[Federal Register Volume 64, Number 131 (Friday, July 9, 1999)]
[Proposed Rules]
[Pages 37081-37082]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-17411]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office Of The Secretary
45 CFR Part 5b
Privacy Act; Implementation
AGENCY: Office of the Secretary, HHS.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Department of Health and Human Services proposes to exempt
a new system of records, 09-25-0213, ``Administration: Investigative
Records, HHS/NIH/OM/OA/OMA,'' from certain requirements of the Privacy
Act to protect records compiled in the course of an inquiry and/or
investigation and to protect the identity of confidential sources who
furnish information to the Government under an express promise that the
identity of such source would be held in confidence.
DATES: Comments on the proposed amendment must be received on or before
August 9, 1999.
ADDRESS: Written comments should be sent to: NIH Privacy Act Officer,
6011 Executive Boulevard, Room 601, Rockville, MD 20852.
Comments will be available for public inspection at this address on
Monday through Friday of each week from 9 am to 3 pm.
FOR FURTHER INFORMATION CONTACT: NIH Privacy Act Officer, 6011
Executive Boulevard, Room 601, Rockville, MD 20852, 301-496-2832. (This
is not a toll free number.)
SUPPLEMENTARY INFORMATION: The Office of Management Assessment (OMA)
assumes the lead responsibility on cases received through the DHHS
Office of Inspector General (OIG) hotline that are referred to NIH for
action. OMA serves as NIH's central liaison on matters involving the
Office of Audit Services, OIG; General Accounting Office; Federal
Bureau of Investigation; congressional staff members; etc., related to
management controls and audits. OMA also has overall responsibility for
all matters related to management controls to prevent fraud, waste,
abuse, and conflict of interest or the appearance of these, including
the development and implementation of policy and the Annual Management
Control Plan and the development of a planned management oversight
activity that focuses on early identification and prevention of such
occurrences.
To perform these responsibilities, OMA compiles and maintains
administrative and investigative records related to alleged or
suspected violations of statutes, regulations, and policies governing
the conduct of Federal employees, recipients of Federal funding, and
others who transact, or seek to transact business with the NIH.
These records contain information related to complaints of
incidents, inquiries and investigative findings, administrative and
other matters involving complainants, suspects and witnesses, and court
dispositions.
The administrative and investigation records are located in the OMA
and constitute a ``system of records'' as defined by the Privacy Act.
Concurrent with this notice of proposed rulemaking, the National
Institutes of Health is publishing a notice for this new system in the
Federal Register.
Under the Privacy Act, individuals have a right of access to
information pertaining to them which is contained in a system of
records. At the same time, the Act permits certain types of systems to
be exempt from some of the Privacy Act requirements. Subsection (k)(2)
allows agency heads to exempt a system of records containing
investigatory material compiled for enforcement purposes. This
exemption is qualified in that if the material results in denial of any
right, privilege, or benefit to an individual to which that individual
would be entitled by Federal law, the individual must be granted access
to the material, unless the access would reveal the identity of a
source who furnished information to the Government under an express
promise of confidentiality. In addition, paragraph (k)(5) permits an
agency to exempt material from the individual access, notification, and
correction and amendment provisions of the Act where investigatory
material is compiled for the purpose of determining suitability,
eligibility, or qualification for federal employment or financial
assistance if release of the material would cause the identity of a
confidential source to be revealed.
Because the administrative and investigative records are compiled
by a distinct component of the agency whose principal function is
investigations which compile material for law enforcement purposes, the
specific exemption (k)(2) requirements are met and the exemption is
justified. Investigations compiled for the purpose of determining
suitability, eligibility, or qualification for federal employment or
financial assistance may be undertaken when the investigations result
from a direct allegation or through suspected violations of statutes,
regulations and policies uncovered during an administrative management
control review or audit. Determinations that applicants are not
suitable, eligible or qualified would justify the need to invoke the
paragraph (k)(5) exemption.
