[Federal Register Volume 59, Number 248 (Wednesday, December 28, 1994)]
[Unknown Section]
[Page ]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-27615]


[Federal Register: December 28, 1994]


=======================================================================
-----------------------------------------------------------------------

 DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Privacy Act of 1974: Annual Publication of Revisions to Systems 
Notices

AGENCY: Public Health Service, DHHS.

ACTION: Privacy Act: Annual Publication of Revisions to Systems 
Notices.

-----------------------------------------------------------------------

SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA) is publishing this document in accordance with the Office of 
Management and Budget Circular No. A-130, Appendix I, ``Federal Agency 
Responsibilities for Maintaining Records about Individuals,'' which 
requires that agencies annually review each system of records and 
publish minor changes in the Federal Register. SAMHSA is publishing (1) 
a table of contents listing all active systems of records and (2) a 
list of minor changes to these systems.

Table of Contents

    The following is a list of system notices which SAMHSA maintains:

09-30-0023--Records of Contracts Awarded to Individuals, HHS/SAMHSA/
OA; published Federal Register, Vol. 58, No. 248, p. 68994.
09-30-0027--Grants and Cooperative Agreements: Research, Research 
Training, Research Scientist Development, Service, Education, 
Demonstration, Prevention, Fellowships, Clinical Training, Community 
Services Programs, HHS/SAMHSA/OA; published Federal Register, Vol. 
58, No. 248, p. 68995.
09-30-0029--Records of Guest Workers, HHS/SAMHSA/OA; published 
Federal Register, Vol. 58, No. 248, p. 68997.
09-30-0033--Correspondence Files, HHS/SAMHSA/OA; published Federal 
Register, Vol. 58, No. 248, p. 68998.
09-30-0036--Alcohol, Drug Abuse, and Mental Health Epidemiologic 
Data, HHS/SAMHSA/OA; published Federal Register, Vol. 58, No. 248, 
p. 68999.
09-30-0047--Patient Records on Chronic Mentally Ill Merchant Seamen 
Treated at Nursing Homes in Lexington, Kentucky (1942 to the 
Present), HHS/SAMHSA/CMHS; published Federal Register, Vol. 58, No. 
248, p. 69001.
09-30-0049--Consultant Records Maintained by SAMHSA Contractors, 
HHS/SAMHSA/OA; published Federal Register, Vol. 58, No. 248, p. 
69002.

Changes

    The following minor changes have been made to systems of records as 
follows:

09-30-0027

System name:

    Grants and Cooperative Agreements: Research, Research Training, 
Research Scientist Development, Service, Education, Demonstration, 
Prevention, Fellowships, Clinical Training, Community Services 
Programs, HHS/SAMHSA/OA.
    Minor alterations have been made to this system of records notice. 
The following categories should be revised in their entirety:

System location:

Center for Substance Abuse Prevention, Office of the Director, Room 
9D10, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 
20857
Center for Substance Abuse Treatment, Office of the Director, Room 10-
75, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 20857
Center for Mental Health Services, Office of the Director, Room 15-105, 
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:

    1. Disclosure may be made to qualified experts not within the 
definition of Department employees for opinion during the application 
review process.
    2. Disclosure may be made to SAMHSA contractors for the purpose of 
providing services related to the grant review or for carrying out 
quality assessment, program evaluation, and management reviews. 
Contractors are required to maintain Privacy Act safeguards with 
respect to the records.
    3. 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 statute, or by regulation, rule or order issued pursuant 
thereto, the relevant records in the system of records may be referred, 
as a routine use, to the appropriate agency, whether Federal (e.g., the 
Department of Justice) or State (e.g., the State's Attorney's Office), 
charged with the responsibility of investigating or prosecuting such 
violation or charged with enforcing or implementing the statute, or 
rule, regulation or order issued pursuant thereto for litigation.
    4. Disclosure may be made to a Federal agency, in response to its 
request, in connection with the hiring or retention of an employee, the 
issuance of a security clearance, the reporting of an investigation of 
an employee, the letting of a contract, or the issuance of a license, 
grant, or other benefit by the requesting agency, to the extent that 
the record is relevant and necessary to the requesting agency's 
decision on the matter.
    5. Where Federal agencies having the power to subpoena other 
Federal agencies' records, such as the Internal Revenue Service or the 
Civil Rights Commission, issue a subpoena to the Department for records 
in this system of records, the Department will make such records 
available.
    6. Disclosure may be made 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.
    7. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her official capacity; or 
(c) any HHS employee in his or her individual capacity where the 
Department of Justice (or HHS, where it is authorized to do so) has 
agreed to represent the employee; or (d) the United States or any 
agency thereof where HHS determines that the litigation is likely to 
affect HHS or any of its components, is a party to litigation or has an 
interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided that in 
each case, HHS determines that such disclosure is compatible with the 
purpose for which the records were collected.
    8. A record from this system may be disclosed to the following 
entities in order to help collect a debt owed the United States:
    (a) To another Federal agency so that agency can effect a salary 
offset;
    (b) To another Federal agency so that agency can 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);
    (c) To the Treasury Department to request his/her mailing address 
under I.R.C. 6103(m)(2) in order to locate him/her or in order to have 
a credit report prepared;
    (d) To agents of the Department and to other third parties to help 
locate him/her in order to help collect or compromise a debt;
    (e) To debt collection agents under 31 U.S.C. 3718 or under common 
law to help collect a debt; and
    (f) To the Justice Department for litigation or further 
administrative action.
    Disclosure under part (d) of this routine use is limited to the 
individual's name, address, social security number and other 
information necessary to identify him/her. Disclosure under parts (a)-
(c) and (e) is limited to those items; the amount, status, and history 
of the claim; and the agency or program under which the claim arose. An 
address obtained from IRS may be disclosed to a credit reporting agency 
under part (d) only for the purpose of preparing a commercial credit 
report on the individual. Part (a) applies to any claims or debts 
arising or payable under the Social Security Act if and only if the 
employee consents in writing to the offset.
    9. SAMHSA may disclose information from its records in this system 
to consumer reporting agencies in order to obtain credit reports to 
verify credit worthiness of grant/cooperative agreement applicants. 
Permissible disclosures include name, address, Social Security number 
or other information necessary to identify the individual; the funding 
being sought; and the program for which the information is being 
obtained.
    10. 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 with the individual to 
forgive or compromise the debt, a record from this system of records 
may be disclosed to the Internal Revenue Service to report the written-
off amount as taxable income to the individual.
    11. A record from this system may be disclosed to another Federal 
agency that has asked the Department to effect an administrative offset 
under common law or under 31 U.S.C. 3716 to help collect a debt owed 
the United States.
    Disclosure under this routine use is limited to: name, address, 
Social Security number, and other information necessary to identify the 
individual, information about the money payable to or held for the 
individual, and other information concerning the administrative offset.
    12. SAMHSA may disclose from this system of records to the 
Department of Treasury, Internal Revenue Service (IRS): (1) A 
delinquent debtor's name, address, Social Security number, and other 
information necessary to identify the debtor; (2) the amount of the 
debt; and (3) the program under which the debt arose, so that IRS can 
offset against the debt any income tax refunds which may be due to the 
debtor.

System manager(s) and address:

    Same as System Location.
09-30-0029
    Record of Guest Workers, HHS/SAMHSA/OA.
    Minor alterations have been made to this system of records notice. 
The following categories should be revised in their entirety:
    Substance Abuse and Mental Health Services Administration, Division 
of Personnel Management, Room 14C-24, Parklawn Building, 5600 Fishers 
Lane, Rockville, Maryland 20857.
    Director, Division of Personnel Management, Substance Abuse and 
Mental Health Services Administration, Office of Management, Planning, 
and Communications, Room 14C-24, Parklawn Building, 5600 Fishers Lane, 
Rockville, Maryland 20857.
09-30-0033
    Correspondence Files, HHS/SAMHSA/OA.
    Minor alterations have been made to this system of records notice. 
The following category should be revised in its entirety:
    1. Authorized users: Authorized correspondence control staff in 
each location and managers and supervisors on a need-to-know basis.
    2. Physical safeguards: Records are maintained in file cabinets in 
a locked, secure location; computer system records are secured through 
the use of passwords which are changed frequently.
    3. Procedural safeguards: Only authorized personnel have access to 
files and passwords.
    4. Implementation Guidelines: DHHS Chapter 45-13 and supplementary 
Chapter PHS.hf: 45-13 of the General Administration Manual and Part 6, 
``Automated Information Systems Security'' in the HHS Information 
Resources Management Manual.
09-30-0036
    Alcohol, Drug Abuse, and Mental Health Epidemiologic and Biometric 
Research Data, HHS/SAMHSA/OA.
    Minor alterations have been made to this system of records notice. 
The following categories should be revised in their entirety:
    1. Authorized users: Access to identifiers and to link files is 
strictly limited to those authorized personnel whose duties require 
such access. Procedures for determining authorized access to identified 
data are established as appropriate for each location. Personnel, 
including contractor personnel, who may be so authorized include those 
directly involved in data collection and in the design of research 
studies, e.g., interviewers and interviewer supervisors; project 
managers; and statisticians involved in designing sampling plans.
    2. Physical safeguards: Records are stored in locked rooms, locked 
file cabinets, and/or secured computer facilities. Personal identifiers 
and link files are separated as much as possible and stored in locked 
files. Computer data access is limited through the use of key words 
known only to authorized personnel.
    3. Procedural safeguards: Collection and maintenance of data is 
consistent with legislation and regulations in the protection of human 
subjects, informed consent, confidentiality, and confidentiality 
specific to drug and alcohol abuse patients where these apply. When a 
SAMHSA component or a contractor provides anonymous data to research 
scientists for analysis, study numbers which can be matched to personal 
identifiers will be eliminated, scrambled, or replaced by the agency or 
contractor with random numbers which cannot be matched. Contractors who 
maintain records in this system are instructed to make no further 
disclosure of the records. Privacy Act requirements are specifically 
included in contracts for survey and research activities related to 
this system. The HHS project directors, contract officers, and project 
officers oversee compliance with these requirements.
    4. Implementation guidelines: DHHS Chapter 45-13 and supplementary 
Chapter PHS.hf: 45-13 of the General Administration Manual and Part 6, 
``Automated Information Systems Security'' of the HHS Information 
Resources Management Manual.
Office of Applied Studies, Office of the Director, Room 16-105, 
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857
Center for Substance Abuse Prevention, Office of the Director, Room 
9D10, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 
20857
Center for Substance Abuse Treatment, Office of the Director, Room 10-
75, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 20857
Center for Mental Health Services, Office of the Director, Room 15-105, 
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857
09-30-0047
    Patient Records on Chronic Mentally Ill Merchant Seamen Treated at 
Nursing Homes in Lexington, Kentucky, (1942 to the Present), HHS/
SAMHSA/CMHS.
    Minor alterations have been made to this system of records notice. 
The following categories should be revised in their entirety:
    1. In the event of litigation where the defendant is (a) the 
Department, a 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 individual 
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.
    2. Disclosure may be made to the Center for Mental Health Services 
(CMHS) contractors and subcontractors, including nursing home staff, 
for the purpose of carrying out and maintaining quality care. 
Contractors maintain, and are also required to ensure that the 
subcontractors maintain, Privacy Act safeguards with respect to the 
records.
    3. Disclosure may also be made to a congressional office from the 
record of an individual in response to an inquiry from the 
congressional office made at the request of that individual or his 
legally authorized representative.
    Hard copy files stored in locked file cabinets in the State office. 
In the nursing homes, hard copy records are maintained at nursing 
stations.
    James E. Pittman, Division of Program Development, Special 
Populations and Projects, Center for Mental Health Services, Substance 
Abuse and Mental Health Services Administration, Room 16C-26, Parklawn 
Building, 5600 Fishers Lane, Rockville, Maryland 20857.
09-30-0049
    Consultant Records Maintained By SAMHSA Contractors, HHS/SAMHSA/OA.
    Minor alterations have been made to this system of records notice. 
The following categories should be revised in their entirety:
    1. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her individual capacity 
where the Department of Justice (or HHS, where it is authorized to do 
so) has agreed to represent the employee; or (d) the United States or 
any agency thereof where HHS determines that the litigation is likely 
to affect HHS or any of its components, is a party to litigation or has 
an interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided, however, 
that in each case, HHS determines that such disclosure is compatible 
with the purpose for which the records were collected.
    2. Disclosure may be made 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. SAMHSA proposes to contract with private firms for the purposes 
of handling logistics for conferences, reviews, development of training 
materials, and of obtaining the services of consultants. Relevant 
records will be disclosed to such a contractor or may be developed by 
the contractor for use in the project. The contractor shall be required 
to maintain Privacy Act safeguards with respect to such records.
    4. Information in this system of records is used routinely to 
prepare W-2 and 1099 Forms to submit to the Internal Revenue Service 
and applicable State and local governments those items to be included 
as income to an individual.
    Measures to prevent unauthorized disclosures are implemented as 
appropriate for each location. Each site implements personnel, 
physical, and procedural safeguards such as the following:
    1. Authorized users: Only SAMHSA personnel working on these 
projects and personnel employed by SAMHSA contractors to work on these 
projects are authorized users as designated by the system managers.
    2. Physical safeguards: Records are stored in locked rooms, locked 
file cabinets, and/or secured computer facilities.
    3. Procedural safeguards: Contractors who maintain records in this 
system are instructed to make no further disclosure of the records 
except as authorized by the system manager and permitted by the Privacy 
Act. Privacy Act requirements are specifically included in contracts 
and in agreements with grantees or collaborators participating in 
research activities supported by this system. HHS project directors, 
contract officers, and project officers oversee compliance with these 
requirements.
    4. Implementation guidelines: DHHS Chapter 45-13 and supplementary 
Chapter PHS.hf: 45-13 of the General Administration Manual, and Part 6, 
``Automated Information Systems Security'' in the HHS Information 
Resources Management Manual.
    Readers who notice any errors or omissions in the SAMHSA systems of 
records notices are invited to bring them to my attention at the 
following address: Substance Abuse and Mental Health Services 
Administration, 5600 Fishers Lane, Room 12-105, Rockville, Maryland 
20857.

    Dated: October 13, 1994.
 Richard Kopanda,
 Acting Executive Officer, Substance Abuse and Mental Health Services 
Administration.
[FR Doc. 94-27615 Filed 12-27-94; 8:45 am]
BILLING CODE 4162-20-P