[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]



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Part III





Department of Health and Human Services





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Program Support Center



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Privacy Act of 1974; Republication of System of Records; Notices

  Federal Register / Vol. 63, No. 238 / Friday, December 11, 1998 / 
Notices  

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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

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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,

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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