[Federal Register Volume 63, Number 238 (Friday, December 11, 1998)]
[Notices]
[Pages 68596-68622]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-32625]
[[Page 68595]]
_______________________________________________________________________
Part III
Department of Health and Human Services
_______________________________________________________________________
Program Support Center
_______________________________________________________________________
Privacy Act of 1974; Republication of System of Records; Notices
Federal Register / Vol. 63, No. 238 / Friday, December 11, 1998 /
Notices
[[Page 68596]]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Program Support Center
Privacy Act of 1974; Republication of System Notices
AGENCY: Program Support Center (PSC), HHS.
ACTION: Notification of Republication of System Notices.
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SUMMARY: In accordance with the requirements of the Privacy Act, PSC
has reviewed and is republishing nine system notices. This includes the
publication of one new system of records notice and the notices of the
major alteration of four systems of records. By reorganization order
dated September 25, 1995, the Secretary of HHS established the Program
Support Center (PSC) as an Operating Division (OPDIV) of HHS. The PSC
maintains nine systems of records.
DATES: The PSC invites interested persons to submit comments on the
proposed internal and routine use(s) on or before January 19, 1999. The
PSC has sent a Report of New System and a Report of Altered Systems to
the Congress and to the Office of Management and Budget (OMB) on
December 1, 1998. The new and the altered systems of records will be
effective 40 days from the date submitted to OMB unless PSC receives
comments which would result in a contrary determination.
ADDRESS: Address comments to the Privacy Act Officer, Program Support
Center, 5600 Fishers Lane, Room 17A-08, Rockville, Maryland 20857. We
will make comments received available for public inspection at the
above address during normal business hours, 8:30 a.m.-5 p.m.
FOR FURTHER INFORMATION CONTACT: Douglas Mortl, Room 17A-08, Parklawn
Building, 5600 Fishers Lane, Rockville, Maryland 20857, telephone (301)
443-2045. This is not a toll-free number.
SUPPLEMENTARY INFORMATION: The reorganization of September 25, 1995,
transferred nine systems of records to PSC and created one new system
of records. The PSC deleted one system of records. Listed below are the
nine remaining systems and the proposed actions for each system. The
PSC has reviewed and updated all of its system notices and is
republishing the nine system notices in their entirety.
1. 09-40-0001--Public Health Service (PHS) Commissioned Corps
General Personnel Records, HHS/PSC/HRS. This system was transferred to
PSC from the Office of the Assistant Secretary for Health (OASH). Its
former number and title were 09-37-0002--PHS Commissioned Corps General
Personnel Records, HHS/OASH/OSG. The review and update of this system
notice resulted in the deletion of routine uses #4, #5, and #13. The
information of #4 and #5 is now contained in the new payroll system 09-
40-0006. The information of #13 was moved to the Record Access
Procedures section.
2. 09-40-0002--Public Health Service (PHS) Commissioned Corps
Medical Records, HHS/PSC/HRS. This system was transferred to PSC from
OASH. Its former number and title were 09-37-0003--PHS Commissioned
Corps Medical Records, HHS/OASH/OSG. The review and update of this
system notice resulted in the addition of a new routine use. The
proposed new routine use (#6) will permit PSC to disclose to the Social
Security Administration (SSA) information relating to the disability or
death of a commissioned officer. The purpose of the disclosure is to
determine Social Security benefits or other benefits which may be due
to the officer or to the survivors of a deceased officer. The
disclosures pursuant to this routine use are compatible with the stated
purposes of the system and were a part of the Purpose section prior to
the separation of SSA from HHS. The review and update of this system
notice resulted in the deletion of routine uses #2, #5, and #9. The
disclosures under routine use #2 were internal uses and, therefore,
were moved to the Purpose section. The disclosures under routine use #5
are properly made under system 09-40-0001. The information under
routine use #9 was moved to the Record Access Procedures section.
3. 09-40-0003--Public Health Service (PHS) Commissioned Corps Board
Proceedings, HHS/PSC/HRS. This system was transferred to PSC from OASH.
Its former number and title were 09-37-0005--PHS Commissioned Corps
Board Proceedings, HHS/OASH/OSG. The review and update of this system
notice resulted in the deletion of routine use #8. This information was
moved to the Record Access Procedures section.
4. 09-40-0004--Public Health Service (PHS) Commissioned Corps
Grievance, Investigatory and Disciplinary Files, HHS/PSC/HRS. This
system was transferred to PSC from OASH. Its former number and title
were 09-37-0006--PHS Commissioned Corps Grievance, Investigatory and
Disciplinary files, HHS/OASH/OSG.
5. 09-40-0005--Public Health Service (PHS) Beneficiary-Contract
Medical/Health Care Records, HHS/PSC/HRS. This system was transferred
from the Health Resources and Services Administration (HRSA) to PSC.
Its former number and title were: 09-15-0029--PHS Beneficiary-Contract
Medical/Health Care Records, HHS/HRSA/BPHC. The system will be
administered by the Division of Commissioned Personnel/HRS. The PSC
proposes to add one new routine use (#8) to the system. The proposed
new routine use will permit PSC to use a contractor for the purpose of
collating, analyzing, aggregating, or otherwise refining records in
this system. The disclosures pursuant to this routine use are
compatible with the stated purposes of the system.
6. 09-40-0006--Public Health Service (PHS) Commissioned Corps
Payroll Records, HHS/PSC/HRS. This is a new system of records. Prior to
the reorganization, commissioned corps payroll records were maintained
in system 09-90-0017--Pay, Leave and Attendance Records, HHS/OS/ASPER.
This system has now been transferred to HRS/PSC. The PSC decided to
create a separate payroll record system for the Division of
Commissioned Personnel (DCP), HRS. The DCP administers the
comprehensive personnel management program for the PHS Commissioned
Corps. The DCP is responsible for performing all personnel operations
functions associated with the commissioned corps personnel system
including pay administration. Since DCP serves as the central
repository for all records reflecting the service and status of
commissioned corps personnel, the responsibility for maintaining the
DCP payroll record system should also rest with DCP. Authorities: The
DCP administers this system under the following authorities: 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 the Title 37, U.S.C., related to pay
and allowance for members of the uniformed services; portions of Title
38, U.S.C., related to benefits administered by the Department of
Veterans Affairs; sections of 50 U.S.C. App., related to the selective
service obligations 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, HHS. Purpose(s): This system of records is
[[Page 68597]]
used to: (1) Determine eligibility for pay allowances, entitlements,
privileges, and benefits; (2) determine the eligibility or entitlements
of dependents and beneficiaries; (3) give legal force to personnel
transactions and establish officer rights and obligations under
pertinent laws and regulations; (4) provide information to HHS
components seeking to collect an overdue debt owed to the Federal
Government; (5) provide information to the Federal Parent Locator
System (FPLS), the Office of Child Support Enforcement (OCSE), and the
Administration for Children and Families, HHS, for use in locating
individuals and identifying their income sources to establish
paternity, establish and modify orders of support and for enforcement
action in accordance with 42 USC 653; (6) provide information to OCSE
to verify with the Social Security Administration the Social Security
Numbers in connection with the operation of the FPLS by OCSE; (7)
provide information to OCSE to release to the Department of the
Treasury for purposes of administering the Earned Income Tax Credit
Program (Section 32, Internal Revenue Code of 1986) and verifying a
claim with respect to employment in a tax return; and (8) upon the
request of the officer, provide information to charities, financial
organizations, insurance organizations or other companies for the
purposes of contributing to charity, payment of organizational dues, or
payment for an organizational benefit (such as insurance). Categories
of Records: The system will contain the following records: Commissioned
Officers' names, home addresses, SSN; documents relating to pay,
benefits, leave, travel and allowances, dependent status, special pay
files, retirement pay files; and related correspondence. Routine Use
Disclosures: The proposed 12 routine uses are compatible with the
stated purposes of the system. The PSC will disclose relevant
information to third parties outside the Department as follows: Routine
use 1: To a congressional office upon the written request of the record
subject to obtain assistance from his/her congressional representative.
Routine use 2: To the Department of Justice in case of litigation where
HHS determines that such disclosure is relevant and necessary and would
help in the effective representation of the governmental party. Routine
use 3: To the Department of Treasury for all pay-related activities.
Routine use 4: To State and local government taxing authorities where a
record subject is or was subject to taxes. Routine use 5: To the Social
Security Administration for all FICA-related activities. Routine use 6:
To appropriate Federal, State, local, or international agencies, or
foreign governments should PSC become aware of evidence of a potential
violation of civil or criminal law. Routine use 7: To a contractor for
the purpose of collating, analyzing, aggregating or otherwise refining
records in this system. Routine use 8: To OMB in connection with
private relief legislation or for budgetary or management oversight
purposes. Routine use 9: To respond to interrogatories in the
prosecution of a divorce action or settlement. Routine use 10: To
disclose information about the entitlements and benefits of a
beneficiary of a deceased officer, retiree, or annuitant for the
purpose of making disposition of the estate. Routine use 11: To the
Equal Employment Opportunity Commission in connection with an
investigation. Routine use 12: To authorized officials of other Federal
agencies where commissioned officers are assigned.
7. 09-40-0010--Pay, Leave and Attendance Records, HHS/PSC/HRS. This
system was transferred from the Office of the Secretary, HHS, to PSC.
Its former number and title were: 09-90-0017--Pay, Leave and Attendance
Records, HHS/OS/ASPER. The system will be administered by the Personnel
and Pay Systems Division/HRS. The PSC proposes to expand the Purpose
section and to add six new routine uses. Purpose(s): The proposed new
purposes and uses of the records within HHS are: (1) Provide
information to the Federal Parent Locator System (FPLS), Office of
Child Support Enforcement (OCSE), HHS, for locating individuals and
identifying their income sources to establish paternity, establish and
modify orders of support and for enforcement action in accordance with
42 USC 653. (2) Provide information to OCSE for release to the Social
Security Administration for verifying Social Security Numbers. (3)
Provide information to OCSE for release to the Department of Treasury
for the purpose of administering the Earned Income Tax Credit Program,
and verifying a claim with respect to employment in a tax return. (4)
Provide information to the HHS Voluntary Leave Transfer Program
websites. (5) Provide information to HHS components seeking to collect
an overdue debt owed to the Federal Government. Routine Uses: The
proposed six new routine uses permit PSC to make the following
disclosures: (1) #19: To other Federal organizations to collect an
overdue debt owed to the Federal Government. (2) #20: To publicly
recognized charitable payroll deductions or when necessary to
adjudicate a claim. (3) #21: To provide information regarding
contributions to charities and/or financial organizations at the
request of the employee. (4) #23: To respond to court orders when an
employee is involved in garnishment proceedings. (5) #24: To thrift and
savings institutions to adjudicate a claim or conduct analytical
studies of benefits paid. (6) #25: To the Federal Thrift Savings plan
to maintain employees' thrift accounts, loans or loan repayment
records. The disclosures pursuant to these routine uses are compatible
with the stated purposes of the system. In addition, former routine use
#8 has been separated into four routine uses (#7, 8, 9, and 10) to
provide greater clarity and specificity in regard to disclosures to
those agencies.
8. 09-40-0011--Proceedings of the Board for Correction of Public
Health Service Commissioned Corps Records, HHS/PSC/HRS. This system was
transferred to PSC from OASH. Its former number and title were 09-37-
0017--Proceedings of the Board for Correction of Public Health Service
Commissioned Corps Records, HHS/OASH/OM.
9. 09-40-0012--Debt Management and Collection System, HHS/PSC/FMS,
which was transferred from the Health Resources and Services
Administration (HRSA) to PSC. Its former number and title were: 09-15-
0045--Health Resources and Services Administration Loan Repayment/Debt
Management Records
Systems, HHS/HRSA/OA. The system will be administered by the
Division of Financial Operations/FMS. The Authorities section has been
expanded to include the Debt Collection Improvement Act of 1996 (Pub.
L. 104-134) as amended. The PSC proposes to expand the Categories of
Individuals section and to add four new routine uses. The HRSA used the
system to collect debts owed to the Federal Government by students in
the health professions and health professionals who had received
various types of loans or grants for educational purposes. The PSC is
using the system as a general debt collection system. Therefore, the
Categories of Individuals section has been expanded to include all
individuals owing monies to HHS Operating Divisions or other Federal
entities for which PSC provides debt collection services; repayment of
funds loaned to repatriates; repayment for services rendered such as
Freedom of Information Act requests, queries
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associated with the National Practitioner Data Bank, and Health Care
Integrity and Protection Data Bank queries; and payroll debts of
current and separated HHS employees. The proposed four new routine uses
permit PSC to make the following disclosures: Routine Use Disclosures:
(1) #14: To the Treasury Department or to an agency operating a Debt
Collection Center to collect past due amounts. (2) #15: To provide
information to purchasers of a debt, if PSC decides to sell a debt,
pursuant to 31 U.S.C. section 3711(I).
(3) #16: PSC may publish or otherwise publicly disseminate
information regarding the identity of a delinquent debtor and the
existence of the debt, pursuant to 31 U.S.C. Section 3720(E). (4) #17:
To a contractor for the purpose of collating, analyzing, aggregating,
or otherwise refining records in this system. The disclosures pursuant
to these routine uses are compatible with the stated purposes of the
system.
Safeguards: The safeguards of all nine systems have been reviewed
and expanded. The PSC has instituted extensive safeguards to protect
both the automated and non-automated records. The PSC Systems Security
Officer has to certify that the safeguards for the system are
commensurate with the sensitivity and criticality of the records. The
system notices describe: (1) The safeguards that are in effect to
ensure that only authorized users have access to the records; (2) the
physical security measures used to protect the records; (3) the
procedural safeguards to ensure data integrity and prevent unauthorized
access and disclosure; and (4) security guidelines for contractors, as
applicable.
Deletion of System Notice: The PSC is deleting system of records
09-37-0008--PHS Commissioned Corps Unofficial Personnel Files and Other
Station Files, HHS/OASH/OSG, which was transferred from OASH to PSC.
This system of records contains records in operating offices (duty
stations) of the Department and other agencies and organizations to
which PHS Commissioned Corps officers are assigned. The reason for the
deletion is that only duplicate records may be maintained in such
offices. Original records must immediately be transferred to DCP. To
accommodate the maintenance of duplicate records, PSC has added the
following statement to all commissioned corps system notices:
``Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.''
Furthermore, PSC has updated the system notices and made editorial
changes to improve their clarity and specificity.
The following system notices are written in the present rather than
future tense to avoid the unnecessary expenditure of public funds to
republish the notices after the new system and the major alterations
become effective.
Dated: December 1, 1998.
Lynnda M. Regan,
Director, Program Support Center.
09-40-0001
SYSTEM NAME:
Public Health Service (PHS) Commissioned Corps General Personnel
Records, HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATIONS:
Division of Commissioned Personnel (DCP)/HRS/PSC, Room 4-36,
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857-0001.
PHS Health Data Center, GW Long Hansen's Disease Center, Carville,
Louisiana 70721.
National Personnel Record Center, Civilian Personnel Records, 111
Winnebago Street, St. Louis, Missouri 63118.
