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Privacy Act: [ 09-37-0001] Office of the Assistant Secretary for Health Correspondence Control System, HHS/OASH/OM....


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[2001 Privacy Act]
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   #.DEPARTMENT OF HEALTH AND HUMAN SERVICES


   #..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.
         09-37-0020  Office of Minority Health Grants Records System, 
   HHS/OASH/OMH.
         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.

   #.. 09-37-0001

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

     Security classification: 
       None.
     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.
   Purpose(s): 
       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: 
     Storage: 
       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.
     Retrievability: 
       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-
   referenced.
     Safeguards: 
       1. Authorized Users: Office directors, correspondence assistants, 
   and professional and support staff with designated functional 
   responsibilities directly relating to the purpose of the 
   correspondence.
       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 above.
     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 dollars.
       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: 
       None.

   #.. 09-37-0020

   #....System name: Office of Minority Health Grants Records System, 
      HHS/OASH/OMH.

     Security classification: 
       None.
     System location: 
       Office of Minority Health, Rockwall II Building, Room 1102, 5600 
   Fishers Lane, Rockville, Maryland 20857. A current list of contractor 
   sites is available by writing to the address below under SYSTEM 
   MANAGER. Inactive records are located at the Federal Records Center, 
   4205 Suitland Road, Suitland, Maryland 20746.
     Categories of individuals covered by the system: 
       Project Grant Program Directors.
     Categories of records in the system: 
       Grant files, including grant applications, grant award notices, 
   summary comments of peer reviewers, salary information, staffing 
   lists, general correspondence, and Social Security Numbers 
   (optional).
     Authority for maintenance of the system: 
       Public Health Service Act Section 301 (42 U.S.C. 242). This 
   section authorizes support of health-related grants.
   Purpose(s): 
       The information in this system is used to facilitate day-to-day 
   grants management operations and for purposes of review, analysis, 
   planning and policy formulation by OMH staff members and by other 
   components of DHHS.
     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 may disclose information from this system of 
   records to the Department of Justice, 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.
       (3) Disclosure may be made to a private firm for the purposes of 
   providing services related to grant review, or for carrying out 
   quality assessment, program evaluation, and/or management reviews. 
   Any such contractors will be required to maintain Privacy Act 
   safeguards with respect to such records.
       (4) Disclosure may be made to qualified experts not within the 
   definition of Department employees for opinions as a part of the 
   application review and award process.
       (5) Disclosure may be made to a Federal agency, in response to 
   its request, in connection with the hiring or retention of an 
   employee, the issuance of security clearance, the reporting of an 
   investigation of an employee, the letting of a contract, or the 
   issuance of a license, grant, or other benefit of the requesting 
   agency, to the extent that the record is relevant and necessary to 
   the requesting agency's decision on the matter.
       (6) Where Federal agencies having power to subpoena other Federal 
   agencies' records, such as the Internal Revenue Service or Civil 
   Rights Commission, issue a subpoena to the Department for records in 
   this system of records, the Department will make such records 
   available.
       (7) Disclosure may be made to the cognizant Audit Agency for 
   auditing.
       (8) In the event that a system of records maintained by the 
   Department indicates a violation or potential violation of law, 
   whether civil, criminal, or regulatory in nature, and whether arising 
   by statute or by regulation, rule or order issued pursuant thereto, 
   the relevant records in the system of records may be referred as a 
   routine use, to the appropriate agency, whether Federal (e.g., the 
   Department of Justice), or State (e.g., the State Attorney General's 
   office) charged with the responsibility of investigating or 
   prosecuting such violation or charged with enforcing or implementing 
   the statute or rule, regulation or order issued pursuant thereto for 
   litigation.
       (9) Disclosure may be made to the grantee institution in 
   connection with performance or administration under the terms and 
   conditions of the award.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: 
       Manual files (files folders).
     Retrievability: 
       Retrievable by program director name and grant number.
     Safeguards: 
       1. Authorized Users: Only staff members of the Office of Minority 
   Health (OMH) have regular access. Staff members of other DHHS 
   components have access on a need-to-know basis only.
       2. Physical Safeguards: Locked file cabinets, locked offices, 
   general building security.
       3. Procedural Safeguards: OMH staff may inspect and review 
   records, with the approval of Grant Management Branch staff. Other 
   DHHS staff will be granted access by the System manager only on a 
   need-to-know basis. Visitors will not be left unattended in the 
   office containing the files. Grant records are either transmitted in 
   sealed envelopes or are hand-carried.
     Retention and disposal: 
       Approved grant applications and their respective files are 
   retained by OMH for one year beyond the termination date of the 
   project. Disapproved grant applications are held for six months. The 
   grant files are then retired to a Federal Records Center and 
   subsequently disposed of in accordance with the PHS/OASH records 
   control schedule. The records control schedule may be obtained by 
   writing to the System Manager at the following address.
     System manager(s) and address: 
       Grants Management Officer, Office of Minority Health, PHS, Room 
   1102, Rockwall II Building, 5600 Fishers Lane, Rockville, MD 20857.
     Notification procedure: 
       To determine if a record exists, write to the System Manager at 
   the above address. Specify program director's name and/or grant 
   number.
     Record access procedures: 
       Same as notification procedures. Requesters should also 
   reasonably specify the record contents being sought. Positive 
   identification is required. You may also request an accounting of 
   disclosures that have been made of your record, if any.
     Contesting record procedures: 
       Contact the official at the address specified under System 
   Manager above and reasonably identify the record, specify the 
   information being contested, the corrective action sought, and your 
   reasons for requesting the correction, along with supporting 
   information to show how the record is inaccurate, incomplete, 
   untimely, or irrelevant.
     Record source categories: 
       Grant applications, reports and correspondence from organizations 
   interested in improving minority health, summary statements from 
   grant review committees and incoming correspondence from project 
   staff.
     Systems exempted from certain provisions of the act: 
       None.

   #..09-37-0021

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