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Privacy Act: [ 09-10-0005] State Food and Drug Official File, HHS/FDA/ORA....

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Public Health Service and its Components

                Office of the Assistant Secretary for Health



Table of Contents

    09-37-0001  Office of the Assistant Secretary for Health 
    Correspondence Control System, HHS/OASH/OM.
    09-37-0002  PHS Commissioned Corps General Personnel Records, HHS/
    09-37-0003  PHS Commissioned Corps Medical Records, HHS/OASH/OSG.
    09-37-0005  PHS Commissioned Corps Board Proceedings, HHS/OASH/OSG.
    09-37-0006  PHS Commissioned Corps Grievance, Investigatory, and 
    Disciplinary Files, HHS/OASH/OSG.
    09-37-0008  PHS Commissioned Corps Unofficial Personnel Files and 
    Other Station Files, HHS/OASH/OSG.
    09-37-0017, Proceedings of the Board for Correction of Public Health 
    Service Commissioned Corps Records, HHS/OASH/OM.
    09-37-0020  Office of Minority Health Grants Records System, HHS/
    09-37-0021  Public Health Service Records Related to Inquiries and 
    Investigations of Scientific Misconduct, HHS/OASH/ORI.
    09-37-0022  Records of Health Experts Mantained by the Office of 
    International Health (OIH), HHS/OASH/OIH.
    09-37-0024  Studies of Preventive Medicine, Health Promotion, and 
    Disease Prevention, HHS/OASH/ODPHP.
    09-37-0151  Public Health Service ALERT Records Concerning 
    Individuals Found to Have Committed Scientific Misconduct in PHS 
    Sponsored Research, HHS/OASH/ORI.




System name: Office of the Assistant Secretary for Health 
      Correspondence Control System, HHS/OASH/OM.

Security classification: 
System location: 
    1. Public Health Service Executive Secretariat, Room 710H, Hubert H. 
    Humphrey Building, 200 Independence Ave. SW, Washington, DC 20201.
    2. Staff offices of the Assistant Secretary for Health. For a list 
    of addresses, please write to: Policy Coordinator, Office of 
    Organization and Management Systems, Office of Management, Room 17-
    51, Parklawn Building, 5600 Fishers Lane, Rockville, MD 20857.
    3. Federal Records Center, 4205 Suitland Road, Washington, DC 20746.
Categories of individuals covered by the system: 
  Individuals who have contacted either the Assistant Secretary for 
  Health, the Surgeon General, a Deputy Assistant Secretary, or a PHS 
  Staff Office Director, or have been contacted in writing by one of 
  these officials.
Categories of records in the system: 
  Hard copies of the actual correspondence, 3 x 5 card file, and 
  computer or word processor printout and tape or disk control system 
  records of that correspondence.
Authority for maintenance of the system: 
  5 U.S.C. 301 Departmental Regulations.
  To control and track all correspondence documents addressed or 
  directed to the Assistant Secretary for Health or his subordinates as 
  indicated above, as well as documents initiated by them, in order to 
  assure timely and appropriate attention.
Routine uses of records maintained in the system, including categories 
    of users and the purposes of such uses: 
  1. Disclosure may be made to a congressional office from the record of 
  an individual in response to an inquiry from the congressional office 
  made at the request of that individual.
  2. The Department of Health and Human Services (HHS) may disclose 
  information from this system of records to the Department of Justice, 
  or to a court or other tribunal, when
  (a) HHS, or any component thereof; or
  (b) Any HHS employee in his or her official capacity; or
  (c) Any HHS employee in his or her individual capacity where the 
  Department of Justice (or HHS, where it is authorized to do so) has 
  agreed to represent the employee; or
  (d) The United States or any agency thereof where HHS determines that 
  the litigation is likely to affect HHS or any of its components,