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.
Contact the Rockville, Maryland location before writing to other
record sites.
Names and addresses of contractors given information under routine
use 7 can be obtained from the System Manager at the location
identified below.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are part of or who have some relationship with the
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 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.
2. Official Personnel Folders (OPF), 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 dependent 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 Student Training and Extern Programs (COSTEP) officers;
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 death of 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).
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 the Title 37, U.S.C.,
related to pay and allowance for members of the uniformed services;
portions of Title 38, U.S.C., related to benefits administered by the
Department of Veterans Affairs; sections of 50 U.S.C. App., related to
the selective service obligations 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, HHS.
PURPOSE(S):
The information is used by the Program Support Center (PSC), DCP,
[[Page 68599]]
HHS Operating Divisions (OPDIVs) and other organizations 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
officer.
5. Give legal force 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, concerning the activities of health professionals.
7. Provide information to HHS components seeking to collect an
overdue debt to the Federal Government, but only to the extent
necessary to collect that overdue debt.
8. Provide information about professional qualifications, past
performance and career interests of PHS officers to Department and
Agency officials involved in the selection or assignment of an officer
to a particular program.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records or information from these records may be used:
1. To locate individuals for personnel research or survey response,
and in the production of summary descriptive statistics and analytical
studies in support of the function for which the records are collected
and maintained, or for related work force studies. While published
statistics and studies do not contain individual identifiers, in some
instances the selection of elements of data included in the study may
be structured in such a way as to make the data individually
identifiable by inference.
2. To disclose information to a congressional office from the
record of an individual in response to a verified inquiry from the
congressional office made at the written request of that individual.
3. To the Department of Justice, 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 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 are
collected.
4. To disclose pertinent information to appropriate Federal, State,
or local agencies; international agencies; or foreign governments
responsible for investigating, prosecuting, enforcing or implementing
statutes, rules, regulations or orders when PHS becomes aware of
evidence of a potential violation of civil or criminal law.
5. To disclose information to an individual who has been asked to
provide a reference, to the extent necessary to clearly identify the
individual to whom the reference will pertain, inform the source of the
purpose(s) of the reference, and to identify the type of information
requested from the source, where necessary to obtain information
relevant to an agency decision concerning the hiring or retention of
any employee, the issuance of a security clearance, the conducting of a
security or suitability investigation of an individual, the classifying
of jobs, the letting of a contract, or the issuance of a license, grant
or other benefit.
6. To disclose to any agency in the executive, legislative or
judicial branch; the District of Columbia Government; a State or local
government agency; a professional credentialing agency or a non-profit
institution, in response to its request, or at the initiation of the
PHS, information in connection with the hiring of an employee; the
issuance of a license, grant or other benefit by the requesting agency;
or the lawful statutory administrative, or investigative purpose of the
agency to the extent that the information is relevant and necessary to
the requesting agency's decision on the matter.
7. When the Department contemplates contracting with a private firm
for the purpose of collating, analyzing, aggregating, or otherwise
refining records in this system, relevant records will be disclosed to
such a contractor. The contractor will be required to maintain Privacy
Act safeguards with respect to such records. These safeguards are
explained in the section entitled ``Safeguards.''
8. To disclose information to the Department of State and officials
of foreign governments for the issuance of passports, visas and other
clearances before an active, retired or inactive officer is assigned to
that country.
9. To disclose information to the Department of Labor, the
Department of Veterans Affairs, Social Security Administration or other
Federal agencies having special employee benefit programs; to a
Federal, State, county or municipal agency; or to a publicly recognized
charitable organization when necessary to adjudicate a claim under a
benefit program, or to conduct analytical studies of benefits being
paid under such programs, provided such disclosure is consistent with
the purposes for which the information was originally collected.
10. To disclose information to the Office of Management and Budget
(OMB) at any stage in the legislative coordination and clearance
process in connection with private relief legislation as set forth in
OMB Circular No. A-19, or for budgetary or management oversight
purposes.
11. To respond to interrogatories in the prosecution of a divorce
action or settlement for purposes stated in 10 U.S.C. 1408 (``The
Former Spouses' Protection Act'').
12. To disclose information about the entitlements and benefits of
a beneficiary of a deceased officer, retiree, or annuitant for the
purpose of making disposition of the estate.
13. To disclose information to the Department of Defense, United
States Coast Guard or Federal Emergency Management Agency, to the
extent necessary to facilitate participation of PHS employees in
planning, training, and emergency operations in support of civil
defense activities and to provide support in the event of a national
emergency.
14. To disclose information to Government training facilities
(Federal State, and local) and to non-Government training facilities
(e.g., private vendors of training courses or programs, private
schools), for training purposes such as crediting of work experience in
the COSTEP, or verification of status or income.
15. To disclose information to the Defense Enrollment/Eligibility
Reporting System, uniformed services medical treatment facilities and
to the
[[Page 68600]]
Department of Defense, Office of the Civilian Health and Medical
Program of the Uniformed Services when the information is needed to
verify the eligibility of an officer, his/her dependents, or a former
spouse for medical benefits.
16. To disclose information to agencies or organizations
established in medically underserved areas which apply to the National
Health Service Corps for the assignment of commissioned officers to
such agencies or organizations.
17. To disclose information to an officer assigned to Federal
health care facilities or private sector (i.e., other than Federal,
State, or local government) agencies, boards or commissions (e.g., the
Joint Commission on Accreditation of Healthcare Organizations), to
obtain accreditation or other approval rating but only to the extent
that the information disclosed is relevant and necessary for that
purpose.
18. To disclose to a private employer who is considering hiring a
former officer information such as the officer's dates of employment,
salary, job title and description, duty station and character and
nature of separation.
19. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission by the President's Reorganization
Plan No. 1 of 1978.
20. To disclose to Federal and non-Federal agencies information
allowing the consideration and selection of officers for honor awards
made as a result of the individual's work as a commissioned officer,
and to publicize those awards granted. This may include disclosure to
other public and private organizations, including the news media, which
grant or publicize officer awards and honors.
21. To disclose information to officials of the Selective Service
System to allow crediting of active service performed by an individual
with PHS so that the individual may be properly classified if draft
laws once again become operative.
22. To disclose administrative and personnel information, including
data elements reflected in the Officer Information Summary, to
authorized officials in Federal agencies and other programs where
commissioned officers are assigned such as the State Department; the
Department of Defense; the Department of Justice, Bureau of Prisons and
the Immigration and Naturalization Service; the Transportation
Department, United States Coast Guard; the Environmental Protection
Agency; the Department of the Interior, the United States Park Service;
and the Commerce Department, National Oceanic and Atmospheric
Administration.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Automated files are stored on disks, microfiche, electronic medium
and magnetic tapes. Nonautomated (hard-copy) files are kept in offices,
and may be stored in Lektrievers, safes, cabinets, bookcases or desks.
RETRIEVABILITY:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
SAFEGUARDS:
1. Authorized Users
(a) Automated Records. Access to and use of automated records is
limited to: (1) Personnel employed in the PSC and the Office of the
Surgeon General (OSG)/OS, (2) personnel employed in DCP, (3) authorized
officials in HHS components and organizations where commissioned
officers are assigned whose official duties require such access, and
(4) authorized officials in other Federal agencies, such as those in
routine use 22 above, where commissioned officers are assigned whose
official duties require such access. Automated data is provided to
Department personnel officials to update information contained in their
personnel records and pay, leave and attendance systems. The Human
Resources Service (HRS) provides computer design, programming and
support to DCP, and has access to the data to the extent necessary to
facilitate the provision of these services to DCP. However, HRS
personnel are not authorized to grant access to or make disclosures
from automated data in this system to anyone or any organization
without the written approval of the Director of DCP or to an official
to whom this authority has been delegated.
b. Nonautomated records. Access to and use of nonautomated records
is limited to departmental employees whose official duties require such
access or to individuals needing access to the information for purposes
stated under routine uses. These individuals are permitted access to
records only after they have satisfactorily identified themselves as
having an official need to review the information and have provided
satisfactory proof of their identities. Access is also granted to
individuals who have written permission to review the record when that
permission has been obtained from the individual to whom the record
pertains. All individuals from outside the Department, to whom
disclosure is made pursuant to a routine use, must complete Privacy Act
nondisclosure oaths and must submit written requests for access to
these records showing the name and employing office of the requester,
the date on which the record is requested and the purpose for reviewing
the information in the records. This written request is then placed
into the record.
2. Physical safeguards
a. Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
locks. During nonwork hours, all cabinets, storage facilities, rooms
and offices are locked and the premises are patrolled regularly by
building security forces.
b. Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records are
not in use, they are closed and secured in desk drawers with locks,
filing cabinets with locks, or other security equipment, all of which
are kept inside authorized office space which is locked whenever it is
not in use. Keys to furniture and equipment are kept only by the
individual who is assigned to that furniture or equipment and by the
DCP security officer.
3. Procedural safeguards
a. Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. Access
codes and passwords are changed on a random schedule. In addition,
programming for automated records allows authorized personnel to access
only those records that are essential to their duties. Remote access to
automated data from remote terminals is restricted to the PSC, OSG and
personnel officials where
[[Page 68601]]
commissioned officers are employed. No access is permitted to
organizations that do not have automated personnel record-keeping
systems that comply with Privacy Act requirements.
b. Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of DCP. When records are needed at
a remote location, copies of the records will be provided. When copying
records for authorized purposes, care is taken to ensure that any
imperfect or extra copies are not left in the copier room where they
can be read, but are destroyed or obliterated.
4. Contractor Guidelines. A contractor who is given records under
routine use 7 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the records
to have access to them, prevent unauthorized persons from gaining
access to the records, and return the records to the System Manager
immediately upon completion of the work specified in the contract.
Contractor compliance is assured though inclusion of Privacy Act
requirements in contract clauses, and through monitoring by contract
and project officers. Contractors who maintain records are instructed
to make no disclosure of the records except as authorized by the System
Manager and as stated in the contract.
RETENTION AND DISPOSAL:
These records are maintained for varying periods of time. Applicant
files of individuals selected for appointment as commissioned officers
become a part of the OPF. Applicant files of individuals not selected
for appointment are maintained for one year after the application
process has been completed and are then destroyed, unless an applicant
requests that the file be held open for an additional year. The OPF is
maintained for one year after an officer is separated from active duty,
at which time such officer's OPF is transferred to a Federal Records
Center for permanent storage. The OPF for inactive reserve officers is
maintained at the PHS Health Data Center. When inactive officers change
status, the OPF is returned to DCP.
The records of a deceased officer are maintained until one year
after an individual's death and are then transferred to a Federal
Record Center for permanent storage, unless a dependent of a deceased
officer continues to receive benefits from PHS based upon the
deceased's PHS service. When a dependent or beneficiary dies or becomes
ineligible for further benefits based on a deceased officer's service,
all records are maintained for one year in the event information is
needed from the records to help settle an estate, and are then
transferred to the Federal Records Center for permanent storage.
Service Records Cards, which list critical data with regard to the
dates or all officers' appointments, reassignments, separations,
retirements and deaths, are maintained permanently by the System
Manager.
SYSTEM MANAGER(S) AND ADDRESS:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, Maryland 20857-0001.
NOTIFICATION PROCEDURE:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. An individual (and/or the individual's legal
representative) seeking access to his/her records may contact the DCP
Privacy Act Coordinator for information about obtaining access to the
records. Each individual seeking access will be required to verify his/
her identity to the satisfaction of the DCP Privacy Act Coordinator.
Refusal to provide sufficient proof of identity will result in denial
of the request for access until such time as proof of identity can be
obtained. The System Manager has authority to release records to
authorized officials within DCP, HHS and other organizations where
commissioned officers are assigned.
2. Requests in person. An individual who is the subject of a record
and who appears in person seeking access shall provide his/her name and
at least one piece of tangible identification (e.g., PHS Commissioned
Corps Identification Card, driver's license or passport).
Identification cards with current photograph are required. The records
will be reviewed in the presence of an appropriate DCP employee who
will answer questions and ensure that the individual neither removes
nor inserts any material into the record without the knowledge of the
DCP employee. If the individual requests a copy of any records
reviewed, the DCP employee will provide them to the individual. The DCP
employee will record the name of the individual granted access, the
date of access, and information about the verification of identity on a
separate log sheet maintained in the office of the Privacy Act
Coordinator, DCP.
3. Requests by mail. Written requests must be addressed to the
System Manager or the DCP Privacy Act Coordinator at the address shown
as the system location above. All written requests must be signed by
the individual seeking access. A comparison will be made of that
signature and the signature maintained on file prior to release of the
material requested. Copies of the records to which access has been
requested will be mailed to the individual. The original version of a
record will not be released except in very unusual situations when only
the original will satisfy the purpose of the request.
4. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary to
assure payment of benefits to which the individual is entitled.
5. Requests by phone. Because positive identification of the caller
cannot be established with sufficient certainty, telephone requests for
access to records will not be honored.
6. Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures made outside the Department, if any, that
have been made from that individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
From individual officers, applicants, persons providing references,
dependents, former spouses of officers, governmental and private
training facilities, health professional licensing and credentialing
organizations, government officials and employees and from the records
contained in the following systems: 09-40-0002, Public Health Service
(PHS) Commissioned Corps Medical Records, HHS/PSC/HRS; 09-40-0003,
Public Health Service (PHS) Commissioned Corps Board Proceedings, HHS/
PSC/HRS; 09-40-0004, Public Health Service (PHS) Commissioned Corps
Grievance, Investigatory and Disciplinary Files, HHS/PSC/HRS; 09-40-
0005, Public
[[Page 68602]]
Health Service (PHS) Commissioned Corps Beneficiary-Contract Medical/
Health Care Records, HHS/PSC/HRS; and 09-40-0006, Public Health Service
(PHS) Commissioned Corps Payroll Records, HHS/PSC/HRS.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
09-40-0002
SYSTEM NAME:
Public Health Service (PHS) Commissioned Corps Medical Records,
HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Medical Affairs Branch (MAB), DCP/HRS/PSC, Room 4C-14, Parklawn
Building, 5600 Fishers Lane, Rockville, Maryland 20857-0001.
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. When an officer ceases the
active relationship with the commissioned corps, the records are
combined with the Official Personnel Folder (OPF) in records system 09-
40-0001, Public Health Service (PHS) Commissioned Corps General
Personnel Records, HHS/PSC/HRS, and transferred to the appropriate
facility as outlined in 09-40-0001.
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.
Names and addresses of contractors given information under routine
use 4 can be obtained from the System Manager at the location
identified below.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
PHS commissioned officers (including active, inactive, terminated,
retired and deceased officers), applicants to the commissioned corps,
and dependents of officers seeking Defense Enrollment/Eligibility
Reporting System eligibility on the basis of incapacity.
CATEGORIES OF RECORDS IN THE SYSTEM:
Medical files and records on individuals identified above; medical
board records from Medical Review Boards and Appeals Boards, including
board reports and supporting medical documentation; death case files
and supporting documents; sick leave records; performance and behavior
documentation of individuals as may relate to medical conditions; and
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 the Title 37, U.S.C.,
related to pay and allowance for members of the uniformed services;
portions of Title 38, U.S.C., related to benefits administered by the
Department of Veterans Affairs; sections of 50 U.S.C. App., related to
the selective service obligations and the Soldiers' and Sailors' Civil
Relief Act; 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, HHS.
