programs, and procedures mandated by Federal law and guidance. These
Department-wide activities comply with the statutory requirements
created to protect sensitive information gathered and maintained on
individuals by the Federal Government. These requirements are
contained in the following Federal information security laws and
regulations:
[sbull] Clinger-Cohen Act of 1996.
[sbull] Computer Security Act of 1987 (Pub. L. 100-235).
[sbull] Government Information Security Reform Act (GISRA) (Pub.
L. 106-398, Title X, Subtitle G).
[sbull] Health Insurance Portability and Accountability Act of
1996 (HIPAA).
[sbull] OMB Circulars A-123, A-127, and A-130 and their
appendices.
[sbull] Paperwork Reduction Act of 1995.
[sbull] Privacy Act of 1974.
F. ``Reproducibility'' means that information is capable of
being substantially reproduced with essentially the same result,
subject to an acceptable degree of imprecision or margin. With
respect to analytical results, ``capable of being substantially
reproduced'' means that independent analysis of the original or
supporting data using identical methods would generate similar
analytical results.
G. ``Transparency'' refers to the clear, obvious and precise
nature of the information. When VA disseminates influential
information, a high degree of transparency about data and methods
will be maintained to facilitate its reproducibility by qualified
third parties. Methods to implement VA's guidelines will be
transparent by providing documentation, ensuring quality by
reviewing underlying methods used in developing data, consulting (as
appropriate) with experts and users, and keeping users informed
about corrections and revisions.
[FR Doc. 02-24917 Filed 9-30-02; 8:45 am]
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