  is a party to litigation or has an interest in such litigation, and 
  HHS determines that the use of such records by the Department of 
  Justice, the court or other tribunal is relevant and necessary to the 
  litigation and would help in the effective representation of the 
  governmental party, provided, however, that in each case, HHS 
  determines that such disclosure is compatible with the purpose for 
  which the records were collected.
Policies and practices for storing, retrieving, accessing, retaining, 
    and disposing of records in the system: 
  Correspondence records are maintained in hard copy. Control records 
  are maintained in 3 x 5 card file and on computer or word processor 
  printout, tape, and disk.
  Hard copy records are indexed alphabetically by name of addressee and 
  date of outgoing correspondence; or by name of sender and date of 
  incoming correspondence; or by subject. Records may also be cross-
  1. Authorized Users: Office directors, correspondence assistants, and 
  professional and support staff with designated functional 
  responsibilities directly relating to the purpose of the 
  2. Procedural Safeguards: Confidential and/or sensitive documents are 
  either handcarried or transmitted in sealed envelopes. Employees who 
  handle correspondence are instructed to observe established office 
  procedures to protect correspondence documents from unauthorized 
  access. The computerized subsystem is protected by passwords assigned 
  to specific correspondence assistants; passwords are changed 
  periodically; the password is changed when a correspondence assistant 
  terminates employment.
  3. Physical Safeguards: 24-hour guard service in buildings, locked 
  rooms after office hours, lockable file cabinets, word processing 
  disks are off-loaded and stored when not in use.
Retention and disposal: 
  Records may be retired to a Federal Records Center and subsequently 
  disposed of in accordance with the Office of the Assistant Secretary 
  for Health records control schedule. The records control schedule may 
  be obtained by writing to the appropriate System Manager at the 
  address for that official which is indicated under System Location 
System manager(s) and address: 
  Policy Coordinator:Director, Office of Organization and Management 
  Systems, Office of Management, Room 27-51, Parklawn Building, 5600 
  Fishers Lane, Rockville, MD 20857.
  System manager:1. Director, Public Health Service Executive 
  Secretariat, Room 710H. Hubert H. Humphrey Building, 200 Independence 
  Ave., SW, Washington, DC 20201.
  The Director of each Office of the Assistant Secretary for Health 
  staff office is the system manager for the correspondence control 
  system in his/her office. For the address of the appropriate system 
  manager, please write to the Polciy Coordinator at the above address.
Notification procedure: 
  Inquiries should indicate the name of the individual with whom the 
  Office of the Assistant Secretary for Health corresponded, the date of 
  the incoming correspondence, if any, and the date of the outgoing 
  correspondence. Inquiries should be addressed to the appropriate 
  System Manager, listed above, not to the policy coordination official.
Record access procedures: 
  Same as notification procedures. Requesters must state that they are 
  who they claim to be, and understand that obtaining information under 
  false pretenses is subject to a maximum statutory penalty of 5,000.00 
  Requesters may also ask for an accounting of disclosures that have 
  been made of their records, if any.
Contesting record procedures: 
  Contact the appropriate System Manager at the address for that 
  official specified under System Location above, and reasonably 
  identify the record, specify the information to be contested, the 
  corrective action sought, and the reason for seeking the correction, 
  with supporting information to show how the record is inaccurate, 
  incomplete, untimely, or irrelevant.
Record source categories: 
  Records are derived from incoming correspondence to, and the outgoing 
  correspondence of, the Assistant Secretary for Health or his 
  subordinates as indicated above.
Systems exempted from certain provisions of the act: 