PURPOSE(S):
The information is used by the Program Support Center (PSC), DCP,
HHS Operating Divisions (OPDIVs) and other organizations where
commissioned officers are assigned, to:
1. Evaluate applicants for appointment and officers for
reassignment, reactivation and fitness for duty and suitability for
retention on active duty.
2. Make determinations about the level of an officer's disability
and entitlement to disability severance or retired pay.
3. Make determinations regarding EEO complaints or grievances filed
by the officer, if the nature of the complaint suggests that pertinent
evidence may be located in the medical record.
4. Make determinations about the level of a dependent's
disabilities or incapacities which may make the dependent eligible for
benefits from PHS.
5. Make budgetary estimates about the cost of disability severance
and retired pay.
6. Prepare reports or provide statistical information relating to
the medical status of officers.
7. Initiate or support disciplinary or other adverse actions by the
Director, DCP, against applicants or officers for misconduct.
8. Support monitoring of compliance of officers with the
requirements of their professional licensing or certifying authorities.
9. Make decisions about funding, use, access, location and quality
of medical care and promote continuity of medical evaluation and
treatment.
10. Monitor officer compliance with recommended treatment and with
commissioned corps policies regarding sick leave.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records or information from these records may be used:
1. To disclose information to the Department of Veterans Affairs;
Bureau of Prisons (Department of Justice); Coast Guard (Department of
Transportation); Department of State; Department of Defense; NOAA
(Department of Commerce); Agency for International Development,
Environmental Protection Agency and other Federal agencies or civilian
health care providers where commissioned officers are assigned or are
receiving medical treatment or voluntary or directed evaluations to
ensure continuity of evaluation and/or treatment, to assure medically
appropriate assignments and duty limitations, to support disciplinary
or other adverse actions and to assure compliance with sick leave
policies.
2. To disclose information to a congressional office from the
record of an individual in response to a verified inquiry from the
congressional office made at the written request of that individual.
3. To promote continuity of care by supplying information to
Government or civilian medical care facilities and/or practitioners
who, under contract or as otherwise authorized or due to an emergency,
provide treatment to officers and their dependents.
4. When the Department contemplates contracting with a private firm
for the purpose of collating, analyzing, aggregating, or otherwise
refining records in this system, relevant records will be disclosed to
such a contractor. The contractor will be required to maintain Privacy
Act safeguards with respect to such records. These safeguards are
explained in the section entitled ``Safeguards''.
5. To the Department of Justice, 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
[[Page 68603]]
where HHS determines that the litigation is likely to affect HHS or any
of its components, is a party to litigation or has 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 are collected.
6. To provide information relating to the disability or death of
officers to the Social Security Administration to determine the Social
Security benefits or other benefits which may be available to the
officer or to the survivors of deceased officers.
7. To provide information to Federal agencies such as the
Department of Veterans Affairs and State Workers' Compensation offices
to help adjudicate post-service claims for benefits.
8. Information regarding the commission of crimes or the reporting
of occurrences of communicable diseases, tumors, child abuse, births,
deaths, alcohol or drug abuse, etc., may be disclosed as required by
health providers and facilities by State law or regulation of the
department of health or other agency of the State or its subdivision in
which the facility is located. Disclosures will be made to
organizations as specified by the State law or regulation, such as
births and deaths to the vital statistics agency and crimes to law
enforcement agencies. Disclosure of the contents of records which
pertain to patient identity, diagnosis, prognosis, or treatment of
alcohol or drug abuse is restricted under the provisions of the
Confidentiality of Alcohol and Drug Abuse Patient Records Regulation 42
CFR part 2, as authorized by 21 U.S.C. 1175 and 42 U.S.C. 290dd.2, as
amended by Pub. L. 98-24 and 102-321.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Automated files are stored on disks, microfiche and magnetic tapes.
Nonautomated (hard-copy) files are kept in offices, and may be stored
in Lektrievers, Conserve-a-files, safes, cabinets, bookcases or desks.
RETRIEVABILITY:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
SAFEGUARDS:
1. Authorized Users
a. Automated Records. Access to and use of automated records is
limited to personnel employed in the MAB and certain employees of the
Office of the Director, DCP. Selected information may be released to
employees in DCP whose official duties require such access. The Human
Resources Service (HRS) provides computer design, programming and
support to DCP, and has access to the data to the extent necessary to
facilitate the provision of these services to DCP. However, HRS
personnel are not authorized to grant access to or make disclosures
from automated data in this system to anyone or any organization.
b. Nonautomated records. Access to and use of nonautomated records
is limited to MAB, certain members of the Office of the Director, DCP,
and departmental employees, such as EEO officials and members of
Medical Review and Appeals Boards, whose official duties require such
access to the information for purposes stated under routine uses or
purposes. These individuals are permitted access to records only after
they have satisfactorily identified themselves as having an official
need to review the information and have provided satisfactory proof of
their identities. Access is also granted to individuals who have
written permission to review the record when that permission has been
obtained from the individual to whom the record pertains. All
individuals other than DCP employees must complete Privacy Act
nondisclosure oaths and, except for Medical Board members, must submit
written requests for access to these records showing the name and
employing office of the requestor, the date on which the record is
requested, and the purpose for reviewing the information in the record.
This written request is then placed into the record.
2. Physical safeguards
a. Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
locks. During nonwork hours, all cabinets, storage facilities, rooms
and offices are locked and the premises are patrolled regularly by
building security forces.
b. Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records are
not in use, they are closed and secured in desk drawers with locks,
filing cabinets with locks, or other security equipment, all of which
are kept inside authorized office space which is locked whenever it is
not in use. Keys to furniture and equipment are kept only by the
individual who is assigned to that furniture or equipment and by the
DCP security officer.
3. Procedural safeguards
a. Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. Access
codes and passwords are on a random schedule. In addition, programming
for automated records allows authorized personnel to access only those
records that are essential to their duties. Remote access to automated
data from remote terminals is restricted to the PSC, Office of the
Surgeon General and personnel officials where commissioned officers are
employed. No access is permitted to automated records from remote
terminal sites maintained by individuals or organizations outside of
DCP.
b. Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of MAB, DCP. When records are
needed at a remote location, copies of the records will be provided.
When copying records for authorized purposes, care is taken to ensure
that any imperfect or extra copies are not left in the copier room
where they can be read, but are destroyed or obliterated.
4. Contractor Guidelines. A contractor who is given records under
routine use 4 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the records
to have access to them, prevent unauthorized persons from gaining
access to the records, and return the records to the System Manager
immediately upon completion of the work specified in the contract.
Contractor compliance is assured though inclusion of Privacy Act
requirements in contract clauses, and through monitoring by contract
and project officers. Contractors who maintain records are instructed
to make
[[Page 68604]]
no disclosure of the records except as authorized by the System Manager
and as stated in the contract.
RETENTION AND DISPOSAL:
When an officer terminates his/her commission, records are
incorporated into the OPF and transferred to a Federal Records Center
in accordance with 09-40-0001, Public Health Service (PHS) Commissioned
Corps General Personnel Records, HHS/PSC/HRS, procedures. Medical
records on nonselected applicants may be destroyed after two years.
Records of retirees are incorporated into the OPF and disposed of in
accordance with 09-40-0001, Public Health Service (PHS) Commissioned
Corps General Personnel Records, HHS/PSC/HRS procedures, unless the
individual is on the temporary disability retirement list, in which
case the file is maintained under the same conditions as an active duty
officer's file until the individual is permanently retired, returned to
active duty or terminated. Medical records of a dependent incapable of
self support are maintained until the dependent is no longer eligible
for benefits from PHS at which time the records are transferred to a
Federal Records Center for permanent storage.
SYSTEM MANAGER(S) AND ADDRESS:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, Maryland 20857-0001.
NOTIFICATION PROCEDURE:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. An individual (and/or the individual's legal
representative) seeking access to his/her records may initially contact
any DCP office or employee for information about obtaining access to
the records. The DCP employees will inform each individual of the
appropriate procedures to follow. Each individual seeking access will
be required to verify his/her identity to the satisfaction of the DCP
employee providing access. Refusal to provide sufficient proof of
identity will result in denial of the request for access until such
time as proof of identity can be obtained. The System Manager has
authority to release automated records to the Medical Affairs Branch.
If a determination is made that the material sought contains
medical information that is likely to have an adverse effect on the
requester, the requester shall be asked to designate in writing a
responsible representative who will be willing to review the record and
inform the subject individual of the material's contents at the
representative's discretion. Such a representative must provide proof
that s/he is duly authorized to review the record by either the
individual or the individual's legal guardian. A parent, guardian or
legal representative who requests notification of, or access to, a
dependent/incompetent person's record shall designate a family
physician or other health professional (other than a family member) to
whom the record, if any, will be sent. The parent or guardian must
verify his/her relationship to the dependent/incompetent person as well
as his/her own identity.
2. Requests in person. An individual who is the subject of a record
and who appears in person seeking access shall provide his/her name and
at least one piece of tangible identification (e.g., PHS Commissioned
Corps Identification Card, driver's license or passport).
Identification cards with current photograph are required. The records
will be reviewed in the presence of an appropriate DCP employee, who
will answer questions and ensure that the individual neither removes
nor inserts any material into the record without the knowledge of the
DCP employee. If the individual requests a copy of any records
reviewed, the DCP employee will provide them to the individual. The DCP
employee will record the name of the individual granted access, the
date of access, and information about the verification of identity on a
separate log sheet maintained in the office of the MAB, DCP.
3. Requests by mail. Written requests must be addressed to the
System Manager or the Medical Affairs Branch at the address shown as
the system location above. All written requests must be signed by the
individual seeking access. A comparison will be made of that signature
and the signature maintained on file prior to release of the material
requested. Copies of the records to which access has been requested
will be mailed to the individual. The original version of a record will
not be released except in very unusual situations when only the
original will satisfy the purpose of the request.
4. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary to
assure payment of benefits to which the individual is entitled.
5. Requests by phone. Because positive identification of the caller
cannot be established with sufficient certainty, telephone requests for
access to records will not be honored.
6. Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures made outside the Department, if any, that
have been made from that individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
From individual officers and other commissioned corps officials;
applicants; private and Government physicians; hospitals and clinics
rendering treatment; investigative reports, records contained in system
09-40-0001, Public Health Service (PHS) Commissioned Officer General
Personnel Records, HHS/PSC/HRS; records from system 09-40-0005, Public
Health Service (PHS) Beneficiary Contract Medical/Health Care Records,
HHS/PSC/HRS; death certificates and reports of death and from survivors
and executors of estates.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
09-40-0003
SYSTEM NAME:
Public Health Service (PHS) Commissioned Corps Board Proceedings,
HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Division of Commissioned Personnel (DCP), HRS/PSC, Room 4-36,
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857-0001.
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.
Names and addresses of contractors given information under routine
use 4 can be obtained from the System
[[Page 68605]]
Manager at the location identified below.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Commissioned officers (including active, inactive, terminated,
retired and deceased officers) and applicants to the PHS Commissioned
Corps.
CATEGORIES OF RECORDS IN THE SYSTEM:
The categories of records in this system consist of the following:
1. Appointment Board files consisting of applications, references,
school transcripts, and other materials used in the appointment
examination process.
2. Promotion Board files consisting of recommendations from PHS
components and worksheets from previous promotion boards.
3. Officer Special Pay Review Board files consisting of Special Pay
contracts, certification of eligibility by PHS components, information
pertaining to disciplinary actions and related documents.
4. Assimilation Board files consisting of PHS component
recommendations, information pertaining to disciplinary actions and
related documents.
5. Three-Year File Review Board files consisting of recommendations
from PHS components, information pertaining to disciplinary actions and
related documents.
6. Chief Professional Officer Nominating Board files, consisting of
recommendations from PHS programs and officials, curriculum vitae for
officers under consideration, evaluation materials and other material
used by the Board in its deliberations.
7. Flag Officer Billet Assignment Board and Flag Officer
Nominations Board records consisting of recommendations from PHS
programs and officials, curriculum vitae for officers under
consideration, evaluation materials and other materials used by the
Board in its deliberations.
8. Voluntary Retirement Board files consisting of recommendations
from PHS components and worksheets.
9. Records from other Board processes instituted as part of the
administration of the PHS Commissioned Corps personnel system.
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 the Title 37, U.S.C.,
related to pay and allowance for members of the uniformed services;
portions of Title 38, U.S.C., related to benefits administered by the
Department of Veterans Affairs; sections of 50 U.S.C. App., related to
the selective service obligations and the Soldiers' and Sailors' Civil
Relief Act; 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, HHS.
PURPOSE(S):
The information is used by the Program Support Center (PSC), DCP,
HHS Operating Divisions (OPDIVs) and other organizations where
commissioned officers are assigned, to:
1. Recommend or decide on appropriate actions in the areas of
commissioned corps personnel administration listed above.
2. Prepare the ``PHS Commissioned Officer Roster and Promotion
Seniority of the Public Health Service'' which contains the names and
status of officers on active duty.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records or information from these records may be used:
1. To disclose information to a congressional office from the
record of an individual in response to a verified inquiry from the
congressional office made at the written request of that individual.
2. To the Department of Justice, 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 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 are
collected.
3. To disclose pertinent information to appropriate Federal, State,
or local agencies; international agencies; or foreign governments
responsible for investigating, prosecuting, enforcing or implementing
statutes, rules, regulations or orders when PHS becomes aware of
evidence of a potential violation of civil or criminal law.
4. When the Department contemplates contracting with a private firm
for the purpose of collating, analyzing, aggregating, or otherwise
refining records in this system, relevant records will be disclosed to
such a contractor. The contractor will be required to maintain Privacy
Act safeguards with respect to such records. These safeguards are
explained in the section entitled ``Safeguards.''
5. To disclose information to the Department of Labor, the
Department of Veterans Affairs, Social Security Administration or other
Federal agencies having special employee benefit programs; to a
Federal, State, county or municipal agency; or to a publicly recognized
charitable organization when necessary to adjudicate a claim under a
benefit program, or to conduct analytical studies of benefits being
paid under such programs, provided such disclosure is consistent with
the purposes for which the information was originally collected.
6. To disclose information to the Office of Management and Budget
(OMB) at any stage in the legislative coordination and clearance
process in connection with private relief legislation as set forth in
OMB Circular No. A-19, or for budgetary or management oversight
purposes.
7. To disclose information to Government training facilities
(Federal, State, and local) and to non-Government training facilities
(e.g. private vendors of training courses or program, private schools)
for training purposes, such as crediting of work experience in
Commissioned Officer Student Training and Extern Program or
verification of status or income.
8. To disclose to Federal and non-Federal agencies information
allowing the consideration and selection of officers for honor awards
made as a result of the individual's work as a commissioned officer,
and to publicize those awards granted. This may include disclosure to
other public and private organizations, including the news media, which
grant or publicize officer awards and honors.