The system contains sensitive investigative records. The release of
these records to the subject of the investigation could have a chilling
effect on the willingness of informants to provide information freely,
not only because of fear of retribution, but because they might
hesitate to provide any information other than that of which they are
entirely certain. Disclosure could impede ongoing investigations and
violate the privacy rights of individuals other than the subject of the
investigation, thereby diminishing the ability of the OMA to conduct a
thorough and accurate investigation. Disclosure of information from
these records might also reveal to the subjects of the investigation
that their actions are being scrutinized, allowing them the opportunity
to prevent detection of illegal activities. Finally, disclosure of
information from the records might reveal investigative techniques and
thereby jeopardize the integrity of the investigation.
Sources may be reluctant to provide sensitive information unless
they can be assured that their identities will not be revealed. These
exemptions are proposed to ensure that: (1) Efforts to obtain accurate
and objective information will not be hindered; (2) investigative
records will not be disclosed inappropriately; and (3) identities of
confidential sources and OMA investigators will be protected.
Accordingly, the Department proposes to exempt this system under
paragraphs (k)(2) and (k)(5) of the Privacy Act from the notification,
access, correction, and amendment provisions of the Privacy Act
(paragraphs (c)(3), (d)(1)-(4), (e)(1), (e)(4)-(G) and (H) and (f)).
Regulatory Impact Statement
Executive Order 12866 of September 30, 1993, Regulatory Planning
and Review, requires the Department to prepare an analysis for any rule
that meets one of the E. O. 12866 criteria for a significant regulatory
action; that is, that may--
Have an annual effect on the economy of $100 million or more or
adversely affect in a material way the economy, a sector of the
economy, productivity, competition, jobs, the environment,
[[Page 37082]]
public health or safety, or State, local, or tribal governments or
communities;
Create a serious inconsistency or otherwise interfere with an
action taken or planned by another agency;
Materially alter the budgetary impact of entitlements, grants, user
fees, or loan programs or the rights and obligations of recipients
thereof; or
Raise novel legal or policy issues arising out of legal mandates,
the President's priorities, or the principles set forth in E.O. 12866.
In addition, the Department prepares a regulatory flexibility
analysis, in accordance with the Regulatory Flexibility Act (5 U.S.C.
chapter 6), if the rule is expected to have a significant impact on a
substantial number of small entities.
Because the amendment affects only NIH OMA investigatory records, a
small subset of Agency records, we do not believe this proposed rule is
economically significant nor do we believe that it will have a
significant impact on a substantial number of small entities. The
proposed rule is not expected to have any significant impact on OMA
operations and does not impose any new information collection
requirements under the Paperwork Reduction Act. In addition, this
proposed rule is not inconsistent with the actions of any other agency.
For these same reasons, the Secretary certifies this proposed rule
will not have a significant economic impact on a substantial number of
small entities, and that a Regulatory Flexibility Analysis, as defined
under the Regulatory Flexibility Act, is not required.
List of Subjects in 45 CFR Part 5b
Privacy.
Dated: October 13, 1998.
Harold Varmus,
Director, National Institutes of Health.
Approved: March 11, 1999.
Donna E. Shalala,
Secretary.
For the reasons set out in the preamble, 45 CFR part 5b is proposed
to be amended as set forth below:
PART 5b--PRIVACY ACT REGULATIONS
1. The authority citation for part 5b would continue to read:
Authority: 5 U.S.C. 301, 5 U.S.C. 552a.
2. Section 5b.11(b)(2)(vii) would be amended by designating the
paragraph after the colon as paragraph (b)(2)(vii(A)and republishing it
and by adding paragraph (b)(2)(vii)(B) to read as follows:
Sec. 5b.11 Exempt systems.
* * * * *
(b) * * *
(2) * * *
(vii) Pursuant to subsections (k)(2) and (k)(5) of the Act:
(A) Public Health Service Records Related to Investigations of
Scientific Misconduct, HHS/OASH/ORI.
(B) Administration: Investigative Records, HHS/NIH/OM/OA/OMA.
* * * * *
[FR Doc. 99-17411 Filed 7-8-99; 8:45 am]
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