System name: PHS Commissioned Corps General Personnel Records, 

Security classification: 
System location: 
  Division of Commissioned Personnel, Office of the Surgeon General/
  OASH, Room 4-35, Parklawn Building, 5600 Fishers Lane, Rockville, 
  Maryland 20857.
  Records in this system are kept at the address shown above when the 
  person to whom the record pertains has an active relationship with the 
  PHS Commissioned Corps personnel system. Records for inactive reserve 
  officers, who are not ready reserve, who have a potential active 
  relationship with the PHS Commissioned Corps personnel system, are 
  maintained at the address above.
    PHS Health Data Center, GW Long Hansen's Disease Center, Building 
    12, Carville, Louisiana 70721.
  If an inactive officer changes status, his or her records are returned 
  to the Division of Commissioned Personnel for disposition.
  Records for individuals who no longer have an active relationship with 
  the PHS Commissioned Corps personnel system are sent to the following 
  locations after one year.
    National Personnel Record Center, Civilian Personnel Records, 111 
    Winnebago Street, St. Louis, Missouri 63118.
  Records for retired officers are also sent to St. Louis after four 
  years. When retired officers become deceased, the records are returned 
  to DCP for one year and then returned to St. Louis. Records in this 
  system that are kept at the St. Louis location are considered closed. 
  A record is closed two years from the date on which one of the 
  following occurs: A final decision has been made that an applicant is 
  no longer under consideration for an appointment to the commissioned 
  corps; the person to whom the record pertains has permanently severed 
  all ties with PHS; or the person to whom the record pertains is 
  Critical data that can be used to construct key actions concerning an 
  individual's appointment, creditable service, compensation, 
  retirement, or benefits may be microfiched and stored at a location 
  apart from the system locations shown above to serve as an emergency 
  data base in the event the original records are destroyed. Because 
  this data is intended to be used only in the event that the original 
  records are destroyed, it includes only duplicates of existing records 
  maintained at the system locations shown above. For this reason, 
  disclosure from and access to this data will generally be unnecessary, 
  since requests for disclosure or access will be granted from the 
  original records.
  Names and addresses of contractors given information under routine use 
  9 can be obtained from the system manager at the Rockville, Maryland 
  location identified above.
Categories of individuals covered by the system: 
  Individuals who are part of or who have some relationship with the 
  Public Health Service (PHS) Commissioned Corps, including: Active duty 
  commissioned officers, former commissioned officers, inactive reserve 
  officers, retired commissioned officers, deceased commissioned 
  officers, dependents and survivors of the above, former spouses of 
  retired officers, and applicants to the PHS Commissioned Corps.
Categories of records in the system: 
  These records contain:
  1. Applications for appointment, references and other documents 
  relating to qualifications or suitability for appointment and 
  assignment, including medical intern and residency evaluations;
  2. Official Personnel Folders (OPFs), for all officers who are, or 
  were at one time, on active duty, which include: All documents related 
  to the application and appointment process; effectiveness reports; 
  career development and training records; documents relating to 
  assignment, promotion, retention, separation, and all other personnel 
  actions; records of personnel actions relating to pay, travel, and 
  allowances (including overseas educational allowances for dependents); 
  documentation of dependant status used to determine entitlement or 
  eligibility for benefits and identification and privilege cards; 
  applications and records of Service action relating to the 
  Commissioned Officer Residency Deferment Program and Commissioned 
  Officer Student Training and Extern Programs; survivor benefit 
  elections; information supporting officer awards, honors and 
  commendations; documentation supporting non-board terminations and 
  reprimands issued after final administrative action; pay records and 
  medical data after separation or death of the subject individual; and 
  leave records;
  3. Worksheets, internal forms, internal memoranda, and other documents 
  which result in, or contribute to an action resulting in a record 
  identified in 2. above;
  4. Service Record Cards (summarizing personnel actions); and
  5. Correspondence relating to the above.
Authority for maintenance of the system: 
  The Public Health Service Act (42 United States Code (U.S.C.) 202-217, 
  218a, 224, 228, 233, and other pertinent sections); The Social 
  Security Act (42 U.S.C. 410(m) et seq.); portions of Title 10, U.S.C., 
  related to the uniformed services; portions of Title 37, U.S.C., 
  related to pay and allowances for members of the uniformed services; 
  portions of Title 38, U.S.C., related to benefits administered by the 
  Veterans Administration; sections of 50 U.S.C. App., related to the 
  selective service obligation and the Soldiers' and Sailors' Civil 
  Relief Act; Executive Order (E.O.) 9397, ``Numbering System for 
  Federal Accounts Relating to Individual Persons;'' E.O. 10450, 
  ``Security Requirements for Government Employment;'' and E.O. 11140, 
  which delegates the authority to administer the PHS Commissioned Corps 
  from the President to the Secretary, DHHS.
  The information is used by the Office of the Surgeon General (OSG), 
  the Division of Commissioned Personnel (DCP) and Agency Heads and 
  personnel officials of Agencies where Commissioned Officers are 
  assigned, to:
  1. Determine qualifications and suitability for appointment, 
  selection, career development, training, promotions, assignments, 
  mobilization, temporary duty, and other types of officer utilization;
  2. Determine eligibility for pay, allowances, entitlements, 
  privileges, and benefits;
  3. Prepare the Commissioned Officer Roster and Promotion Seniority of 
  the Public Health Service;
  4. Determine the eligibility or entitlements of dependents and 
  beneficiaries for benefits based on the service of a PHS commissioned 
  5. Give legal force and effect to personnel transactions and establish 
  officer rights and obligations under the pertinent laws and 
  regulations governing the commissioned corps personnel system;
  6. Provide material for research by the Office of the Secretary, HHS, 
  and the Office of the Assistant Secretary for Health, PHS, concerning 
  the activities of health professionals.
  7. Provide information to DHHS components seeking to collect an 
  overdue debt to the Federal government, but only to the extent 
  necessary to collect that overdue debt; and
  8. Provide information about professional qualifications, past 

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