9. Disclosure may be made to State Boards of Medical Examiners and
to equivalent State licensing boards of professional review actions
which adversely affect the clinical privileges of health care
professionals who either: (a)
[[Page 68606]]
are or were employed by the Federal Government; (b) provide or have
provided health care service under a fee-for-service contract with the
Federal Government; (c) provide or have provided health care services
on behalf of the Federal Government as a volunteer or visiting fellow.
Boards of Medical Examiners and equivalent State licensing boards are
required by the Health Care Quality Improvement Act of 1986 and by the
Medicare and Medicaid Patient and Program Protection Act of 1987 to
report this information to the National Practitioner Data Bank.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Automated files are stored on disks, microfiche and magnetic tapes.
Nonautomated (hard-copy) files are kept in offices, and may be stored
in Lektrievers, safes, cabinets, bookcases or desks.
RETRIEVABILITY:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
SAFEGUARDS:
1. Authorized Users
a. Automated Records. Access to and use of automated records is
limited to DCP personnel involved in the specific Board process for
which the information was collected. The Business Systems Engineering
Division (BSED) provides computer design, programming and support to
DCP, and has access to the data to the extent necessary to facilitate
the provision of these services to DCP. However, BSED personnel are not
authorized to grant access to or make disclosures from automated data
in this system to anyone or any organization.
b. Nonautomated records. Access to and use of nonautomated records
is limited to DCP personnel involved in the specific Board process for
which the information was collected, departmental employees whose
official duties require such access or to individuals needing access to
the information for purposes stated under routine uses. These
individuals are permitted access to records only after they have
satisfactorily identified themselves as having an official need to
review the information and have provided satisfactory proof of their
identities. Access is also granted to individuals who have written
permission to review the record when that permission has been obtained
from the individual to whom the record pertains. All individuals from
outside the Department, to whom disclosure is made pursuant to a
routine use, must complete Privacy Act nondisclosure oaths and must
submit written requests for access to these records showing the name
and employing office of the requester, the date on which the record is
requested and the purpose for reviewing the information in the records.
This written request is then placed into the record.
2. Physical safeguards
a. Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
combination locks. During nonwork hours, all cabinets, storage
facilities, rooms and offices are locked and the premises are patrolled
regularly by building security forces.
b. Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records are
not in use, they are closed and secured in desk drawers with locks,
filing cabinets with locks, or other security equipment, all of which
are kept inside authorized office space which is locked whenever it is
not in use. Keys to furniture and equipment are kept only by the
individual who is assigned to that furniture or equipment and by the
DCP security officer.
3. Procedural safeguards
a. Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. Access
codes and passwords are changed on a random schedule. In addition,
programming for automated records allows authorized personnel to access
only those records that are essential to their duties. Remote access to
automated data from remote terminals is restricted to the PSC, Office
of the Surgeon General and personnel officials where commissioned
officers are employed. No access is permitted to organizations that do
not have automated personnel recordkeeping systems that comply with
Privacy Act requirements.
b. Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of DCP. When records are needed at
a remote location, copies of the records will be provided. When copying
records for authorized purposes, care is taken to ensure that any
imperfect or extra copies are not left in the copier room where they
can be read, but are destroyed or obliterated.
4. Contractor Guidelines. A contractor who is given records under
routine use 4 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the records
to have access to them, prevent any unauthorized persons from gaining
access to the records, and return the records to the System Manager
immediately upon completion of the work specified in the contract.
Contractor compliance is assured though inclusion of Privacy Act
requirements in contract clauses, and through monitoring by contract
and project officers. Contractors who maintain records are instructed
to make no disclosure of the records except as authorized by the System
Manager and as stated in the contract.
RETENTION AND DISPOSAL:
Files pertaining to all board proceedings are only incorporated
into 09-40-0001, Public Health Service (PHS) Commissioned Corps General
Personnel Records, HHS/PSC/HRS to the extent required to provide
sufficient documentation of an involuntary or adverse action. Special
Pay Review Boards and board of inquiry records remain in this system as
long as they are needed for administrative purposes, after which time
they are destroyed by shredding. All promotion, assimilation and 3 year
review board documentation is retained for a period of 5 years after
which it is destroyed by shredding. Appointment board files are
incorporated into 09-40-0001, Public Health Service (PHS) Commissioned
Corps General Personnel Records, HHS/PSC/HRS when the applicant comes
onto active duty with the commissioned corps with the exception of the
reference forms which are shredded after 5 years. If the applicant does
not come onto active duty, the file is destroyed by shredding when the
file is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, Maryland 20857-0001.
[[Page 68607]]
NOTIFICATION PROCEDURE:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. An individual (and/or the individual's legal
representative) seeking access to his/her records may contact the DCP
Privacy Act Coordinator for information about obtaining access to the
records. Each individual seeking access will be required to verify his/
her identity to the satisfaction of the DCP employee providing access.
Refusal to provide sufficient proof of identity will result in denial
of the request for access until such time as proof of identity can be
obtained. The System Manager has authority to release records to
authorized officials within DCP, HHS and other organizations where
commissioned officers are assigned.
If a determination is made that the material sought contains
medical information that is likely to have an adverse effect on the
requester, the requester shall be asked to designate in writing a
responsible representative who will be willing to review the record and
inform the subject individual of the material's contents at the
representative's discretion. Such a representative must provide proof
that s/he is duly authorized to review the record by either the
individual or the individual's legal guardian. A parent, guardian or
legal representative who requests notification of, or access to, a
dependent/incompetent person's record shall designate a family
physician or other health professional (other than a family member) to
whom the record, if any, will be sent. The parent or guardian must
verify his/her relationship to the dependent/incompetent person as well
as his/her own identity.
2. Requests in person. An individual who is the subject of a record
and who appears in person seeking access shall provide his/her name and
at least one piece of tangible identification (e.g., PHS Commissioned
Corps Identification Card, driver's license or passport).
Identification cards with current photograph are required. The records
will be reviewed in the presence of an appropriate DCP employee, who
will answer questions and ensure that the individual neither removes
nor inserts any material into the record without the knowledge of the
DCP employee. If the individual requests a copy of any records
reviewed, the DCP employee will provide them to the individual. The DCP
employee will record the name of the individual granted access, the
date of access, and information about the verification of identity on a
separate log sheet maintained in the office of the DCP employee who
reviewed the record.
3. Requests by mail. Written requests must be addressed to the
System Manager or the DCP Privacy Act Coordinator at the address shown
as the system location above. All written requests must be signed by
the individual seeking access. A comparison will be made of that
signature and the signature maintained on file prior to release of the
material requested. Copies of the records to which access has been
requested will be mailed to the individual. The original version of a
record will not be released except in very unusual situations when only
the original will satisfy the purpose of the request.
4. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary to
assure payment of benefits to which the individual is entitled.
5. Requests by phone. Because positive identification of the caller
cannot be established with sufficient certainty, telephone requests for
access to records will not be honored.
6. Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures made outside the Department, if any, that
have been made from that individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
From individual officers or their service records; efficiency
reports; persons providing references; reports of findings and
recommendations made by Board members; supervisors; private and
Government physicians; hospitals and clinics rendering treatment;
licensure and professional credentialing organizations; investigative
reports, law enforcement organizations; court records; death
certificates and reports of death; survivors and executors of estates;
and the records contained in the following systems: 09-40-0001, Public
Health Service (PHS) Commissioned Corps General Personnel Records, HHS/
PSC/HRS; 09-40-0002, Public Health Service (PHS) Commissioned Corps
Medical Records, HHS/PSC/HRS; and 09-40-0004, Public Health Service
(PHS) Commissioned Corps Grievance, Investigatory and Disciplinary
Files, HHS/PSC/HRS.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
09-40-0004
SYSTEM NAME:
Public Health Service (PHS) Commissioned Corps Grievance,
Investigatory and Disciplinary Files, HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Division of Commissioned Personnel (DCP), HRS/PSC, Room 4-36,
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857-0001
and offices and organizations to which an individual commissioned
officer is assigned. The exact location of any record may be obtained
by contacting the Director, DCP, at the location identified below.
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
PHS Commissioned Corps officers, including active duty, inactive,
terminated, separated and deceased officers.
CATEGORIES OF RECORDS IN THE SYSTEM:
Files concerning grievances filed by or against commissioned
officers; investigative files, records related to disciplinary actions,
records related to involuntary retirements and involuntary separations
(non-board or pre-board actions) taken against commissioned officers;
and 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 the Title 37, U.S.C.,
related to pay and allowance for
[[Page 68608]]
members of the uniformed services; portions of Title 38, U.S.C.,
related to benefits administered by the Department of Veterans Affairs;
sections of 50 U.S.C. App., related to the selective service
obligations and the Soldiers' and Sailors' Civil Relief Act; 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, HHS.
PURPOSE(S):
The information is used by the Program Support Center (PSC), DCP,
HHS Operating Divisions (OPDIVs) and other organizations where
commissioned officers are assigned, to:
1. Investigate allegations of misconduct or marginal and
substandard performance.
2. Process and decide grievances, involuntary retirements,
involuntary separations, temporary grade reversions or disciplinary
actions.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records or information from these records may be used:
1. To disclose information to a congressional office from the
record of an individual in response to a verified inquiry from the
congressional office made at the written request of that individual.
2. To the Department of Justice, 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 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 are
collected.
3. To disclose pertinent information to appropriate Federal, State,
or local agencies; international agencies; or foreign governments
responsible for investigating, prosecuting, enforcing or implementing
statutes, rules, regulations or orders when PHS becomes aware of
evidence of a potential violation of civil or criminal law.
4. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission by the President's Reorganization
Plan No. 1 of 1978.
5. Disclosure may be made to State Boards of Medical Examiners and
to equivalent State licensing boards of professional review actions
which adversely affect the clinical privileges of health care
professionals who either: (a) Are or were employed by the Federal
Government; (b) provide or have provided health care services under a
fee-for-service contract with the Federal Government; or (c) provide or
have provided health care services on behalf of the Federal Government
as a volunteer or visiting fellow. Boards of Medical Examiners and
equivalent State licensing boards are required by the Health Care
Quality Improvement Act of 1986 and by the Medicare and Medicaid
Patient and Program Protection Act of 1987 to report this information
to the National Practitioner Data Bank.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Automated files are stored on disks, microfiche and magnetic tapes.
Nonautomated (hard-copy) files are kept in offices, and may be stored
in Lektrievers, safes, cabinets, bookcases or desks.
RETRIEVABILITY:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
SAFEGUARDS:
1. Authorized Users
a. Automated Records. Access to and use of automated records is
limited to DCP personnel involved in the grievance or investigation for
which the information was collected. The Human Resources Service (HRS)
provides computer design, programming and support to DCP, and has
access to the data to the extent necessary to facilitate the provision
of these services to DCP. However, HRS personnel are not authorized to
grant access to or make disclosures from automated data in this system
to anyone or any organization.
b. Nonautomated records. Access to and use of nonautomated records
is limited to DCP personnel involved in the specific grievance or
investigatory process for which the information was collected. These
records may be copied and related to departmental officials involved in
a decisionmaking capacity in a given case. These individuals are
permitted access to records only after they have satisfactorily
identified themselves as having an official need to review the
information and have provided satisfactory proof of their identities.
Access is also granted to individuals who have written permission to
review the record when that permission has been obtained from the
individual to whom the record pertains. All individuals from outside
the Department, to whom disclosure is made pursuant to a routine use,
must complete Privacy Act nondisclosure oaths and must submit written
requests for access to these records showing the name and employing
office of the requester, the date on which the record is requested and
the purpose for reviewing the information in the records. This written
request is then placed into the record.
2. Physical safeguards
a. Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
combination locks. During nonwork hours, all cabinets, storage
facilities, rooms and offices are locked and the premises are patrolled
regularly by building security forces.
b. Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records are
not in use, they are closed and secured in desk drawers with locks,
filing cabinets with locks, or other security equipment, all or which
are kept inside authorized office space which is locked whenever it is
not in use. Keys to furniture and equipment are kept only by the
individual who is assigned to that furniture or equipment and by the
DCP security officer.
[[Page 68609]]
3. Procedural safeguards
a. Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. Access
codes and passwords are changed on a random schedule. In addition,
programming for automated records allows authorized personnel to access
only those records that are essential to their duties. Remote access to
automated data from remote terminals is restricted to the PSC, OSG and
personnel officials where commissioned officers are employed. No access
is permitted to organizations that do not have automated personnel
record-keeping systems that comply with Privacy Act requirements.
b. Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of DCP. When records are needed at
a remote location, copies of the records will be provided. When copying
records for authorized purposes, care is taken to ensure that any
imperfect or extra copies are not left in the copier room where they
can be read, but are destroyed or obliterated.
RETENTION AND DISPOSAL:
Grievance files are destroyed after two years or earlier if no
longer needed for administrative purposes. Documentation which directly
supports personnel actions affecting an individual is placed into the
individual's Official Personnel Folder after a final, official decision
has been made and/or the action has been effected, and is then treated
in the same manner as other material in system 09-40-0001, ``PHS
Commissioned Corps General Personnel Records, HHS/PSC/HRS.''
Investigatory records concerning cases in which no final decisions have
been made, or which are ongoing over a period of time are kept
indefinitely until a final decision is made. Records concerning cases
which are closed or on which final action has been taken, but which are
not essential to document or support the final action, are retained as
long as they are needed for administrative purposes and are then
destroyed by shredding.
SYSTEM MANAGER(S) AND 2ADDRESS:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, Maryland 20857-0001.
NOTIFICATION PROCEDURE:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. An individual (and/or the individual's legal
representative) seeking access to his/her records may initially contact
the DCP Privacy Act Coordinator for information about obtaining access
to the record. Each individual seeking access will be required to
verify his/her identity to the satisfaction of the Privacy Act
Coordinator. Refusal to provide sufficient proof of identity will
result in denial of the request for access until such time as proof of
identity can be obtained. The System Manager has authority to release
records to authorized officials within DCP.
If a determination is made that the material sought contains
medical information that is likely to have an adverse effect on the
requester, the requester shall be asked to designate in writing a
responsible representative who will be willing to review the record and
inform the subject individual of the material's contents at the
representative's discretion. Such a representative must provide proof
that s/he is duly authorized to review the record by either the
individual or the individual's legal guardian. A parent, guardian or
legal representative who requests notification of, or access to, a
dependent/incompetent person's record shall designate a family
physician or other health professional (other than a family member) to
whom the record, if any, will be sent. The parent or guardian must
verify his/her relationship to the dependent/incompetent person as well
as his/her own identity.
2. Requests in person. An individual who is the subject of a record
and who appears in person seeking access shall provide his/her name and
at least one piece of tangible identification (e.g., PHS Commissioned
Corps Identification Card, driver's license or passport).
Identification cards with current photograph are required. The records
will be reviewed in the presence of an appropriate DCP employee who
will answer questions and ensure that the individual neither removes
nor inserts any material into the record without the knowledge of the
DCP employee. If the individual requests a copy of any records
reviewed, the DCP employee will provide them to the individual. The DCP
employee will record the name of the individual granted access, the
date of access, and information about the verification of identity on a
separate log sheet maintained in the record.
3. Requests by mail. Written requests must be addressed to the
System Manger or the DCP Privacy Act Coordinator at the address shown
as the system location above. All written requests must be signed by
the individual seeking access. A comparison will be made of that
signature and the signature maintained on file prior to release of the
material requested. Copies of the records to which access has been
requested will be mailed to the individual. The original version of a
record will not be released except in very unusual situations when only
the original will satisfy the purpose of the request.
4. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary to
assure payment of benefits to which the individual is entitled.
5. Requests by phone. Because positive identification of the caller
cannot be established with sufficient certainty, telephone requests for
access to records will not be honored.
6. Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures made outside the Department, if any, that
have been made from that individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
From individual officers or their service records; efficiency
reports; persons providing references; reports of findings and
recommendations made by the commissioned corps Board members;
supervisors, private and Government physicians; hospitals and clinics
rendering treatment; licensure and professional credentialing
organizations; investigative reports; law enforcement organizations;
court records; death certificates and reports of death; survivors and
executors of estates; and records contained in the following systems:
90-40-0001, Public Health Service (PHS) Commissioned
[[Page 68610]]
Corps General Personnel Records, HHS/PSC/HRS; 09-40-0002, Public Health
Service (PHS) Commissioned Corps Medical Records, HHS/PSC/HRS; 09-40-
0003, Public Health Service (PHS) Commissioned Corps Board Proceedings,
HHS/PSC/HRS; and 09-40-0006, Public Health Service (PHS) Commissioned
Corps Payroll Records, HHS/PSC/HRS.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
09-40-0005
SYSTEM NAME:
Public Health Service (PHS) Beneficiary-Contract Medical/Health
Care Records, HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Medical Affairs Branch (MAB), Beneficiary Medical Programs Section,
DCP/HRS/PSC, Room 4C-06, Parklawn Building, 5600 Fishers Lane,
Rockville, Maryland 20857-0001.
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.
Names and addresses of contractors given information under routine
use 8 can be obtained from the System Manager at the location
identified below.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are or were legally entitled to health care through
the Public Health Service and who have received health care from health
professionals or facilities under contract or agreement with the
Department of Health and Human Services.
CATEGORIES OF RECORDS IN THE SYSTEM:
May include any or all of the following: Diagnostic (laboratory/X-
ray, etc.) and treatment data; sociological information; invoices for
services; eligibility data including employment history; and uniformed
services information (employing services, service numbers, duty
station, home address, etc.).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Section 215 of the Public Health Service Act (42 U.S.C. 216)
``Regulations'' and section 326 of the Public Health Service Act (42
U.S.C. 253) ``Medical Services to Coast Guard, National Oceanic and
Atmospheric Administration and the Public Health Service.''
PURPOSE(S):
The information is used by the Program Support Center (PSC), DCP,
HHS Operating Divisions and other organizations where commissioned
officers are assigned, to:
1. Serve as the basis for payment for patient care and for
continuity in the evaluation of the patient's condition and treatment.
2. Furnish documentary evidence of the course of the patient's
medical evaluation and treatment to document communications between the
responsible practitioner and any other health professionals
contributing to the patient's care and treatment.
3. Verify patient eligibility.
4. Ensure quality assurance.
5. Monitor contract compliance.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of these records and information from these records may
be made to:
1. Medical laboratories and facilities and non-agency physicians in
order to facilitate treatment and payment of bills. Recipients are
required to maintain adequate safeguards with respect to such records.
2. The Department of Commerce to report results of examination and/
or treatment of that agency's personnel.
3. The Department of Defense and the Department of Veterans Affairs
to assist uniformed services, personnel, retirees and veterans to
obtain medical care or benefits.
4. A Federal agency, in response to its request, in connection with
the hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, other issuance of a license, grant or other
benefit by the requesting agency, to the extent that the information is
relevant and necessary to the requesting agency's decision on the
matter.
5. A congressional office from the record of an individual in
response to a verified inquiry from the congressional office made at
the written request of that individual.
6. In the event of litigation where the defendant is: (a) The
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States where
the Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her official
capacity where the Justice Department has agreed to represent such
employee, the Department may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to present an effective defense, provided such disclosure is
compatible with the purpose for which the records were collected.
7. Information regarding the commission of crimes or the reporting
of occurrences of communicable diseases, tumors, child abuse, births,
deaths, alcohol or drug abuse, etc., may be disclosed as required by
health providers and facilities by State law or regulation of the
department of health or other agency of the State or its subdivision in
which the facility is located. Disclosures will be made to
organizations as specified by the State law or regulation, such as
births and deaths to the vital statistics agency and crimes to law
enforcement agencies. Disclosure of the contents of records which
pertain to patient identity, diagnosis, prognosis or treatment of
alcohol or drug abuse is restricted under the provisions of the
Confidentiality of Alcohol and Drug Abuse Patient Records Regulation 42
CFR part 2, as authorized by 42 U.S.C. 290dd-2.
8. When the Department contemplates contracting with a private firm
for the purpose of collating, analyzing, aggregating, or otherwise
refining records in this system, relevant records will be disclosed to
such a contractor. The contractor will be required to maintain Privacy
Act safeguards with respect to such records. These safeguards are
explained in the section entitled ``Safeguards.''
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders and electronic data base.
RETRIEVABILITY:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
SAFEGUARDS:
1. Authorized Users
a. Automated Records. Access to and use of automated records is
limited to departmental employees whose official duties require such
access; supervisory, contracting officials who review the contractor's
records annually; and doctors, dentists, nurses, allied health
professionals and administrative staff in
[[Page 68611]]
the contractor's office who are involved in patient care management.
b. Nonautomated records. Access to and use of nonautomated records
is limited to departmental employees whose official duties require such
access; contracting officials who review the contractor's records
annually; and doctors, dentists, nurses, allied health professionals
and administrative staff in the contractor's office. Access is also
granted to individuals who have written permission to review the
records when that permission has been obtained from the individual to
whom the record pertains.
2. Physical safeguards
a. Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
locks. During nonwork hours, all cabinets, storage facilities, rooms
and offices are locked and the premises are patrolled regularly by
building security forces.
b. Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records are
not in use, they are closed and secured behind locked inner office
doors, in desk drawers with locks, filing cabinets with locks, or other
security equipment, all of which are kept inside authorized office
space which is locked whenever it is not in use. Keys to furniture and
equipment are kept only by the individual who is assigned to that
furniture or equipment and by the DCP security officer.
3. Procedural safeguards
a. Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. All
users of personal information in connection with the performance of
their jobs protect information from public view and from unauthorized
personnel entering an unsupervised office.
b. Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of DCP. When records are needed at
a remote location, copies of the records will be provided. When copying
records for authorized purposes, care is taken to ensure that any
imperfect or extra copies are not left in the copier room where they
can be read, but are destroyed or obliterated.
4. Contractor Guidelines. A contractor who is given records under
routine use 8 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the records
to have access to them, prevent any unauthorized persons from gaining
access to the records, and return the records to the System Manager
immediately upon completion of the work specified in the contract.
Contractor compliance is assured though inclusion of Privacy Act
requirements in contract clauses, and through monitoring by contract
and project officers. Contractors who maintain records are instructed
to make no disclosure of the records except as authorized by the System
Manager and as stated in the contract.
RETENTION AND DISPOSAL:
a. Automated records. Automated billing data are retained for a
period of six years and three months after the closing of a file. The
record is then destroyed.
b. Nonautomated records. Nonautomated records are retained in the
MAB files until the contract is terminated or the payment action
completed. The medical records are then forwarded to the MAB, DCP, and
retained as indicated in 09-40-0002, ``PHS Commissioned Corps Medical
Records, HHS/PSC/HRS.'' Billing information is retained for three
fiscal years, then purged and shredded. Patient care notes are retained
in the chart until retirement, termination or inactivation. Once a
chart is inactivated for over three years it is sent to storage at the
Northeast Region Federal Records Center, Bayonne, New Jersey for 16
years. Destruction at that time is in accordance with standard
practices of the Federal Records Center.
SYSTEM MANAGER(S) AND ADDRESS:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, Maryland 20857-0001.
NOTIFICATION PROCEDURE:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. An individual (and/or the individual's legal
representative) seeking access to his/her records may initially contact
any DCP office or employee for information about obtaining access to
the records. The DCP employees will inform each individual of the
appropriate procedures to follow. Individuals may also seek access to
these records by initially contacting the duty station at which they
believe the records are located. Individuals at the duty station will
ascertain whether the records being sought are maintained at that
location. If the records are not located at that duty station, the
employee will instruct the individual as to where these records may be
located. Each individual seeking access will be required to verify his/
her identity to the satisfaction of the employee providing access.
Refusal to provide sufficient proof of identity will result in denial
of the request for access until such time as proof of identity can be
obtained.
If a determination is made that the material sought contains
medical information that is likely to have an adverse effect on the
requester, the requester shall be asked to designate in writing a
responsible representative who will be willing to review the record and
inform the subject individual of the material's contents at the
representative's discretion. Such a representative must provide proof
that s/he is duly authorized to review the record by either the
individual or the individual's legal guardian. A parent, guardian or
legal representative who requests notification of, or access to, a
dependent/incompetent person's record shall designate a family
physician or other health professional (other than a family member) to
whom the record, if any, will be sent. The parent or guardian must
verify his/her relationship to the dependent/incompetent person as well
as his/her own identity.
2. Requests in person. An individual who is the subject of a record
and who appears in person seeking access shall provide his/her name and
at least one piece of tangible identification (e.g., PHS Commissioned
Corps Identification Card, driver's license or passport).
Identification cards with current photograph are required. The records
will be reviewed in the presence of an appropriate employee who will
answer questions and ensure that the individual neither removes nor
inserts any material into the record without the knowledge of the DCP
employee. If the individual requests a copy of any records reviewed,
the employee will provide them to the individual. The employee will
record the name of the individual granted access, the date of access,
and information about the verification of identity on a separate log
sheet
[[Page 68612]]
maintained in the Beneficiary Medical Program office.
3. Requests by mail. Written requests must be addressed to the
System Manager at the address shown as the system location above. All
written requests must be signed by the individual seeking access. A
comparison will be made of that signature and the signature maintained
on file prior to release of the material requested. Copies of the
records to which access has been requested will be mailed to the
individual. The original version of a record will not be released
except in very unusual situations when only the original will satisfy
the purpose of the request.
4. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary to
assure payment of benefits to which the individual is entitled.
5. Requests by phone. Because positive identification of the caller
cannot be established with sufficient certainty, telephone requests for
access to records will not be honored.
6. Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures made outside the Department, if any, that
have been made from that individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
Information is provided from Individuals, employers, other health
care providers, families and social agencies, and 09-40-0002, Public
Health Service (PHS) Commissioned Corps Medical Records, HHS/PSC/HRS.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
09-40-0006
SYSTEM NAME:
Public Health Service (PHS) Commissioned Corps Payroll Records,
HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATIONS:
Division of Commissioned Personnel (DCP)/HRS/PSC, Room 4-50,
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857-0001.
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. When an officer ceases the
active relationship with the commissioned corps, the records are
combined with the Official Personnel Folder (OPF) in records system 09-
40-0001, ``PHS Commissioned Corps General Personnel Records, HHS/PSC/
HRS'' and transferred to the appropriate facility as outlined in 09-40-
0001, ``PHS Commissioned Corps General Personnel Records, HHS/PSC/
HRS.''
Duplicates of records may also be maintained in operating offices
(duty stations) of the Department and other agencies and organizations
to which PHS Commissioned Corps officers are assigned. Contact the
System Manager for the location of specific records.
Names and addresses of contractors given information under routine
use 7 can be obtained from the System Manager at the location
identified below.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are part of or who have some relationship with the
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 officers; and qualified
applicants to the PHS Commissioned Corps.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain:
1. Documents related to pay, including payroll deductions, leave,
allotments, charitable contributions and garnishments; travel and
allowances (including overseas educational allowances for dependents);
documentation of dependent status used to determine entitlement or
eligibility for benefits; debt collections proceedings; survivor
benefit elections and pay records; worksheets, internal forms, internal
memoranda and other documents which result in, or contribute, to an
action.
2. Special pay files containing special pay contracts, personnel
orders and supporting documentation concerning special pay; worksheets,
internal forms, internal memoranda and other documents which result in,
or contribute, to an action.
3. Retirement pay files containing personnel orders and supporting
documentation concerning retirement pay; worksheets, internal forms,
internal memoranda and other documents which result in, or contribute
to, an action.
4. 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 the Title 37, U.S.C.,
related to pay and allowance for members of the uniformed services;
portions of Title 38, U.S.C., related to benefits administered by the
Department of Veterans Affairs; sections of 50 U.S.C. App., related to
the selective service obligations 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, HHS.
PURPOSE(S):
The information is used by the Program Support Center (PSC), DCP,
HHS Operating Divisions and other organizations where commissioned
officers are assigned, to:
1. Determine eligibility for pay, allowances, entitlements,
privileges, and benefits.
2. Determine the eligibility or entitlements of dependents and
beneficiaries for benefits based on the service of a PHS commissioned
officer.
3. Give legal force to personnel transactions and establish officer
rights and obligations under the pertinent laws and regulations
governing the commissioned corps personnel system.
4. Provide information to HHS components seeking to collect an
overdue debt to the Federal government, but only to the extent
necessary to collect that overdue debt.
5. Provide information to the National Directory of New Hires, the
Federal Parent Locator System (FPLS), the Office of Child Support
Enforcement (OCSE) and the Administration for Children and Families,
HHS, for use in
[[Page 68613]]
locating individuals and identifying their income sources to establish
paternity, establish and modify orders of support and for enforcement
action in accordance with 42 U.S.C. 653.
6. Provide information to the OCSE to verify with the Social
Security Administration the Social Security numbers in connection with
the operation of the FPLS by OCSE.
7. Provide information to the Office of Child Support Enforcement
to release to the Department of the Treasury for purposes of
administering the Earned Income Tax Credit program (Section 32,
Internal Revenue Code of 1986) and verifying a claim with respect to
employment in a tax return.
8. Upon the request of the officer, provide information to
charities, financial organizations, insurance organizations or other
companies for the purposes of contributing to charity, payment of
organizational dues or payment for an organizational benefit (such as
insurance).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records or information from these records may be used:
1. To disclose information to a congressional office from the
record of an individual in response to a verified inquiry from the
congressional office made at the written request of that individual.
2. To the Department of Justice, 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 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 are
collected.
3. To disclose information, such as, but not limited to, name, home
address, Social Security Number, earned income, withholding status, and
amount of taxes withheld, to the Department of Treasury for the
following purposes: preparation and issuance of salary, retired pay,
and annuity checks; issuance of U.S. savings bonds; recording income
information; and collection of income taxes.
4. To disclose to State and local government agencies having taxing
authority pertinent records relating to employees, retirees, and
annuitants, including name, home address, Social Security Number,
earned income, and amount of taxes withheld, when these agencies have
entered into tax withholding agreements with the Secretary of Treasury,
but only to those State and local taxing authorities for which a
member, retiree, or annuitant is or was subject to tax, regardless of
whether tax is or was withheld.
5. To disclose to the Social Security Administration pertinent
records relating to employees, retirees, and annuitants, including
name, home address, Social Security Number, earned income, and amount
of taxes withheld.
6. To disclose pertinent information to appropriate Federal, State,
or local agencies; international agencies; or foreign governments
responsible for investigating, prosecuting, enforcing or implementing
statutes, rules, regulations or orders when PSC becomes aware of
evidence of a potential violation of civil or criminal law.
7. When the Department contemplates contracting with a private firm
for the purpose of collating, analyzing, aggregating, or otherwise
refining records in this system, relevant records will be disclosed to
such a contractor. The contractor will be required to maintain Privacy
Act safeguards with respect to such records. These safeguards are
explained in the section entitled ``Safeguards.''
8. To disclose information to the Office of Management and Budget
(OMB) at any stage in the legislative coordination and clearance
process in connection with private relief legislation as set forth in
OMB Circular No. A-19, or for budgetary or management oversight
purposes.
9. To respond to interrogatories in the prosecution of a divorce
action or settlement for purposes stated in 10 U.S.C. 1408 (``The
Former Spouses'' Protection Act'').
10. To disclose information about the entitlements and benefits of
a beneficiary of a deceased officer, retiree, or annuitant for the
purpose of making disposition of the estate.
11. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, or other
functions vested in the Commission by the President's Reorganization
Plan No. 1 of 1978.
12. To disclose payroll information to authorized officials in
Federal agencies where commissioned officers are assigned, such as the
State Department; the Department of Defense; the Department of Justice,
Bureau of Prisons and the Immigration and Naturalization Service; the
Transportation Department; United States Coast Guard; the Environmental
Protection Agency; the Department of the Interior, the United States
Park Service; and the Commerce Department, National Oceanic and
Atmospheric Administration.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Automated files are stored on disks, microfiche, electronic medium
and magnetic tapes. Nonautomated (hard-copy) files are kept in offices,
and may be stored in shelves, safes, cabinets, bookcases or desks.
Retrievability:
Alphabetically by name, by PHS serial number and/or by Social
Security Number.
Safeguards:
1. Authorized Users
Automated Records. Access to and use of automated records is
limited to: (1) Personnel employed in the PSC and the Office of the
Surgeon General (OSG)/OS; (2) personnel employed in DCP; (3) authorized
officials in HHS components and organizations where commissioned
officers are assigned whose official duties require such access; and
(4) authorized officials in other Federal agencies, such as those in
routine use 13 above, where commissioned officers are assigned whose
official duties require such access. Automated data is provided to
Department personnel officials to update information contained in their
personnel records and pay, leave and attendance systems. The Human
Resource Service (HRS) provides computer design, programming and
support to DCP, and has access to the data to the extent necessary to
facilitate the provision of these services to DCP. However, HRS
personnel are not authorized to grant access to or make disclosures
from automated data in this system to anyone or any organization
without the written approval of the Director of DCP or to an official
to whom this authority has been delegated.
[[Page 68614]]
b. Nonautomated records. Access to and use of nonautomated records
is limited to departmental employees whose official duties require such
access or to individuals needing access to the information for purposes
stated under routine uses. These individuals are permitted access to
records only after they have satisfactorily identified themselves as
having an official need to review the information and have provided
satisfactory proof of their identities. Access is also granted to
individuals who have written permission to review the record when that
permission has been obtained from the individual to whom the record
pertains. All individuals from outside the Department, to whom
disclosure is made pursuant to a routine use, must complete Privacy Act
nondisclosure oaths and must submit written requests for access to
these records showing the name and employing office of the requester,
the date on which the record is requested and the purpose for reviewing
the information in the records. This written request is then placed
into the record.
2. Physical safeguards
a. Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
locks. During nonwork hours, all cabinets, storage facilities, rooms
and offices are locked and the premises are patrolled regularly by
building security forces.
b. Nonautomated records. Nonautomated records are kept in such a
way as to prevent observation by unauthorized individuals while the
records are actively in use by an authorized employee. When records are
not in use, they are closed and secured in desk drawers with locks,
filing cabinets with locks, or other security equipment, all of which
are kept inside authorized office space which is locked whenever it is
not in use. Keys to furniture and equipment are kept only by the
individual who is assigned to that furniture or equipment and by the
DCP security officer.
3. Procedural safeguards
a. Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. Access
codes and passwords are changed on a random schedule. In addition,
programming for automated record allows authorized personnel to access
only those records that are essential to their duties. Remote access to
automated data from remote terminals is restricted to the PSC, OSG and
personnel officials where commissioned officers are employed. No access
is permitted to organizations that do not have automated personnel
record-keeping systems that comply with Privacy Act requirements.
b. Nonautomated records. All files are secured when employees are
absent from the premises and are further protected by locks on entry
ways and by the building security force. Official records may not be
removed from the physical boundaries of DCP. When records are needed at
a remote location, copies of the records will be provided. When copying
records for authorized purposes, care is taken to ensure that any
imperfect or extra copies are not left in the copier room where they
can be read, but are destroyed or obliterated.
4. Contractor Guidelines. A contractor who is given records under
routine use 7 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the records
to have access to them, prevent any unauthorized persons from gaining
access to the records, and return the records to the System Manager
immediately upon completion of the work specified in the contract.
Contractor compliance is assured though inclusion of Privacy Act
requirements in contract clauses, and through monitoring by contract
and project officers. Contractors who maintain records are instructed
to make no disclosure of the records except as authorized by the System
Manager and stated in the contract.
RETENTION AND DISPOSAL:
When an officer is separated, records are incorporated into the OPF
and transferred to a Federal Records Center in accordance with 09-40-
0001, ``PHS Commissioned Corps General Personnel Records, HHS/PSC/HRS''
procedures.
When an officer retires from the commissioned corps, a retirement
payment file is generated and maintained in DCP. When the officer and/
or annuitant dies, the file is retained in DCP for 3 years, then is
incorporated into the OPF and transferred to a Federal Records Center
in accordance to 09-40-0001, ``PHS Commissioned Corps General Personnel
Records, HHS/PSC/HRS'' procedures.
SYSTEM MANAGER(S) AND ADDRESS:
Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, Maryland 20857-0001.
NOTIFICATION PROCEDURE:
Same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. An individual (and/or the individual's legal
representative) seeking access to his/her records may initially contact
the DCP Privacy Act Coordinator for information about obtaining access
to the records. Each individual seeking access will be required to
verify his/her identity to the satisfaction of the DCP Privacy Act
Coordinator. Refusal to provide sufficient proof of identity will
result in denial of the request for access until such time as proof of
identity can be obtained. The System Manager has authority to release
records to authorized officials within DCP, HHS and other organizations
where commissioned officers are assigned.
2. Requests in person. An individual who is the subject of a record
and who appears in person seeking access shall provide his/her name and
at least one piece of tangible identification (e.g., PHS Commissioned
Corps Identification Card, driver's license or passport).
Identification cards with current photograph are required. The records
will be reviewed in the presence of an appropriate DCP employee, who
will answer questions and ensure that the individual neither removes
nor inserts any material into the record without the knowledge of the
DCP employee. If the individual requests a copy of any records
reviewed, the DCP employee will provide them to the individual. The DCP
employee will record the name of the individual granted access, the
date of access, and information about the verification of identity on a
separate log sheet maintained in the office of the Privacy Act
Coordinator, DCP.
3. Requests by mail. Written requests must be addressed to the
System Manager or the DCP Privacy Act Coordinator at the address shown
as the System Location above. All written requests must be signed by
the individual seeking access. A comparison will be made of that
signature and the signature maintained on file prior to release of the
material requested. Copies of the records to which access has been
requested will be mailed to the individual. The original version of a
record will not be released except in very unusual situations when
[[Page 68615]]
only the original will satisfy the purpose of the request.
4. When an individual to whom a record pertains is mentally
incompetent or under other legal disability, information in the
individual's records may be disclosed to any person who is legally
responsible for the care of the individual, to the extent necessary to
assure payment of benefits to which the individual is entitled.
5. Requests by phone. Because positive identification of the caller
cannot be established with sufficient certainty, telephone requests for
access to records will not be honored.
6. Accounting of disclosures. An individual who is the subject of
records maintained in this records system may also request an
accounting of all disclosures outside the Department, if any, that have
been made from that individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
From individual officers, applicants, dependents, former spouses of
officers, governmental and private training facilities, health
professional licensing and credentialing organizations, government
officials and employees and from the records contained in the following
systems: 90-40-0001, Public Health Service (PHS) Commissioned Officer
Personnel Records'' HHS/PSC/HRS and 09-40-0010, Pay, Leave and
Attendance Records, HHS/PSC/HRS.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
09-40-0010
SYSTEM NAME:
Pay, Leave and Attendance Records, HHS/PSC/HRS.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
HRS, Personnel and Pay Systems Division, Silver Spring Centre, Room
1154, 8455 Colesville Road, Silver Spring, Maryland 20910.
FMS, Division of Information Systems and Technology, Room 17-66,
5600 Fishers Lane, Rockville, Maryland 20857.
NIH, Center for Information Technology, 9000 Rockville Pike,
Bethesda, Maryland 20205.
Inactive records: Federal Retirement Record Center, Boyers, PA.
In addition, records are maintained by timekeepers and payroll
liaisons. Contact the System Manager at the location identified below
for specific locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All employees paid through the Department of Health and Human
Services civilian payroll system.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of a variety of records relating to pay,
allowance and leave determinations made about each employee paid
through the HHS civilian payroll system such as employee's name, date
of birth, Social Security Number, home address; employing organization,
pay plan and grade, hours worked, leave, timekeeper number, income
taxes, withholdings and allotments, insurance, retirement, Thrift
Savings Plan, voluntary leave transfer, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title 5 U.S. Code, Chapter 55--Pay Administration Title 5 U.S.
Code, Chapter 63--Leave
PURPOSE(S):
Records in this system are used to:
1. Ensure that each employee in the payroll system receives proper
pay and allowances.
2. Ensure that proper deductions and authorized allotments are made
from employees' pay.
3. Ensure that employees are credited and charged with the proper
amount of sick and annual leave.
4. Provide information to the Federal Parent Locator System (FPLS),
the Office of Child Support Enforcement (OCSE), locating individuals
and identifying their income sources to establish paternity, establish
and modify orders of support and for enforcement action in accordance
with 42 U.S.C. 653.
5. Provide information to OCSE for release to the Social Security
Administration for verifying Social Security Numbers in connection with
the operation of the FPLS.
6. Provide information to OCSE for release to the Department of
Treasury for purpose of administering the Earned Income Tax Credit
Program (section 32, Internal Revenue Code of 1986) and verifying a
claim with respect to employment in a tax return.
7. Provide information to the HHS Voluntary Leave Transfer Program
websites for Departmentwide announcement and produce summary
descriptive statistics and analytical studies in support of the
functions for which the records are collected and maintained and for
related personnel management functions or pay studies, and other
purposes compatible with the intent for which the record system was
created.
8. Provide information to HHS components seeking to collect an
overdue debt owed to the Federal Government, but only to the extent
necessary to collect that overdue debt.
9. Provide Department management with information systems reports.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information from these records may be used:
1. To prepare W-2 Forms to submit to the Internal Revenue Service
and to disclose to State and local government agencies having taxing
authority pertinent records relating to employees, including name, home
address, earned income, and amount of taxes withheld.
2. To a Federal, State or local agency maintaining civil, criminal
or other relevant enforcement records or other pertinent records, such
as current licenses, if necessary to obtain a record relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant or other benefit.
3. In the event that this system of records indicates a violation
or potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records in the system of records may be referred, as routine
uses to the appropriate agency, whether State or local, 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.
4. When a contract between a component of the Department and a
labor organization recognized under E.O. 11491 of 5 U.S.C. Chapter 71
provides that the agency will disclose personal records when relevant
and necessary to the labor organization's duties of exclusive
representation concerning personnel policies, practices, and matters
affecting working conditions.
[[Page 68616]]
5. To financial organizations designated to receive labor
organizations or management association dues withheld from employees'
pay, in order to account for the amounts withheld.
6. When the Department contemplates that it will contract with a
private firm for the purpose of collating, analyzing, aggregating or
otherwise refining records in this system, relevant records will be
disclosed to such a contractor. The contractor will be required to
maintain Privacy Act safeguards with respect to such records. These
safeguards are explained in the section entitled ``Safeguards.''
7. To disclose to the U.S. Office of Personnel Management that
information that is relevant and necessary to carry out its role as the
oversight agency responsible for promoting the effectiveness of
personnel management and ensuring compliance with personnel laws and
regulations.
8. To disclose to the Merit Systems Protection Board (including its
Office of the Special Counsel) that information that is relevant and
necessary to carry out its role as the oversight agency responsible for
protecting the integrity of Federal merit systems and the rights of
Federal employees working in the systems.
9. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations of alleged
or possible discrimination practices, or other functions vested in the
Commission.
10. To disclose to the Federal Labor Relations Authority (including
the General Counsel of the Authority and the Federal Service Impasses
Panel) that information that is relevant and necessary to carry out its
oversight role for the Federal service labor-management relations
program.
11. To the Department of Labor to make compensation determination
in connection with a claim filed by the employee for compensation on
account of a job-connected injury or disease.
12. To respond to court orders for garnishments of an employee's
pay for alimony or child support.
13. To the Department of Treasury to disclose information such as
name, home address, Social Security Number, earned income, withholding
status, and amount of taxes withheld for the following purposes:
preparation and issuance of salary, retired pay, and annuity checks;
issuance of U.S. Savings Bonds; recording of income information; and
collection of income taxes.
14. To State officers of unemployment compensation in connection
with claims filed by former HHS employees for unemployment
compensation.
15. 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.
16. To the Department of Justice, 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 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 are
collected.
17. To disclose pertinent information to appropriate Federal,
State, or local agencies; international agencies; or foreign
governments responsible for investigating, prosecuting, enforcing or
implementing statutes, rules, regulations or orders when PSC becomes
aware of evidence of potential violation of civil or criminal law.
18. To disclose information for the purpose of conducting computer
matching programs designed to reduce fraud, waste and abuse in Federal,
State and local public assistance programs and operations.
19. To disclose information to other Federal organizations to
collect an overdue debt owed to the Federal Government, but only to the
extent necessary to collect that overdue debt.
20. To publicly recognized charitable organizations for payroll
deductions or when necessary to adjudicate a claim.
21. Provide information to charities, financial organizations at
the request of the employee for the purposes of facilitating an
employee's request for direct deposit or contribution to a charity,
starting or modifying a savings program, etc.
22. To a Federal agency in response to a written request from the
agency head specifying the particular portion desired and the law
enforcement activity for which the record is sought. The request for
the record must be connected with the agency's auditing and
investigative functions designed to reduce fraud, waste and abuse; it
must be based on information which raises questions about an
individual's eligibility for benefits or payments; and it must be made
reasonably soon after the information is received.
23. To respond to court orders when an employee is involved in
garnishment proceedings arising because an employee is involved in a
personal debt collection action.
24. To thrift and savings institutions to adjudicate a claim under
a program, or to conduct analytical studies of benefits being paid
under such programs, provided such disclosure is consistent with the
purpose for which the information was ordinarily collected.
25. To the Federal Thrift Savings Plan to maintain employees thrift
accounts, loans or loan repayment records.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Automated records are stored on disks, microfiche, electronic
media, magnetic tapes and on websites. Nonautomated (hard-copy) files
are kept in locked offices, and may be stored in locked shelves, safes,
cabinets, bookcases or desks.
RETRIEVABILITY:
Records are maintained by pay period and are retrieved by name and/
or Social Security Number and timekeeper number within each pay period.
SAFEGUARDS:
1. Authorized Users
Automated Records. Access to and use of automated records is
limited to: (1) Personnel employed in the PSC and the HHS Operating
Division personnel offices, (2) authorized officials in HHS components
and organizations whose official duties require such access, and (3)
authorized officials in other Federal agencies for whom the PSC is
providing personnel and/or payrolling service.
Nonautomated records. Access to and use of nonautomated records is
limited to departmental employees whose official duties require such
access or to individuals needing access to the information for purposes
stated under routine uses. These individuals are permitted access to
records only after they have satisfactorily identified themselves as
having an official need to review the information and have provided
satisfactory proof of their identities. Access is also granted to
individuals who have written permission to review the record when that
permission has been obtained from
[[Page 68617]]
the individual to whom the record pertains. All individuals from
outside the Department, to whom disclosure is made pursuant to a
routine use, must complete Privacy Act nondisclosure oaths and must
submit written requests for access to these records showing the name
and employing office of the requester, the date on which the record is
requested and the purpose for reviewing the information in the record.
This written request is then placed into the record.
2. Physical safeguards
Automated records. Terminals by which automated records are
accessed are kept in offices secured with locks. Automated records on
magnetic tape, disks and other computer equipment are kept in rooms
designed to protect the physical integrity of the records media and
equipment. These rooms are within inner offices to which access is
permitted only with special clearance. Outer offices are secured with
locks.
Nonautomated records. Nonautomated records are kept in such a way
as to prevent observation by unauthorized individuals while the records
are actively in use by an authorized employee. When records are not in
use, they are secured in filing cabinets inside secured office space
which is locked at all times. Access to the office space requires a key
card to enter and access is permitted only to authorized personnel.
3. Procedural safeguards
Automated records. Automated records are secured by assigning
individual access codes to authorized personnel, and by the use of
passwords for specific records created by authorized personnel. Access
codes and passwords are changed on a random schedule. In addition,
programming for automated record allows authorized personnel to access
only those records that are essential to their duties. Remote access to
automated data from remote terminals is restricted to the PSC, and
OPDIV personnel officials. No access is permitted to OPDIVs that do not
have automated personnel recordkeeping systems that comply with Privacy
Act requirements.
Nonautomated records. All files are secured when employees are absent
from the premises and are further protected by locks on entry ways.
Official records may not be removed from the physical boundaries of
PPSD. When records are needed at a remote location, copies of the
records will be provided. When copying records for authorized purposes,
care is taken to ensure that any imperfect or extra copies are not left
in the copier areas where they can be read, but are destroyed or
obliterated.
4. Contractor Guidelines.
A contractor who is given records under routine use 6 must maintain
the records in a secured area, allow only those individuals immediately
involved in the processing of the records to have access to them,
prevent any unauthorized persons from gaining access to the records,
and return the records to the System Manager immediately upon
completion of the work specified in the contract. Contractor compliance
is assured though inclusion of Privacy Act requirements in contract
clauses, and through monitoring by contract and project officers.
Contractors who maintain records are instructed to make no disclosure
of the records except as authorized by the System Manager and stated in
the contract.
RETENTION AND DISPOSAL:
When an employee is separated leave records are incorporated into
the Official Personnel Folder (OPF) maintained by the servicing
personnel office (SPO) and payroll retirement information is
transferred to the Federal Retirement Records Center in Boyers, PA. The
OPF is forwarded to the new employing agency by the SPO. These
procedures are in accordance with U.S. Office of Personnel Management
policies and procedures.
When an employee retires or dies, the employee or his/her
beneficiary receives a payment for his/her annual leave balance and the
retirement information is transferred to the Federal Retirement Records
Center in Boyers, PA. The SPO transfers the OPF to the Federal Records
Center. These procedures are in accordance with U.S. Office of
Personnel Management policies and procedures.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Personnel and Pay Systems Division, Human Resources
Service, PSC, HHS, Suite 700, 8455 Colesville Road, Silver Spring, MD
20910.
NOTIFICATION PROCEDURES:
The same as Access Procedures. Requesters should also reasonably
specify the record contents being sought.
RECORD ACCESS PROCEDURES:
1. General procedures. A subject individual, or parent, or legal
guardian of an incompetent individual, who appears in person at a
specific location seeking access to or disclosure of records relating
to him/her may initially contact his/her agency personnel office or
payroll liaison for information about obtaining access to the records.
Such individuals will be required to verify their identity to the
satisfaction of the agency employee providing access. Refusal to
provide sufficient proof of identity will result in denial of the
request for access until such time as proof of identity can be
obtained.
2. Requests by mail. Written requests must be addressed to the
System Manager or the appropriate Payroll Liaison Representative. A
comparison will be made of that signature and the signature maintained
in a file prior to release of the material request. Copies of the
records to which access has been requested will be mailed to the
individual.
3. Requests by phone. Unless positive identification of the caller
can be established, telephone requests for access to records will not
be honored.
4. Accounting of disclosures. An individual who is the subject of
the records in this system may also request an accounting of all
disclosures outside the Department, if any, that have been made from
the individual's records.
CONTESTING RECORD PROCEDURES:
Contact the System Manager at the address specified under System
Location above and reasonably identify the record. Specify the
information being contested. State the corrective action sought, with
supporting justification, along with information to show how the record
is inaccurate, incomplete, untimely or irrelevant.
RECORD SOURCE CATEGORIES:
Information is supplied directly by the individual, derived from
information supplied by the individual, or supplied by timekeepers and
other authorized officials.
SYSTEMS EXEMPTED FROM CERTAIN PROVISION(S) OF THE ACT:
None.
[[Page 68618]]
09-40-0011
SYSTEM NAME:
Proceedings of the Board for Correction of PHS Commissioned Corps
Records, HHS/PSC/HRS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Board for Correction of PHS Commissioned Corps Records, HHS/PSC/
HRS, Room 17A-12, Parklawn Building, 5600 Fishers Lane, Rockville,
Maryland 20857; and Washington National Records Center, 4205 Suitland
Road, Suitland, Maryland 20409. Records also may be located at the
contractor site. The names and addresses of contractors used by the
Board for Correction can be obtained from the System Manager.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Commissioned Officers of the PHS Commissioned Corps who appeal to
the Board for Correction, former officers, their spouses and heirs.
CATEGORIES OF RECORDS IN THE SYSTEM:
Commissioned Officer case files consisting of requests for
correction of alleged errors or injustices; administrative reports;
case summaries; findings; conclusions; recommendations; Board for
Correction decisions and related documents, including copies of records
from other systems of records as specified under Record Source
Categories below.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
10 U.S.C. 1552 ``Correction of Military Records''; Public Health
Service Act, 42 U.S.C. 213a(a)(12); Executive Order 9397, ``Numbering
System for Federal Accounts Relating to Individual Persons.''
PURPOSE(S):
This system of records is used:
1. To process appeals from current or former Commissioned Officers,
their spouses and heirs to determine the existence of alleged errors or
injustices resulting from the administration of laws and regulations.
2. To review and adjudicate these appeals.
3. To disclose the decisions of the Board for Correction to the
Division of Commissioned Personnel (DCP) for appropriate action. The
DCP is not authorized to release copies of original Board for
Correction records without approval by the System Manager.
4. To document all actions and activities of the Board for
Correction.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records may be used to disclose information:
1. To a congressional office from the record of any individual in
response to an inquiry from the congressional office made at the
written request of that individual.
2. To the Department of Justice, 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 are
collected.
3. To appropriate Federal, State, or local agencies; international
agencies; or foreign governments responsible for investigating,
prosecuting, enforcing, or implementing statutes, rules, regulations,
or orders, when HHS becomes aware of evidence of a potential violation
of civil or criminal law.
4. To private contractors who record and transcribe tapes of Board
for Correction meetings. Contractors are required to comply with
Privacy Act safeguards and the HHS Privacy Act Regulations with respect
to such records. These safeguards are explained in the section entitled
``Safeguards.''
5. To properly identified attorneys of subject individuals or their
personally designated representatives, to court-appointed
representatives of mentally incompetent or otherwise legally
handicapped subject individuals and to guardians to the extent
necessary to assure attainment of rights or payment of benefits to
which such individuals would be entitled.
6. To Federal, State or local government agencies (such as those
concerned with disability compensation, health and human services,
hospitals, and legal affairs) or to public interest organizations (such
as the American Red Cross, the American Civil Liberties Union, Disabled
American Veterans, and the Legal Aid Society) when the subject
individual's request for correction will affect the individual's
entitlement to rights or benefits, and when such agencies may have
information which will assist the Board for Correction in clarifying
that entitlement.
7. To authorized experts or consultants in a Federal agency or in
the private sector if the Board for Correction has determined that it
needs such opinions to arrive at an equitable decision concerning the
subject individual's request; or to authorized officials in a Federal
agency if required to facilitate equitable handling of a case, e.g., to
an EEO official when a complaint is initiated by a PHS commissioned
officer, to ensure that the same complaint has not already been decided
through the Board for Correction process. All consultants, experts and
Federal officials are required to comply with Privacy Act safeguards
and the HHS Privacy Act Regulations with respect to such records.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders, computerized records, disks and microfiche.
RETRIEVABILITY:
Last name and case number.
SAFEGUARDS:
1. Authorized Users: The System Manager and/or the Executive
Secretary of the Board for Correction will control access to the data.
Additional authorized personnel having access to the data are: (1) The
Executive Director of the Board for Correction; (2) Designated clerical
support staff in the offices of the System Manager and the Executive
Secretary; (3) Board for Correction members on a need-to-know basis;
and (4) Experts, consultants or private contractors when approved by
the System Manager.
2. Physical Safeguards: Automated records. Automated records are
stored on personal computers which require passwords for access, or on
disks, and are located in offices with locks. During nonwork hours, all
cabinets, storage facilities and offices are locked and the premises
are patrolled regularly by building security forces. Nonautomated
records. When records are not in use they are stored in filing cabinets
with locks located in an inner office occupied during working hours and
locked at all other times.
[[Page 68619]]
3. Procedural Safeguards: Authorized personnel are trained to
comply with provisions of the Privacy Act and the HHS Privacy Act
Regulations. Records are transmitted in sealed envelopes and are
identified as confidential material. When copying records for
authorized purposes, care is taken to ensure that no imperfect or extra
pages are left in the copier room. These pages are disposed of by
shredding.
4. Contractor Guidelines: Contractor compliance is assured through
inclusion of privacy requirements in contract clauses, and through
monitoring by contract and project officers. A contractor who is given
records must maintain the records in a secured area, allow only those
individuals immediately involved in the processing of the records to
have access to them, prevent unauthorized persons from gaining access
to the records, caution employees about the confidentiality of the
records, and return the records to the System Manager immediately upon
completion of the work specified in the contract. Contractors are
instructed to make no disclosure of the records except as authorized by
the System Manager.
RETENTION AND DISPOSAL:
Original records are retained at the System Location either for one
year after the Board for Correction's recommendation for favorable
decision is upheld by the approving official, or for three years after
the approval of the Board for Correction's recommendation for denial of
an appeal, whichever applies to the final disposition of a case. The
records are then transferred to the Washington National Records Center
(WNRC) and are destroyed by the WNRC after 20 years.
SYSTEM MANAGER(S) AND ADDRESS:
Executive Director of the Board for Correction of PHS Commissioned
Corps Records, Room 17-21, Parklawn Building, 5600 Fishers Lane,
Rockville, Maryland 20857.
NOTIFICATION PROCEDURES:
Same as Access Procedures. The requester is required to specify
reasonably the contents of the records being sought.
RECORD ACCESS PROCEDURES:
To determine whether information about themselves is contained in
this system, the subject individual should contact the System Manager
at the above address.
A subject individual who appears in person is required to provide
his/her name and at least one piece of tangible identification (e.g.,
PHS Commissioned Corps Identification Card, driver's license, Social
Security card, or discharge or separation papers).
An individual making a written inquiry is required to sign the
request mailed to the System Manager. The signature given is compared
with the signature on file prior to release of the material requested.
If the subject individual is represented by an attorney, other than
the one shown on the application to the Board for Correction, it is
necessary to have in the case file a dated letter signed by the subject
individual giving the name of the attorney and stating that he/she has
been authorized access to the case file. If the subject individual is
represented by another person, it is necessary to have in the case file
a dated letter signed by the individual giving the name of the
representative and stating that he/she has been authorized access to
the case file. In both instances, the person representing the subject
individual would be required to present documentation identifying him/
herself as being the person mentioned in the application or in a letter
on file with the Board for Correction.
If the subject individual is judged to be mentally incompetent to
handle his/her personal affairs, a court order should be issued to that
effect. The person identifying him/herself as representing the subject
individual in this circumstance is required to present a copy of the
court order and to personally identify him/herself as being the person
identified in the order.
If the subject individual is physically incapacitated, a medical
statement certifying to the physical disability is required, signed and
dated by a licensed physician. The person presenting this statement is
required to personally identify him/herself and provide documentation
of his/her relationship to the subject individual (e.g., marriage
license, birth certificate, etc.).
If the subject individual is deceased, proof of death is required,
signed and dated by the appropriate certifying agency of the Federal
Government. The person presenting this document is required to
personally identify him/herself and provide documentation of his/her
relationship to the deceased (e.g., marriage license, birth
certificate, etc.).
If a determination is made that the material sought contains
medical information that is likely to have an adverse effect on either
the subject individual or the determination of his/her request, the
requester (whether the subject individual, his/her personal
representative, an attorney other than the one shown on the application
to the Board for Correction, a court appointed representative, or a
guardian) shall be asked to designate in writing a physician or other
health professional who is willing to review the material and inform
the requester of its contents, at the discretion of the health
professional. The person designated to evaluate the medical information
must provide proof that he/she is duly authorized by the requester to
review the material.
An individual who is the subject of the records maintained in this
records system may request an accounting of disclosures that have been
made of his/her records, if any.
CONTESTING RECORD PROCEDURES:
If access has been granted, the requester shall contact the System
Manager above, reasonably identify the records, specify the information
being contested, and state the corrective action sought, with
supporting documentation, to show how the record is inaccurate,
incomplete, untimely, or irrelevant.
RECORD SOURCE CATEGORIES:
Records are obtained from applicants; reports of findings and
recommendations made by Board for Correction members; Board for
Correction decisions; supervisors; private and Government physicians;
hospitals and clinics rendering treatment; investigative reports; death
certificates and reports of death; survivors and executors of estates;
private and Government agency reports of service delivery,
compensation, disability and legal opinions; and records contained in
systems 09-40-0001, Public Health Service (PHS) Commissioned Corps
General Personnel Records, HHS/PSC/HRS; 09-40-0002, Public Health
Service (PHS) Commissioned Officer Medical Records, HHS/PSC/HRS; 09-40-
0003, Public Health Service (PHS) Commissioned Corps Board Proceedings,
HHS/PSC/HRS; 09-40-0004, Public Health Service (PHS) Commissioned Corps
Grievance, Investigatory and Disciplinary Files, HHS/PSC/HRS; 09-40-
0005, Public Health Service (PHS) Beneficiary-Contract Medical/Health
Care Records, HHS/PSC/HRS; and 09-40-0006, Public Health Service (PHS)
Commissioned Corps Payroll Records, HHS/PSC/HRS.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[[Page 68620]]
09-40-0012
SYSTEM NAME:
Debt Management and Collection System, HHS/PSC/FMS.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Division of Financial Operations, Financial Management Service,
Program Support Center, Room 2B-40, Parklawn Building, 5600 Fishers
Lane, Rockville, 20857.
Division of Accounting, Food and Drug Administration, Room 11-41,
Parklawn Building, 5600 Fishers Lane, Rockville, MD 20857.
Division of State Legislation and Repatriation, Administration for
Children and Families, Aerospace Building, 370 L'Enfant Promenade, SW,
Washington, DC 20447.
Division of Health Professions Support, Indian Health Service,
Twinbrook Metro Plaza Building, Suite 100, 12300 Twinbrook Parkway,
Rockville, MD 20850.
Division of Financial Management, Substance Abuse and Mental Health
Services Administration, Room 16C-05, Parklawn Building, 5600 Fishers
Lane, Rockville, MD 20857.
Division of Commissioned Personnel, Human Resources Service,
Program Support Center, Room 4A-15, Parklawn Building, 5600 Fishers
Lane, Rockville, MD 20857.
Personnel and Pay Systems Division, Human Resources Service,
Program Support Center, 8455 Colesville Road, Suite 700, Silver Spring,
MD 20910.
Division of Student Assistance, Bureau of Health Professions,
Health Resources and Services Administration, Room 8-22, Parklawn
Building, 5600 Fishers Lane, Rockville, MD 20857.
Division of Scholarships and Loan Repayments, Bureau of Primary
Health Care, Health Resources and Services Administration, 10th Floor,
East/West Towers, 4350 East-West Highway, Bethesda, MD 20814.
Division of Accounting, Health Care Financing Administration, Room
C3-09-17, 7500 Security Blvd., Baltimore, MD 21244.
Division of Financial Management, National Institutes of Health,
Building 31, Room B1B63, 9000 Rockville Pike, Bethesda, MD 20892.
Financial Management Office, Centers for Disease Control and
Prevention, Room 3149, 1600 Clifton Road, Atlanta, GA 30333.
Washington National Records Center, 4205 Suitland Road, Washington,
DC 20409.
Names and addresses of contractors given information under routine
use 17 can be obtained from the System Manager at the location
identified below.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
1. Individuals owing monies to HHS Operating Divisions or other
Federal entities for which PSC provides debt collection services.
2. Individuals owing monies include, but are not limited to,
students and health care professionals who have received student loans,
scholarships, traineeships, or grant funds under Titles III, VII, and
VIII of the Public Health Service Act, as amended, and who are
delinquent in repaying either loans or funds owed in lieu of a service
obligation under such programs.
3. Repatriates owing repayment of funds loaned to them by the
United States.
4. Individuals owing repayment for services rendered such as
Freedom of Information Act requests and queries associated with the
National Practitioner Data Bank, and Health Care Integrity and
Protection Data Bank queries.
5. Current and separated HHS employees who have incurred payroll
debts.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in this system include records such as: Name;
taxpayer identification number and/or Social Security Number; address;
amount of debt; rate of interest; account and repayment history and
status; discipline/specialty; lending institutions; and invoice number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Debt Collection Act of 1982 (Pub. L. 97-365), as amended; and Debt
Collection Improvement Act of 1996 (Pub. L. 104-134), as amended.
PURPOSE(S):
The purpose of the system is:
1. To reduce the amount of outstanding debts owed to the Federal
Government.
2. To protect the programmatic and financial integrity of Federal
funds paid or awarded to individuals.
3. To be used by other components within HHS to facilitate debt
management activities.
4. To be used for developing both regulatory and ad hoc management
reports relating to debt collection activities.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records may be disclosed:
1. To a congressional office in response to an inquiry from the
congressional office made at the written request of that individual.
2. To authorized persons employed at educational institutions where
the recipient received a loan, scholarship, or grant. The purpose of
this disclosure is to assist institutions in identifying delinquent
borrowers and to enforce the conditions and terms of such loans,
scholarships and grants.
3. 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
of 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 are
collected.
4. To the General Accounting Office, the HHS Inspector General's
Office, private auditing firms, and to the Office of Management and
Budget for auditing financial obligations to determine compliance with
programmatic, statutory, and regulatory provisions.
5. To a consumer reporting agency (credit bureau) to obtain a
commercial credit report for the following purposes:
a. To establish creditworthiness of a loan/grant/scholarship/
traineeship applicant; and
b. To assess and verify the ability of a debtor to repay debts owed
to the Federal Government.
Disclosures are limited to the individual's name, address, Social
Security Number and other information necessary to identify him/her;
the funding being sought or amount and status of the debt; and the
program under which the application or claim is being processed.
6. To debt collection agents, other Federal agencies, and other
third parties who are authorized to collect a Federal debt, information
necessary to identify a delinquent debtor. Disclosure will be
[[Page 68621]]
limited to the debtor's name, address, Social Security Number, and
other information necessary to identify him/her; the amount, status,
and history of the claim; and the agency or program under which the
claim arose.
7. To any third party that may have information about a delinquent
debtor's current address, such as a U.S. post office, a State motor
vehicle administration, a professional organization, an alumni
association, etc., for the purpose of obtaining the debtor's current
address. This disclosure will be limited to information necessary to
identify the individual.
8. To the Defense Manpower Data Center, Department of Defense, to
conduct matching programs for the purpose of identifying and locating
individuals who are receiving Federal salaries or certain benefit
payments resulting from Federal employment and are delinquent in their
repayment of debts owed to the U.S. Government. The PSC will disclose
this information in an effort to collect the debts by administrative or
salary offset under the provisions of the Debt Collection Act of 1982
and the Debt Collection Improvement Act of 1996.
9. To the United States Postal Service to conduct matching programs
for the purpose of identifying and locating individuals who are
receiving Federal salaries or certain benefit payments resulting from
Federal employment and are delinquent in their repayment of debts owed
to the U.S. Government. The PSC will disclose this information in an
effort to collect the debts by administrative or salary offset, under
the provisions of the Debt Collection Act of 1982 and the Debt
Collection Improvement Act of 1996.
10. To the following entities to help collect a debt owed:
a. To the Treasury Department or another Federal agency in order to
effect an administrative offset under common law or under 31 U.S.C.
3716 (withholding from money payable to or held on behalf of the
individual); and
b. To debt collection agents or contractors under 31 U.S.C. 3718 or
under common law to help collect a past due amount or locate or recover
debtors' assets.
11. The PSC will disclose from this system of records a delinquent
debtor's name, address, Social Security Number, and other information
necessary to identify him/her; the amount, status, and history of the
claim; and the agency or program under which the claim arose, as
follows:
a. To another Federal agency so that agency can effect a salary
offset for debts owed by Federal employees; if the claim arose under
the Social Security Act, the employee must have agreed in writing to
the salary offset;
b. To another Federal agency so that agency can effect an
authorized administrative offset; i.e., withhold money payable to or
held on behalf of debtors other than Federal employees; and
c. To the Department of Treasury, Internal Revenue Service to
request a debtor's current mailing address to locate him/her for
purposes of either collecting or compromising a debt, or to have a
commercial credit report prepared.
12. In the event that a system of records maintained by this agency
to carry out its functions indicates a violation or potential violation
of law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant records
in the system of records may be referred to the appropriate agency,
whether Federal, State or local, charged with enforcing or implementing
the statute, rule, regulation, or order.
13. To the Department of the Treasury, Internal Revenue Service, as
taxable income, the written-off amount of a debt owed by an individual
to the Federal Government when a debt becomes partly or wholly
uncollectible--either because the time period for collection under the
statute of limitations has expired, or because the Government agrees to
forgive or compromise the debt.
14. To the Treasury Department or to an agency operating a Debt
Collection Center designated by the Treasury Department in order to
collect past due amounts.
15. If PSC or an agency to which PSC provides debt collection
services decides to sell a debt pursuant to 31 U.S.C. section 3711(I),
a record from the system may be disclosed to purchasers, potential
purchasers, and contractors engaged to assist in the sale or to obtain
information necessary for potential purchasers to formulate bids and
information necessary for purchasers to pursue collection remedies.
16. Pursuant to 31 U.S.C. Section 3720E, or specific program
regulations, PSC may publish or otherwise publicly disseminate
information regarding the identity of a delinquent debtor and the
existence of the debt.
17. When the Department contemplates contracting with a private
firm for the purpose of collating, analyzing, aggregating, or otherwise
refining records in this system, relevant records will be disclosed to
such a contractor. The contractor shall be required to maintain Privacy
Act safeguards with respect to such records. These safeguards are
explained in the section entitled ``Safeguards.''
SPECIAL DISCLOSURES TO CONSUMER REPORTING AGENCIES:
Disclosure pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined in
the Fair Credit Reporting Act (15 U.S.C. 158a(f) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)) and the Debt Collection
Improvement Act of 1996 (Pub. L. 104-134). The purposes of these
disclosures are: (1) To provide an incentive for debtors to repay
delinquent Federal Government debts by making these debts part of their
credit records, and (2) to enable HHS to improve the quality of loan
and scholarship decisions by taking into account the financial
reliability of applicants. Disclosure of records will be limited to the
individual's name, Social Security Number, and other information
necessary to establish the identity of the individual, the amount,
status, and history of the claim, and the agency or program under which
the claim arose.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in file folders, ledgers, magnetic tapes,
electronic media and diskettes.
RETRIEVABILITY:
Records are retrieved by name, Social Security Number, taxpayer
identification number and account number.
SAFEGUARDS:
1. Authorized Users: Employees and officials directly responsible
for programmatic or fiscal activity, including administrative and staff
personnel, financial management personnel, computer personnel, and
managers who have responsibilities for implementing programs funded by
Operating Divisions or agencies served by PSC.
2. Physical Safeguards: File folders, reports and other forms of
data, and electronic diskettes are stored in areas where fire and life
safety codes are strictly enforced. All documents and diskettes are
protected during lunch hours and nonduty hours in locked file cabinets
or locked storage areas. Magnetic tapes and computer matching tapes are
locked in a computer room and tape vault.
[[Page 68622]]
3. Procedural Safeguards: All authorized users protect information
from public view and from unauthorized personnel entering an office.
4. Technical Safeguards: PSC conducts regular reviews of computer
access to the automated system by reviewing listings of employees who
have access to the system via terminal entry. All personal computers
having forte boards with modems are protected. Access is limited by use
of IDs and passwords. PSC utilizes a Resource Access Control Facility
program product which provides systems security, resource access
control, auditability and accountability and administrative control.
Contractor Guidelines: A contractor who is given records under
routine use 17 must maintain the records in a secured area, allow only
those individuals immediately involved in the processing of the records
to have access to them, prevent any unauthorized persons from gaining
access to the records, and return the records to the System Manager
immediately upon completion of the work specified in the contract.
Contractor compliance is assured through inclusion of Privacy Act
requirements in contract clauses, and through monitoring by contract
and project officers. Contractors who maintain records are instructed
to make no disclosure of the records except as authorized by the System
Manager and stated in the contract.
RETENTION AND DISPOSAL:
Records are retained by the responsible organizations listed under
``System Location'' until completion of the repayment of the debt. The
records are then sent to the Federal Records Center for a retention
period of six years and three months, and are subsequently disposed of
in accordance with National Archives and Records Administration
standard disposal practices.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Debt Management Branch, Division of Financial Operations,
Financial Management Service, Program Support Center, Parklawn
Building, Room 2B40, 5600 Fishers Lane, Rockville, MD 20857.
NOTIFICATION PROCEDURE:
To find out if the system contains records about you, contact the
System Manager at the above address.
Requests in person: A subject individual, or parent, or legal
guardian of an incompetent individual, who appears in person at a
specific location seeking access to or disclosure of records relating
to him/her shall provide his/her name, current address, and at least
one piece of tangible identification such as driver's license,
passport, voter registration card, or union card. Identification papers
with current photographs are preferred but not required. If a subject
individual has no identification but is personally known to an agency
employee, such employee shall make a written record verifying the
subject individual's identity. Where the subject individual has no
identification papers, the responsible agency official shall require
that the subject individual certify in writing that he/she is the
individual who he/she claims to be and that he/she understands that the
knowing and willful request or acquisition of a record concerning an
individual under false pretenses is a criminal offense subject to a
fine. In addition, the following information is needed: (1) The name of
the assistance program that he/she participated in, (2) dates of
enrollment in the program, and (3) school(s) of attendance.
Requests by mail: Written requests must be addressed to the System
Manager and must contain the name and address of the requester, his/her
date of birth, and either his/her notarized signature to verify his/her
identity, or a written certification that the requester is who he/she
claims to be and understands that the known and willful request or
acquisition of records concerning an individual under false pretenses
is a criminal offense subject to a fine. In addition, the following
information is needed: The name of the assistance program that he/she
participated in and, for student assistance programs, dates of
enrollment in the program, and school(s) of attendance.
In addition, be informed that provision of the Social Security
Number may assist in the verification of your identity as well as the
identification of your record. Providing your Social Security Number is
voluntary and you will not be refused access to your record for failure
to disclose your Social Security Number.
Requests by telephone: Since positive identification of the caller
cannot be established, telephone requests are not honored.
RECORD ACCESS PROCEDURES:
Same as notification procedures. Requesters should provide a
reasonable description of the record being sought. Requesters may also
request an accounting of disclosures that have been made of their
records, if any.
CONTESTING RECORD PROCEDURES:
Contact the System Manager, provide a reasonable description of the
record, specify the information being contested, the corrective action
sought, and the reasons for requesting the correction, along with
supporting information to show how the record is inaccurate,
incomplete, untimely, or irrelevant.
RECORD SOURCE CATEGORIES:
Individuals whose records are contained in the system; Federal
agencies, including but not limited to all Operating Divisions of the
Department of Health and Human Services and the Department of the
Treasury; credit reporting agencies; lending institutions; professional
associations; schools of higher education; and Federal and State
courts.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF THE ACT:
None.
[FR Doc. 98-32625 Filed 12-10-98; 8:45 am]
BILLING CODE 4168-17-P
